State California Regulations TITLE 8 INDUSTRIAL RELATIONS DIVISION 1 DEPARTMENT OF INDUSTRIAL RELATIONS database is current through 09/29/06, Register 2006, No. 39 s 1. Definitions. As used in these regulations: (a) "Accreditation" means the conferring of recognized status as a provider of physician education by the Industrial Medical Council. (b) "Administrative Director" means the administrative director of the Division of Workers' Compensation of the State of California Department of Industrial Relations. (c) "AME" means Agreed Medical Examiner or Agreed Medical Evaluator, a physician selected by agreement between the employer and the employees to resolve disputed medical issues referred by the parties in a workers' compensation proceeding. (d) "Appeals Board" means the Workers' Compensation Appeals Board within the State of California Department of Industrial Relations. (e) "Audit" means a formal evaluation of a continuing education program, disability evaluation report writing course, or an accredited provider which is conducted at the request of the Medical Director. (f) "Comprehensive Medical-Legal Evaluation" means a medical evaluation performed pursuant to Labor Code Sections 4060, 4061, or 4062 and meeting the requirements of Section 9793 of this Title. (g) "Claims Administrator" means a self-administered insurer providing security for the payment of compensation required by Divisions 4 and 4.5 of the Labor Code, a self-administered self-insured employer, a group self-insurer, or a third-party claims administrator for a self-insured employer, insurer, legally uninsured employer, group self-insurer, or joint powers authority. (h) "Continuing Education Program" means a systematic learning experience (such as a course, seminar, or audiovisual or computer learning program) which serves to develop, maintain, or increase the knowledge, skills and professional performance of physicians who serve as Qualified Medical Evaluators in the California workers' compensation system. (i) "Council" means the Industrial Medical Council as defined in Labor Code Section 139. (j) "Course" means the 12 hours of instruction in disability evaluation report writing which is required of a Qualified Medical Evaluator prior to appointment. A course must be approved by the Council. (k) "Credit Hour" means a sixty minute hour. A credit hour may include time for questions and answers related to the presentation. ( l) "Direct medical treatment" means that special phase of the health care provider-patient relationship which-(1) attempts to clinically diagnose and alter or modify the expression of a non-industrial illness, injury or pathological condition; or (2) attempts to cure or relieve the effects of an industrial injury. (m) "Distance Learning" means an education program in which the instructor and student are in different locations, as in programs based on audio or video tapes, computer programs, or printed educational material. (n) "DEU" is the Disability Evaluation Unit under the Administrative Director responsible for issuing summary disability ratings. (o) "Employer" means an uninsured employer and the Uninsured Employers Fund pursuant to Labor Code Section 3716. The UEF shall only be subject to these regulations after proper service has been made on the uninsured employer and the Appeals Board has obtained jurisdiction over the UEF by joinder as a party. (p) "Evaluator" means "Qualified Medical Evaluator" or "Agreed Medical Evaluator." (q) "Medical Director" means the Executive Medical Director appointed by the Industrial Medical Council pursuant to Labor Code Section 122, who is Executive Secretary of the Council. (r) "Provider" means the individual or organization which has been accredited by the Council to offer physician education programs. There are two categories of providers: (1) the Council and (2) individuals, partnerships, or corporations; hospitals; clinics or other patient care facilities; educational institutions; medical or health-related organizations whose membership includes L.C. 3209.3 physicians; organizations of non-medical participants in the California workers' compensation system; and governmental agencies. In the case of a national organization seeking accreditation, the California Chapter or organization affiliated with the national organization shall be accredited by the Council in lieu of the national organization. (s) "Qualified Injured Worker" means a employee defined pursuant to subdivision (c) of Section 10003 of this Title. (t) "Qualified Medical Evaluator" (QME) means a physician licensed by the appropriate licensing body for the state of California and appointed by the Council pursuant to Labor Code Section 139.2, provided however, that acupuncturist QMEs shall not perform comprehensive medical-legal evaluations to determine disability. (u) "QME competency examination" means an examination administered by the Industrial Medical Council for the purpose of demonstrating competence in evaluating medical-legal issues in the workers' compensation system. This examination shall be given at least as often as twice annually. (v) "Physician's office" means a bona fide office facility which is identified by a street address and any other more specific designation such as a suite or room number and which contains the usual and customary equipment for the evaluation and treatment appropriate to the physician's medical specialty or practice. (w) "Rebuttal examination" means a comprehensive medical-legal evaluation performed at the request of a party concerning a disputed medical finding or conclusion by a QME concerning an unrepresented employee. (x) "Significant Financial Interest or Affiliation" means grant or research support; status as a consultant, member of a speakers' bureau, or major stock shareholder; or other financial or material interest for the program faculty member or his or her family. (y) "Treating physician" means a physician who has provided direct medical treatment to an employee which is reasonably required to cure or relieve the effects of an industrial injury pursuant to section 4600 of the Labor Code. (z) "Treatment Guideline" means the advisory guideline issued by the Industrial Medical Council which sets out a systematic statement intended to assist health care providers in the California workers' compensation community in making decisions about appropriate medical treatment for specific industrial injuries. (aa) "Unrepresented employee" means an employee not represented by an attorney. Note: Authority cited: Sections 139, 139.2, 4060, 4061 and 4062, Labor Code. Reference: Sections 139, 139.2, 4060, 4061, 4061.5 and 4062, Labor Code. s 10. Appointment of QMEs. Applications for appointment as a QME shall be submitted on the form in Section 100. The completed application form, and any supporting documentation as required by the application, shall be filed at the Council's headquarters office. Upon its approval of each application form and supporting documentation, the Council shall certify as eligible to sit for the QME competency examination those applicants who meet all of the statutory and regulatory eligibility requirements. Any application for appointment may be rejected if it is incompletely filled out, contains false information or does not contain the required supporting documentation listed in Section 11. Note: Authority cited: Sections 133, 139 and 139.2, Labor Code. Reference: Sections 139.2, 4060, 4061 and 4062, Labor Code. s 10.1. The Application for Appointment as Qualified Medical Evaluator Form. Note: Authority cited: Sections 133, 139 and 139.2, Labor Code. Reference: Sections 139.2, 4060, 4061 and 4062, Labor Code. s 10.1A. Reappointment Application as Qualified Medical Evaluator Form. s 10.2. The QME Fee Assessment Notice Form. STATE OF CALIFORNIA GRAY DAVIS, GOVERNOR --------------------------------------------------------------------- DEPARTMENT OF INDUSTRIAL RELATIONS INDUSTRIAL MEDICAL COUNCIL ADDRESS REPLY TO: 395 Oyster Point Blvd., Ste. 102 P.O. Box 8888 South San Francisco, CA 94080 San Francisco, CA 94128-8888 Tel: (650) 737-2700 Fax: (650) 737-2989 Fee Period: - License Number: Dear Dr.: Pursuant to Labor Codes 139.2(n) and 8 CCR,s 16, the Industrial Medical Council requires all physicians appointed or reappointed as QualifiedMedical Evaluators (QMEs) to pay an annual fee. The QME fee is non-refundable. $250 FEE QMEs who have conducted 25 or more comprehensive medical - legal evaluations in the twelve months prior to assessment of the fee. All evaluationsperformed as a Qualified Medical Evaluator, Agreed Medical Evaluator, and Independent Medical Evaluator must be counted for the purpose of feeassessment (8 CCRss 14, 15). $125 FEE QMEs who have conducted 11-24 comprehensive medical legal evaluations in the twelve months prior to assessment of the fee. All evaluationsperformed as a Qualified Medical Evaluator, Agreed Medical Evaluator, and Independent Medical Evaluator must be counted for the purpose of feeassessment (8 CCRss 14, 15). $110 FEE QMEs who have conducted 0-10 comprehensive medical legal evaluations in the twelve months prior to assessment of the fee. All evaluations performed as a Qualified Medical Evaluator, Agreed Medical Evaluator, and Independent Medical Evaluator must be counted for the purpose of feeassessment (8 CCRss 14, 15). ADDITIONAL LOCATIONS QMEs who perform evaluations at more than one medical office location are required to pay an additional $100 per location (8 CCRs 15). Misrepresentation of the number of evaluations performed or the number of additional locations shall constitute grounds for disciplinary proceedings(8 CCRs 60). Department of Industrial Relations Industrial Medical Council Location Fee Calculation Worksheet License Number: Street, City, State, Zip Code, Phone No. [ ] Enter total Number of All location boxes checked - -> __________ THIS SECTION MUST BE COMPLETED BY THE PHYSICIAN. ______ $250 Primary fee for those physicians who have done 25 or more medical/legal evaluations. ______ $125 Primary fee for those physicians who have done 11-24 medical/legalevaluations. ______ $110 Primary fee for those physicians who have done 0-10 medical/legalevaluations. Based on the amount of primary fee I have paid, I hereby declare under penalty of perjury under the laws of the State of California that the foregoing is true and correct. Physician's Signature __________________________ Date __________ For DIR Use Only: ( ) $250 Fee ( ) $125 Fee ( ) $110 Fee ___________ Fee for Additional Locations ($100 per location) Total Paid $ ____________ Total Locations __________ IMC Form 5 (4/99) Note: Authority cited: Sections 133, 139 and 139.2, Labor Code. Reference: Sections 139.2, 4060, 4061 and 4062, Labor Code. s 10.5. Limitations on Certification as Qualified Medical Evaluators. (a) All eligibility requirements contained herein shall be applied without regard to the race, creed, color, gender, religion, or national origin of the individual applying for the public benefit. (b) Pursuant to Section 411 of the Personal Responsibility and Work Opportunity Reconciliation Act of 1996, (Pub. L. No. 104-193 (PRWORA)), (8 U.S.C. s 1621), and notwithstanding any other provision of this division, aliens who are not qualified aliens, nonimmigrant aliens under the Immigration and Nationality Act (INA) (8 U.S.C. s 1101 et seq.), or aliens paroled into the United States under Section 212(d)(5) of the INA (8 U.S.C. s 1182(d)(5)), for less than one year, are not eligible to receive QME certification as set forth in Labor Code Section 139.2. (c) A qualified alien is an alien who, at the time he or she applies for, receives, or attempts to receive QME certification is, under Section 431(b) of the PRWORA (8 U.S.C. s 1641(b)), any of the following: (1) An alien who is lawfully admitted for permanent residence under the INA (8 U.S.C. s 1101 et seq.). (2) An alien who is granted asylum under Section 208 of the INA (8 U.S.C. s 1158). (3) A refugee who is admitted to the United States under Section 207 of the INA (8 U.S.C. s 1157). (4) An alien who is paroled into the United States under Section 212(d)(5) of the INA (8 U.S.C. s 1182(d)(5)) for a period of at least one year. (5) An alien whose deportation is being withheld under Section 243(h) of the INA (8 U.S.C. s 1253(h)) (as in effect immediately before the effective date of Section 307 of division C of Public Law 104-208) or Section 241(b)(3) of such Act (8 U.S.C. s 1251(b)(3)) (as amended by Section 305(a) of division C of Public Law 104-208). (6) An alien who is granted conditional entry pursuant to Section 203(a)(7) of the INA as in effect prior to April 1, 1980. (8 U.S.C. s 1153(a)(7)) (See editorial note under 8 U.S.C. s 1101, "Effective Date of 1980 Amendment"). (7) An alien who is a Cuban or Haitian entrant (as defined in Section 501(e) of the Refugee Education Assistance Act of 1980 (8 U.S.C. s 1522 note)). (8) An alien who meets all of the conditions of subparagraphs (A), (B), (C), and (D) below: (A) The alien has been battered or subjected to extreme cruelty in the United States by a spouse or parent, or by a member of the spouse's or parent's family residing in the same household as the alien, and the spouse or parent of the alien consented to, or acquiesced in, such battery or cruelty. For purpose of this subsection, the term "battered or subjected to extreme cruelty" includes, but is not limited to being the victim of any act or threatened act of violence including any forceful detention, which results or threatens to result in physical or mental injury. Rape, molestation, incest (if the victim is a minor), or forced prostitution shall be considered as acts of violence. (B) There is a substantial connection between such battery or cruelty and the need for QME certification in the opinion of the IMC. For purposes of this subsection, the following circumstances demonstrate a substantial connection between the battery or cruelty and the need for QME certification: (1) QME certification is needed to enable the alien to become self-sufficient following separation from the abuser. (2) QME certification is needed to enable the alien to escape the abuser and/or the community in which the abuser lives, or to ensure the safety of the alien from the abuser. (3) QME certification is needed due to a loss of financial support resulting from the alien's separation from the abuser. (4) QME certification is needed because the battery or cruelty, separation from the abuser, or work absences or lower job performance resulting from the battery or extreme cruelty or from legal proceedings relating thereto (including resulting child support, child custody, and divorce actions) cause the alien to lose his or her job or to earn less or to require the alien to leave his or her job for safety reasons. (5) QME certification is needed because the alien requires medical attention, health counseling, or has become disabled, as a result of the battery or extreme cruelty. (6) QME certification is needed because the loss of a dwelling or source of income or fear of the abuser following separation from the abuser jeopardizes the alien's ability to care for his or her children (e.g., inability to house, feed, or clothe children or to put children into daycare for fear of being found by the abuser). (7) QME certification is needed to alleviate nutritional risk or need resulting from the abuse or following separation from the abuser. (8) QME certification is needed to provide medical care during a pregnancy resulting from the abuser's sexual assault or abuse of, or relationship with, the alien and/or to care for any resulting children. (9) Where medical coverage and/or health care services are needed to replace medical coverage or health care services the alien had when living with the abuser. (C) The alien has a petition that has been approved or has a petition pending which sets forth a prima facie case for: (1) status as a spouse or child of a United States citizen or legal permanent resident pursuant to clause (ii), (iii), or (iv) of Section 204 (a)(1)(A) of the INA (8 U.S.C. s 1154(a)(1)(A)(ii), (iii) or (iv) and (B)(i)), (2) classification pursuant to (ii) or (iii) of Section 204(a)(1)(B) of the INA (8 U.S.C. s 1154(a)(1)(B)(ii) or (iii)), (3) suspension of deportation and adjustment of status pursuant to Section 244(a)(3) of the INA (8 U.S.C. s 1254) as in effect prior to April 1, 1997 [Pub.L. 104-208, s 501 (effective September 30, 1996, pursuant to s 591); Pub.L. 104-208, s 304 (effective April 1, 1997, pursuant to s 309; Pub.L. 105- 33, s 5581 (effective pursuant to s 5582)] (incorrectly codified as "cancellation of removal under Section 240A of such Act [8 U.S.C. s 1229b] (as in effect prior to April 1, 1997)." (4) status as a spouse or child of a United States citizen pursuant to clause (i) or Section 204(a)(1)(A) of the INA (8 U.S.C. s 1157(a)(1)(A)(i)) or classification pursuant to clause (i) of Section 204(a)(1)(B) of the INA (8 U.S.C. s 1154(a)(1)(B)(i)), or (5) cancellation of removal pursuant to section 240(b)(2) of the INA (8 U.S.C. s 1229b(b)(2)). (D) For the period for which QME certification is sought, the individual responsible for the battery or cruelty does not reside in the same household or family eligibility unit as the individual subjected to the battery or cruelty. (9) An alien who, under Section 431(c)(2) of the PRWORA (8 U.S.C. s 1641(c)(2)), meets all of the conditions of subparagraphs (A), (B), (C), (D), and (E) below: (A) The alien has a child who has been battered or subjected to extreme cruelty in the United States by a spouse or a parent of the alien (without the active participation of the alien in the battery or cruelty), or by a member of the spouse's or parent's family residing in the same household as the alien, and the spouse or parent consented or acquiesced to such battery or cruelty. For purposes of this subsection, the term "battered or subjected to extreme cruelty: includes but is not limited to being the victim o any act or threatened act of violence including any forceful detention, which results or threatens to result in physical or mental injury. Rape. molestation, incest (if the victim is a minor), or forced prostitution shall be considered as acts of violence. (B) The alien did not actively participate in such battery or cruelty. (C) There is a substantial connection between such battery or cruelty and the need for QME certification to be provided in the opinion IMC. For purposes of this subsection, the following circumstances demonstrate a substantial connection between the battery or cruelty and the need for the benefits to be provided: (1) QME certification is needed to enable the alien's child to become self-sufficient following separation from the abuser. (2) QME certification is needed to enable the alien's child to escape the abuser and/or the community in which the abuser lives, or to ensure the safety of the alien's child from the abuser. (3) QME certification is needed due to a loss of financial support resulting from the alien's child's separation from the abuser. (4) QME certification is needed because the battery or cruelty, separation from the abuser, or work absences are lower job performance resulting from the battery or extreme cruelty or from legal proceedings relating thereto (including resulting child support, child support, child custody, and divorce actions) cause the alien's child to lose his or her job or to earn less or to require the alien's child to leave his or her job for safety reasons. (5) QME certification is needed because the alien's child requires medical attention or mental health counseling, or has become disabled, as a result of the battery or extreme cruelty. (6) QME certification is needed because the loss of a dwelling or source of income or fear of the abuser following separation from the abuser jeopardizes the alien's child's ability to care for his or her children (e.g., inability to house, feed, or clothe children or to put children into day care for fear of being found by the abuser). (7) QME certification is needed to alleviate nutritional risk or need resulting from the abuse or following separation from the abuser. (8) QME certification is needed to provide medical care during a pregnancy resulting from the abuser's sexual assault or abuse of, or relationship with, the alien's child and/or care for any resulting children. (9) Where medical coverage and/or health care services are needed to replace medical coverage or health care services the alien's child had when living with the abuser. (D) The alien meets the requirements of subsection (c)(8)(C) above. (E) For the period for which benefits are sought, the individual responsible for the battery or cruelty does not reside in the same household or family eligibility unit as the individual subjected to the battery or cruelty. (10) An alien child who meets all of the conditions of subparagraphs (A), (B), and (C) below: (A) The alien child resides in the same household as a parent who has been battered or subjected to extreme cruelty in the United States by that parent's spouse or by a member of the spouse's family residing in the same household as the parent and the spouse consented or acquiesced to such battery or cruelty. For purposes of this subsection, the term "battered or subjected to extreme cruelty: includes but is not limited to being the victim of any act or threatened act of violence including any forceful detention, which results or threatens to result in physical or mental injury. Rape, molestation, incest (if the victim is a minor), or forced prostitution shall be considered as acts of violence. (B) There is a substantial connection between such battery or cruelty and the need for QME certification in the opinion of IMC. For purposes of this subsection, the following circumstances demonstrate a substantial connection between the battery or cruelty and the need for the benefits to be provided: (1) QME certification is needed to enable the alien child's parent to become self-sufficient following separation from the abuser. (2) QME certification is needed to enable the alien child's parent to escape the abuser and/or the community in which the abuser lives, or to ensure the safety of the alien child's parent from the abuser. (3) QME certification is needed due to a loss of financial support resulting from the alien child's parent's separation from the abuser. (4) QME certification is needed because the battery or cruelty, separation from the abuser, or work absences or lower job performance resulting from the battery or extreme cruelty or from legal proceedings relating thereto (including resulting child support, child custody, and divorce actions) cause the alien child's parent to lose his or her job or to earn less or to require the alien child's parent to leave his her job for safety reasons. (5) QME certification is needed because the alien child's parent requires medical attention or mental health counseling, or has become disabled, as a result or the battery or extreme cruelty. (6) QME certification is needed because the loss of a dwelling or source of income or fear of the abuser following separation from the abuser jeopardizes the alien child's parent's ability to care for his or her children (e.g., inability to house, feed, or clothe children or to put children into day care for fear of being found by the abuser). (7) QME certification is needed to alleviate nutritional risk or need resulting from the abuse or following separation from the abuser. (8) QME certification is needed to provide medical care during a pregnancy resulting from the abuser's sexual assault or abuse of, or relationship with, the alien child's parent and/or to care for any resulting children. (9) Where medical coverage and/or health care services are needed to replace medical coverage or health care services the alien child's parent had when living with the abuser. (C) The alien child meets the requirements of subsection (c)(8)(C) above. (d) For purposes of this section, "nonimmigrant" is defined the same as in Section 101(a)(15 ) of the INA (8 U.S.C. s 1101(a)(15)). (e) For purposes of establishing eligibility for certification as a QME pursuant to Labor Code Section 139.2, all of the following must be met: (1) The applicant must declare himself or herself to be a citizen of the United States or a qualified alien under subsection (c), a nonimmigrant alien under subsection (d), or an alien paroled into the United States for less than one year under Section 212(d)(5) of the INA (8 U.S.C. s 1182(d)(5)). The applicant shall declare that status through use of the "Statement of Citizenship, Alienage, and Immigration Status for QME Certification," Form 101. (2) The applicant must present documents of a type acceptable to the Immigration and Naturalization Service (INS) which serve as reasonable evidence of the applicant's declared status. A fee receipt from the INS for replacement of a lost, stolen, or unreadable INS document is reasonable evidence of the alien's declared status. (3) The applicant must complete and sign Form 101 and submit the from to the IMC with any other required information under Article 2 and Article 5 of this division. (4) Where the documents presented do not on their face appear to be genuine or to relate to the individual presenting them, the government entity that originally issued the documents shall be contacted for verification. With regard to naturalized citizens and derivative citizens presenting certificates of citizenship and aliens, the INS is the appropriate government entity to contact for verification. The IMC shall request verification from the INS by filing INS Form G-845 with copies of the pertinent documents provided by the applicant with the local INS office. If the applicant has lost his or her original documents or presents expired documents or is unable to present any documentation evidencing his or her immigration status, the applicant shall be referred to the local INS office to obtain documentation. (5) The type of documentation referred to the INS for verification pursuant to INS Form G-845 shall include the following: (A) The document presented indicates immigration status but does not include an alien registration or alien admission number. (B) The document is suspected to be counterfeit or to have been altered. (C) The document includes an alien registration number in the A60 000 000 (not yet issued) or A80 000 000 (illegal border crossing) series. (D) The document is one of the following: an INS Form, I-181b notification letter issued in connection with an INS Form I-181 Memorandum of Creation of Records of Permanent Residence, and Arrival-Departure Record (INS Form I-94) or an foreign passport stamped "PROCESSED FOR I-551, TEMPORARY EVIDENCE OF LAWFUL PERMANENT RESIDENCE" that INS issued more than one year before the date of application for QME certification. (6) If the INS advises that the applicant has citizenship status or immigration status which makes him or her a qualified alien, a nonimmigrant or alien paroled for less than one year under Section 212(d)(5) of the INA, the INS verification shall be accepted. If the INS advises that it cannot verify that the applicant has citizenship status or an immigration status that makes him or her a qualified alien, a nonimmigrant or an alien paroled for less than one year under Section 212(d)(5) of the INA, QME certification shall be denied and the applicant notified pursuant to the Administrative Procedure Act (Gov't Code s 11370 et seq. of his or her right to appeal the denial of his or her certification. (f) Pursuant to Section 434 of PRWORA (8 U.S.C. s 1644), where the Industrial Medical Council reasonably believes that an alien is unlawfully in the State based on the failure of the alien to provide reasonable evidence of the alien's declared status, after an opportunity to do so, said alien shall be reported to the Immigration and Naturalization Service. (g) Eligibility for QME certification is established where subsections (e)(1)- (3) are satisfied. Any alien who provides documentation specified under subsection (e)(5) shall be eligible for QME certification until and unless the Industrial Medical Council receives written confirmation from the Immigration and Naturalization Service that the alien is not eligible for QME certification. (h) Nothing in this section shall be construed to withdraw eligibility for QME certification if any of the conditions in U.S.C. s 1621(b) are present. (i) Any applicant who was made eligible for QME certification whose services are terminated, suspended, or reduced pursuant to subsections (b) and (e), is entitled to a hearing under Section 61 of these regulations. Note: Authority cited: Sections 139 and 139.2. Reference: 8 U.S.C. Sections 1621, 1641 and 1642; Sections 139.2, 5307.3 and 5307.4, Labor Code; and Section 11507 et seq., Government Code. s 11. Eligibility Requirements for Initial Appointment as a QME. The Council shall appoint as QMEs all applicants who meet the requirements set forth in Labor Code Section 139.2(b) and all applicants: (a) Shall submit the required supporting documentation: (1) Copy of current license to practice in California; (2) For Medical Doctors, or Doctors of Osteopathy: (A) A copy of the applicant's certificate of completion of postgraduate specialty training at an institution recognized by the Accreditation Council for Graduate Medical Education or the osteopathic equivalent as defined pursuant to Section 12, or; (B) A copy of the applicant's Board certification by a specialty board recognized by the Council or as defined pursuant to Section 12, or; (C) A declaration under penalty of perjury accompanied by supporting documentation that the physician has qualifications that the Council and the Medical Board of California or the Osteopathic Medical Board of California both deem to be equivalent to board certification in a specialty. (3) If a psychologist, (i) a copy of a doctoral degree in psychology or a doctoral degree deemed equivalent for licensure by the Board of Psychology pursuant to Section 2914 of the Business and Professions Code, and has not had less than five years postdoctoral experience in the treatment of emotional and mental disorders or (ii) served as an AME on eight or more occasions prior to January 1, 1990 and has not less than five years postdoctoral experience in the diagnosis and treatment of emotional and mental disorders. (4) For Doctors of Chiropractic, the physician shall provide (1) a copy of a current or otherwise valid certificate in California Workers Compensation Evaluation by either a California professional chiropractic association or an accredited California college recognized by the Council (i.e. Workers' Compensation Evaluation Certificate with a minimum 44 hours completed or; (2) a certificate of completion of a chiropractic postgraduate specialty program of at least 300 hours taught by a school or college recognized by the Council, the Board of Chiropractic Examiners and the Council on Chiropractic Education. (5) Or, for other physicians, a copy of the physician's professional diploma. (b) Prior to appointment as a QME, each applicant shall complete a course of at least 12 hours in disability evaluation report writing pursuant to Section 11.5 of this Article. Doctors of Chiropractic who submit documentation showing compliance with section 11(a)(4) are exempt from this requirement. (c)(1) Shall provide supplemental information and/or documentation to the Council after an application form is submitted if requested to verify an applicant's eligibility for appointment. (2) Shall declare that he or she has not performed a QME Evaluation without QME Certification. The Council, after hearing pursuant to Section 61 may deny appointment to any applicant who has performed a QME Evaluation without QME Certification prior to appointment. (d) Shall agree that during a QME exam he or she will not treat or offer or solicit to provide medical treatment for that injury for which he or she has done a QME evaluation for an injured worker unless a medical emergency arises as defined under subdivision (a) or (b) of Section 1317.1 of the Health and Safety Code. A QME may also provide treatment if requested by the employee pursuant to section 4600 of the Labor Code, but he or she shall not offer or solicit to provide it. A QME who solicits an injured employee to receive direct medical treatment or to become the primary treating physician of that employee shall be subject to disciplinary action pursuant to Section 60. (e) Shall declare under penalty of perjury on the QME application he or she: (1) has an unrestricted license or is currently on probation from the state licensing board and; (2) devotes at least one-third of their total practice time to providing direct medical treatment during each year of the applicant's term of appointment. This requirement shall not apply if the applicant has served as an AME on 8 or more occasions in the year prior to application and each year of the applicant's term; or if the applicant meets the requirements of section 15. (f) Shall pass the QME Competency Examination. (1) In order to take this examination, a physician who is not currently appointed as a QME and not exempt pursuant to Labor Code s139(b)(1), shall be considered to have applied to take the QME competency examination upon submitting the properly-completed Application for Appointment Form in Section 100, and the Registration Form for the QME Competency Examination in Section 102 and the appropriate fee as specified in Section 11(f)(2). (2) The fee for applying to take or retake the QME competency examination is $125.00 and may be waived by the Council at its discretion for first time applicants. (3) The Medical Director shall give appropriate public notice of the date, time and location of the examination no fewer than 60 calendar days before a competency examination is to be given. (4) An applicant must submit the properly completed forms as required in Section 11(f)(1) to the Medical Director at least 30 calendar days prior to the date of the next scheduled competency examination unless the Medical Director finds good cause to grant an extension to the physician(s). (5) The Medical Director shall inform the applicant in writing whether he or she shall be allowed to take the examination within 15 calendar days from the date the Council receives the properly-completed forms and appropriate fee. (6) The Medical Director shall inform the applicant in writing whether or not he or she passed the examination within 60 calendar days from the date the applicant takes the competency examination. (7) An applicant who passes the QME competency examination shall file the QME Fee Assessment Form in Section 103 including the appropriate fee within 30 days of the date of the notice. The physician shall not be appointed to the official QME list until the appropriate fee is paid and has completed a disability evaluation report writing course pursuant to Section 11.5. Appointments shall be for two-year terms beginning with the date of appointment by the Council. (8) Any applicant who fails to follow test instructions and/or proctor instructions either before or during or at the conclusion of an examination shall be disqualified from the examination procedure and the applicant's exam shall be nullified. (9) If an applicant fails the competency examination or fails to appear for a noticed QME examination for which the applicant has submitted a QME Exam Registration Form 102, the applicant may apply to take any subsequent examinations, upon submission of a new test application form and a fee of $125. An applicant who fails the exam three times shall show proof of having completed six (6) hours continuing education from a course approved by the Council prior to taking the examination again. (10) Any applicant who receives a failing grade on a competency exam may appeal the failing grade to the Council. Appeals shall be considered on a case by case basis. Appeals will be accepted immediately after a candidate has completed the examination and until 10 days after the date of the examination results letter. The appeal shall state specific facts as to why the failing grade should be overturned. Pursuant to Section 6254(g) of the Government Code, the Council will consider appeals of test questions in closed session with counsel and will base its decision solely on the written appeal including any supporting documentation submitted by the physician. Appeals will only be accepted for the current examination period. Grounds for appeal are: (A) Significant procedural error in the examination process; (B) Unfair Discrimination; (C) Bias or fraud. (g) Each applicant shall pay the annual fee required by section 17 of this Article prior to appointment. Note: Authority cited: Section 139.2, Labor Code. Reference: Section 139.2, Labor Code; and Section 6254, Government Code.. s 11.1. Application for QME Competency Examination Form. Note: Authority cited: Section 139.2, Labor Code. Reference: Section 139.2, Labor Code. s 11.5. Disability Evaluation Report Writing Course. Prior to appointment as a QME, a physician shall complete a course of at least twelve hours of instruction in disability evaluation report writing. The course curriculum shall be specified by the Council. (a) To apply to the Council for accreditation, a provider shall submit: (1) a completed IMC Form 118 which contains (A) the applicant's name; address; director of education with contact information; type of organization; length of time in business; nature of business; and past experience providing continuing education courses (including a list of other accrediting agencies that have approved such courses); (B) a description of the proposed education program or course which includes the title; type (continuing education program or disability evaluation report writing course); location(s); date(s); length of training in clock hours; educational objectives; a complete description of the program or course content; faculty; and the names of other accrediting agencies that have approved the program. (2) A curriculum vitae for each proposed instructor. A proposed instructor shall have education and/or training and recent work experience relevant to the subject of his/her presentation. (3) To apply to the Council for accreditation, an applicant shall submit the application to the Council, at least 60 calendar days before any public advertisement of the applicant's course. (b) The Council shall accredit an applicant that meets the definition of provider in Section 1(r); submits a completed, signed and dated application which demonstrates past experience in providing continuing education programs; and proposes a program which meets the requirements of 55(c) or a course which meets the requirements of 11.5(a) and (i). The applicant must demonstrate that adequate time is allocated to the curriculum set forth in section 11(5)(i) for the course to be approved by the Council. Proposed content for continuing education program credit must relate directly to disability evaluation or California workers' compensation-related medical dispute evaluation. No credit shall be recognized by the IMC for material primarily discussing the business aspects of workers' compensation medical practice, including but not limited to billing, coding and marketing. (c) The Council shall notify the applicant within 20 calendar days following the next scheduled Council meeting after receipt of the application containing all the information listed in Section 11.5(a) whether that provider has been accredited for a two year period and the proposed course has been approved. Incomplete applications will be returned to the provider. (d) A provider that has been accredited by the Council will be given a number which must be displayed on course promotional material. (e) On or before the date the course is first presented, the provider shall submit the program syllabus (all program handouts) to the Council. (f) An approved course may be offered for two (2) years. A provider shall notify the Council in writing of any change to the faculty in an approved course. The provider shall send the Council the program outline, promotional material and faculty for each offering of the program at least 45 days prior to the date of the presentation of the program. The Council may require submission of the program syllabi. The Council may require changes in the program based on its review of the program outline, program syllabi, promotional material or faculty if the IMC finds that any aspect of the program is not in compliance with these regulations. (g) To apply for re-accreditation, a provider must submit a completed IMC Form 118, using the application process in 11.5(a). The provider may complete section 2 of the form using a new program or course or one which was given by the provider during the recent accreditation period. The Council shall give the provider 90 days' notice of the need to seek re-accreditation. (h) Promotional materials for a course must state the provider's educational objectives; the professional qualifications of course faculty (at the least, all relevant professional degrees); the content of course activities; and the intended audience. (i) The minimum of 12 hours of instruction in disability evaluation report writing shall include: (1) The Qualified Medical Evaluator's Role in the Disability Evaluation Process (minimum recommended 1 hour) How disability evaluation reports are used The reasons why reports must be clear, complete and timely The QME's role as an expert witness Impact of the QME's report on the injured worker QME ethics and the Confidentiality of Medical Information Act (2) Elements of the Medical-Legal Report (minimum recommended 1 hour) The Labor Code and regulatory requirements for medical-legal reports. (3) The Language of Reports (minimum recommended 4 hours) Evaluation of disability in California (impairment and disability) The occupational history The physician examination and the role of testing Labor Code requirements to use Packard Thurber's Evaluation of Industrial Disability Factors of disability Subjective Objective Work restrictions Loss of pre-injury capacity Causation Determination of permanent and stationary status Vocational rehabilitation Apportionment Future medical treatment Review of records Providing sufficient support for conclusions (4) The Council's Disability Evaluation Protocols (minimum recommended 1 hour) An overview of the protocols and an in-depth discussion of one or more of the Neuromusculoskeletal, Pulmonary, Cardiac, Immunologic, or Psychiatric protocols. (5) The Third Party Perspective (minimum recommended 1 hour) The report from the perspective of those who read it: Judge(s), attorney(ies), insurer(s), rater(s), employer(s), qualified rehabilitation representative(s). (6) Anatomy of a Good Report (small group or other interactive sessions - minimum recommended 3 hours) Discussion of examples of good reports and identification of weaknesses in reports Opportunities for the practitioner to critique and/or correct reports. If feasible, physician should have the opportunity to write a sample report. Review of results of IMC annual report review and identification of common problems with reports (7) Mechanics of Report Writing (minimum recommended 1 hour) The QME Process Face to face time Timelines for submission of report Completion of required forms Service of reports Final questions and answers (j) No more than four hours of the required twelve hours of instruction may be taken by distance learning. All audio or video tapes, computer programs and printed educational material used in the course must be submitted to the Council on or before the date the course is first given. All distance learning materials shall bear a date of release and shall be updated yearly. The provider shall notify the Council in writing of the revision. (k) No one shall recruit members or promote commercial products or services in the instruction room immediately before, during, or immediately after the presentation of a course. Providers or vendors may display/sell educational materials related to workers' compensation or applications for membership in an area adjoining a course. A course provider or faculty member shall disclose on IMC form 119 any significant financial interest in or affiliation with any commercial product or service which is discussed in a course and that interest or affiliation must be disclosed to all attendees. A provider shall file every form 119 in its possession with the Council. ( l) The provider shall maintain attendance records for each disability evaluation report writing course for a period of no less than three years after the course is given. A physician attending the course must be identified by signature. The provider must submit a copy of the signature list to the Council within 60 days of completion of the course. (m) The provider is required to give the IMC's Evaluation Form 117) to course attendees and request they submit the form to the IMC. This information shall not be used in lieu of a certification of completion given by the provider, as specified pursuant to section (n). Destruction by a provider or its employee of a QME's Evaluation Form or failure by such provider or its employee to distribute Form 117 as part of its course shall constitute grounds for revocation of a provider's accredited status. The Council shall tabulate the responses and return a summary to the provider within 90 days of completion of the course. (n) The provider shall issue a certificate of completion to the physician which states the name of the provider, the provider's number, the date(s) and location and title of the course. To be eligible for appointment as a QME, a physician must complete no less than 12 hours of the curriculum specified in Section 11.5(i) and must submit a copy of that certificate to the Council. (o) Joint sponsorship of courses (as between an accredited and an unaccredited provider) must be approved by the Council prior to presentation of the course. (p) The Council may audit a provider's course(s) at the request of the medical director to determine if the provider meets the criteria for accreditation. The Council may audit courses given by providers randomly, when a complaint is received, or on the basis of responses on IMC Form 117. An auditor shall not receive QME credit for auditing a course. The Council shall make written results of the audit available to the provider no more than 30 days after the audit is completed. (q) Accredited providers that cease to offer disability evaluation report writing courses shall notify the Council in writing no later than 60 days prior to the discontinuing an approved course. (r) The Council may withdraw accreditation of a provider or deny such a provider's application for accreditation on the following grounds (in addition to failure to meet the relevant requirements of subsections 11.5(a): (1) Conviction of a felony or any offense substantially related to the activities of the provider. (2) Any material misrepresentation of fact made by the provider. (3) Failure to comply with Council regulations (4) False or misleading advertising (5) Failure to comply with Council recommendations following an audit (6) Failure to distribute Council form 117 cards to course attendees. Note: Authority cited: Sections 139, 139.2, 4060, 4061 and 4062, Labor Code. Reference: Sections 139, 139.2, 4060, 4061, 4061.5 and 4062, Labor Code. s 12. Recognition of Specialty Boards. The Council shall recognize all specialty boards accredited by the American Board of Medical Specialties (ABMS), the American Osteopathic Association, the American Board of Professional Psychology, Inc. and those boards either accredited or considered equivalent to ABMS recognized boards by the Medical Board, the Osteopathic Medical Board and the Board of Psychology of State of California. The Council shall recognize chiropractic diplomate boards whose programs are taught by the Council on Chiropractic Education accredited colleges. Note: Authority cited: Sections 139 and 139.2, Labor Code. Reference: Sections 139.2(b)(2)(A), 4060, 4061 and 4062, Labor Code. s 13. Physician's Specialty. A physician's specialty(ies) is one for which the physician is board certified or, has completed a postgraduate specialty training as defined in Section 11(a)(2)(A), or held an appointment as a QME in that specialty on June 30, 2000, pursuant to Labor Code Section 139.2, having provided to the Council documentation from the relevant board of certification or qualification or has provided documentation which meets the requirements of Section 11. Note: Authority cited: Sections 139 and 139.2, Labor Code. Reference: Sections 139.2(b)(2)(A), 4060, 4061 and 4062, Labor Code. s 13.5. Chiropractic Certification in Workers' Compensation Evaluation. Note: The "Physicians Guide" does not appear as a part of this regulation. Copies are available through the Executive Medical Director of the Industrial Medical Council; P.O. Box 8888 San Francisco, CA 94128-8888. Note: Authority cited: Sections 139, 139.2 and 139.3, Labor Code. Reference: Sections 139.2, 4060, 4061 and 4062, Labor Code. s 13.7. Appointment of Retired or Teaching Physicians. Note: Authority cited: Sections 139 and 139.2, Labor Code. Reference: Sections 139.2, 4060, 4061 and 4062, Labor Code. s 14. Doctors of Chiropractic: Certification in Workers' Compensation Evaluation. (a) All doctors of chiropractic, in lieu of board certification, shall be certified in workers' compensation evaluation by either a California professional chiropractic association, or an accredited California college recognized by the Council. The certification program shall include instruction in disability evaluation report writing that meets the standards set forth in Section 11.5. (b) California professional chiropractic associations or accredited California colleges applying to be recognized by the Council for the purpose of providing these required courses to chiropractors in California workers' compensation evaluation, shall meet the following criteria: (1) The provider's courses shall be administered and taught by a California professional chiropractic association or a California chiropractic college accredited by the Council on Chiropractic Education. Instructors shall be licensed or certified in their profession or if a member of a non-regulated profession have at least two years experience in their area of instruction regarding workers' compensation issues. (2) The provider's method of instruction and testing shall include all of the following: (A) lecture, didactic sessions and group discussion including an initial 8 hours of overview of the workers' compensation system and 36 additional hours in medical-legal issues for total minimum class time of 44 hours. Up to 4 hours of the instruction covering the regulations affecting QMEs and/or writing ratable reports may be satisfied by distance learning. The initial 8 hours of overview are transferable to any other approved program provider for credit; (B) passing a written test at the completion of the program to determine proficiency and application of course material; (C) writing a narrative conclusion to medical-legal issues in response to facts presented or a narrative report, in appropriate format, which would meet the standards of a ratable report; (3) The initial 8 hours of the course material shall cover the following information: (A) overview of California Labor Code, DWC (Division of Workers' Compensation of the California Department of Industrial Relations) and Council regulations governing medical-legal reports and evaluations; (B) obligations of the treating and evaluating physicians; (C) review of appropriate workers' compensation terminology; (4) The remaining 36 hours shall include but not be limited to the following: (A) history and examination procedure requirements, including all relevant IMC guidelines; (B) work capacity guidelines and disability ratings; (C) apportionment; (D) vocational rehabilitation; (E) continued or future medical care. (5) The provider's course material and tests shall be submitted to the Council for annual review and the Council shall monitor a provider's course as necessary to determine if the provider meets the criteria for recognition. (6) The provider's course advertising shall clearly state whether or not the course is recognized to satisfy the requirement for chiropractic California workers' compensation evaluation by the Council. (c) Course Material shall also cover at a minimum, the material within the text of the "Physicians Guide to Medical Practice in the California Workers' Compensation system (Current Edition)." Note : The "Physicians Guide" does not appear as a part of this regulation. Copies are available through the Executive Medical Director of the Industrial Medical Council; P. O. Box 8888, San Francisco, CA 94128-8888. Note: Authority cited: Sections 139, 139.2 and 139.3, Labor Code. Reference: Sections 139.2, 4060, 4061 and 4062, Labor Code. s 15. Appointment of Retired or Teaching Physicians. In order to be considered for appointment as a QME pursuant to Labor Code Section 139.2(c), a physician shall submit written documentation to the Council that he or she meets either (a), (b) or (c) of this section. A physician applying for appointment pursuant to this section shall also pass the QME competency examination. The physician shall: (a) Be a current salaried faculty member at an accredited university or college, have a current license to practice as a physician and have been engaged in teaching, lecturing, published writing or medical research at that university or college in the area of his or her specialty for not less than one-third of his or her professional time. The physician's practice in the three consecutive years immediately preceding the time of application shall not have been devoted solely to the forensic evaluation of disability. (b) Be retired from full-time practice, retaining a current license to practice as a physician with his or her licensing board; and (1) Has a minimum of 25 years' experience in his or her practice as a physician; and (2) Has had a minimum of 10 years' experience in workers' compensation medical issues; and (3) Is currently practicing fewer than 10 hours per week on direct medical treatment as a physician, and; (4) Whose practice in the three consecutive years immediately preceding the time of application was not devoted solely to the forensic evaluation of disability. (c) Be retired from active practice due to a documented medical or physical disability as defined pursuant to Gov't Code s 12926 and currently practicing in his or her specialty fewer than 10 hours per week. The physician shall have 10 years experience in workers' compensation medical issues as a physician. The physician's practice in the three consecutive years immediately preceding the time of application shall not have been devoted solely to the forensic evaluation of disability. (d) A physician appointed under Section 11 or this section shall, notify the Council of changes in his or her status and shall complete the requirements for continuing education pursuant to section 55 prior to reappointment. Note: Authority cited: Sections 139 and 139.2, Labor Code. Reference: Sections 139.2, 4060, 4061 and 4062, Labor Code. s 16. Determination of Fees for QME Eligibility. (a) For purposes of establishing the annual fee for any qualified medical evaluator pursuant to Article 2, physicians (as defined under Section 3209.3 of the Labor Code) shall be classified into one of three categories: (1) QMEs who meet all applicable requirements under Article 2 and 5 and who have conducted 0-10 comprehensive medical-legal evaluations in the twelve months prior to the assessment of the fee. Comprehensive medical-legal evaluations are evaluations as defined under Section (1)(d) of this Chapter performed by a physician. (2) QMEs who meet all applicable requirements under Article 2 and 5 and who have conducted 11-24 comprehensive medical-legal evaluations in the twelve months prior to assessment of the fee. Comprehensive medical-legal evaluations are evaluations as defined under Section (1)(d) of this Chapter performed by a physician. (3) QMEs who meet all applicable requirements under Article 2 and 5 and who have conducted 25 or more comprehensive medical-legal evaluations in the twelve months prior to assessment of the fee. Comprehensive medical-legal evaluations are evaluations as defined under Section (1)(d) of this Chapter performed by a physician. (b) The evaluations shall be conducted in compliance with all applicable statutes and regulations. (c) Verification of the number of examinations shall be made by the Council using The Findings Summary Form in Section 36.1. Misrepresentation of the number of evaluations performed for purposes of establishing a physician's QME fee shall constitute grounds for disciplinary proceedings under Section 60 of this chapter. Note: Authority cited: Section 139.2, Labor Code. Reference: Sections 139, 139.1 and 139.2, Labor Code. s 17. Fee Schedule for QME. (a) All physicians seeking QME status shall be required to pay to the Industrial Medicine Fund within the Industrial Medical Council, the following fee: (1) QMEs performing 0-10 comprehensive medical-legal evaluations, $110 during each of the years or any part of a year the physician retains his or her eligibility on the approved QME list. (2) QMEs performing 11-24 comprehensive medical-legal evaluations, $125 during each of the years or part of a year the physician retains his or her eligibility on the approved QME list. (3) QMEs performing 25 or more comprehensive medical-legal evaluations, $250 during each of the years or any part of a year the physician retains his or her eligibility on the approved QME list. (b) Individual QMEs who perform comprehensive medical-legal evaluations at more than one medical office location within the state which is identified by a street address and any other more specific designation such as a suite or room number and which contains the usual and customary equipment for the evaluations and treatment appropriate to the medical specialty or practice shall be required to pay an additional $100 annually per additional office location. This requirement applies to all QMEs regardless of whether the QME is a sole practitioner, or corporation, or partnership pursuant to Corporations Code Chapter 1 (sections 15001-15045) Chapter 2 (sections 15501-15533) and/or Chapter 3 (sections 15611-15723). (c) The IMC may waive or return the statutory fee in the amount of $110 for the completion of a survey of QMEs to validate the QME competency examination. The term "completion of the survey" means the return of the survey to the testing agency designated by the IMC on or before the date for the return of the survey. Note: Authority cited: Section 139.2, Labor Code. Reference: Sections 139, 139.1 and 139.2, Labor Code. s 18. QME Fee Due Dates. (a) All physicians, regardless of the number of comprehensive medical-legal evaluations performed under Section 17 shall pay the required QME fees at yearly intervals within 30 days of receipt of notice from the Council that the QME fee for the next 12 months is due and payable. No physician who has passed the competency examination shall be placed on the active QME roster until the appropriate fee under section 15 has been paid. (b) Any QME who fails to pay the required statutory fee within 30 days of receipt of a final notice that the fee is due shall be notified that he or she shall be terminated from the official QME roster of physicians within 30 days and shall not perform any panel QME or represented QME comprehensive medical-legal evaluation until the fee is paid. If the fee is not paid within two years from the due date in the QMEs final notice from the Council that the fee is due, then the physician shall resubmit a new application pursuant to Sections 10 and 11, pass the QME competency examination and pay the appropriate fee prior to regaining QME eligibility. Note: Authority cited: Section 139.2, Labor Code. Reference: Sections 139 and 139.2, Labor Code. s 19. Certificate of QME Status. (a) Upon receipt of the QME fees and review by the council to ensure current compliance with section 139.2 of Labor Code and any other applicable regulations promulgated by the council concerning QME eligibility, the council shall within 45 days send to the physician a certificate of approved status as Qualified Medical Evaluator. The certificate of QME status shall be displayed in a conspicuous manner at the QME's office location at all times during the period the QME is approved by the council to conduct evaluations under council appointment. (b) It shall be unlawful for any physician who has been terminated or suspended from the QME list or who has failed to pay the required QME fee pursuant to sections 17 and 18 to display a certificate of approved status as a Qualified Medical Evaluator. Note: Authority cited: Section 139.2, Labor Code. Reference: Sections 139 and 139.2, Labor Code. s 20. Time Periods. (a) Within 45 days of receipt of an application for QME status, the Council shall either inform the applicant, in writing, that the application is complete and accepted for filing, or that the application is deficient and what specific information is required. (b) Within 45 days of receipt of a completed application, the Council shall inform the applicant, in writing, of its decision to allow or not to allow the applicant to proceed to take the required QME competency examination as per Section 11(c) of these regulations. (c) Within 45 days of receipt of a completed application, the Council must inform the applicant, in writing, of its decision to grant or deny the application. (d) Based upon the two years immediately preceding October 1, 1993, the Council's minimum time for processing an application for QME status is 14 days. The median time is 60 days. The maximum time is 2 years. Note: Authority cited: Sections 139 and 139.2, Labor Code; and Section 15376, Government Code. Reference: Sections 4060, 4061 and 4062, Labor Code; and Section 15376, Government Code. s 30. QME Panel Requests. (a) Requests for a QME panel made by an unrepresented employee pursuant to Labor Code Sections 4061 and 4062 shall be submitted on the form in Section 106. (b) In the event a request form is incomplete, or improperly completed so that a QME panel selection cannot properly be made, the request form shall be returned to the employee with an explanation why the selection could not be made. (c) The Request for Qualified Medical Evaluator Form along with the instruction form in Section 105 entitled "How to Request a Qualified Medical Evaluator" shall be provided by the claims administrator (or, if there is no claims administrator, the employer) to the unrepresented employee by personal delivery to the employee or by first class or certified mailing. (d)(1) For admitted injuries between January 1, 1991 and December 31, 1993, a panel request form and notice in a form prescribed by the Administrative Director pursuant to Article 8 of Chapter 4.5 of this Title shall be provided to an unrepresented employee where the employee, the claims administrator or, if none, the employer alleges a medical conclusion that the employee is no longer entitled to temporary disability indemnity and permanent disability cannot be determined or is or is not payable. The QME shall address all medical issues raised by the parties, including but not limited to the employee's permanent and stationary status, the extent and scope of medical treatment, the employee's status as a Qualified Injured Worker or the existence of new and further disability in order to produce a complete comprehensive medical-legal evaluation. (2) For admitted injuries occurring on or after January 1, 1994 a panel request form and the Administrative Director's notice pursuant to Article 8 of Chapter 4.5 of this Title shall be provided to an unrepresented employee where a party disputes a medical conclusion by the primary treating physician. If the issues are other than the level of permanent impairment and limitations or the need for medical care, the objecting party shall, absent good cause as determined by the Appeals Board, notify the other party of the nature of the objection within 30 days of receipt of the report from the primary treating physician. The objecting party shall submit a written copy of the objection to the QME along with any medical records submitted pursuant to the requirements of Section 35. After the QME evaluation is complete, either the employee or the employer may object to any new or unresolved issue. The parties shall utilize the same QME to the extent possible. Where the issue is outside the QME's scope of practice pursuant to the QMEs licensing authority, the parties may select another QME pursuant to subdivision (a) of Section 4064 of the Labor Code. (e) If the request form is submitted by an unrepresented employee who no longer resides within the state of California, the geographic area of the QME panel selection within the state shall be determined by agreement between the claims administrator or, if none, the employer, and the employee. If no agreement can be reached, the geographic area of the QME panel selection shall be determined by the employee's former residence within the state. Note: Authority cited: Sections 139, 139.2, 4061 and 4062, Labor Code. Reference: Sections 139.2, 4061 and 4062, Labor Code. s 30.1. The Request for Qualified Medical Evaluator Form. Note: Authority cited: Sections 133, 139 and 139.2, Labor Code. Reference: Sections 139.2, 4060, 4061 and 4062, Labor Code. s 30.2. The Request for Qualified Medical Evaluator Instruction Form: Note: Authority cited: Sections 4061 and 4062, Labor Code. Reference: Sections 4061 and 4062, Labor Code. s 30.5. Specialist Designation. The Medical Director shall utilize in the selection process the specialist(s) indicated on the Request for Qualified Medical Evaluator Form 105. Note: Authority cited: Sections 139, 139.2, 4061 and 4062, Labor Code. Reference: Sections 139.2, 4061 and 4062, Labor Code. s 31. QME Panel Selection. (a) The panels shall be selected randomly from the appropriate specialty requested by the employee, with consideration given to the proximity of the QME's medical office to the employee's residence. (b) The unrepresented employee shall make an appointment request with a QME listed on the panel and may consult with his or her primary treating physician as to an appropriate QME specialist. Neither the claims representative nor a representative of the employer nor a QME may discuss or make the selection of a panel QME for an unrepresented worker at any time. (c) The Medical Director shall exclude from the panel selection process any QME who has informed the Medical Director that he or she is unavailable pursuant to Section 33. (d) Any physician who has served as a primary treating physician or secondary physician and who has provided treatment in accordance with Section 9785.5 of this Title for this injury for an unrepresented employee shall not perform a QME evaluation on that employee. If that QME appears on a panel, he or she shall disqualify him or herself, and the employee may request a replacement QME pursuant to Section 31.5. Note: Authority cited: Sections 4061 and 4062, Labor Code. Reference: Sections 139.2, 4061 and 4062, Labor Code. s 31.1. The Qualified Medical Evaluator Panel Selection Form. Note: Authority cited: Sections 139.2, 4061 and 4062, Labor Code. Reference: Section 139.2, Labor Code. s 31.2. The Qualified Medical Evaluator Panel Selection Instruction Form. Note: Authority cited: Sections 133, 139, 139.2, 4061 and 4062, Labor Code. Reference: Sections 139.2, 4061, 4061.5 and 4062, Labor Code. s 31.5. QME Replacement Requests. (a) A replacement QME to a panel shall be provided to an unrepresented worker upon the employee's request if any of the following occurs: (1) A QME on the panel issued does not practice in the specialty requested by the employee. (2) A QME on the panel issued cannot schedule an examination for the employee within 60 days of the employee's request. (3) The employee has changed his or her residence address since the QME panel was issued. (4) A physician on the QME panel is a member of the same group practice as defined by Labor Code section 139.3 as another QME on the panel. (5) The QME is unavailable pursuant to section 33. (b) Any party may request a replacement QME if any of the following occurs: (1) The employee's primary treating physician in accordance with Section 9785 of this Title is on the panel. (2) The claims administrator or, if none, the employer and the unrepresented employee agree that a new panel may be issued in the geographic area of the employee's work place. (3) The Medical Director, upon written request, finds good cause that a replacement QME is appropriate for reasons related to the medical nature of the injury. For purposes of this subsection, "good cause" is defined as a documented medical or psychological impairment. (4) The Medical Director, upon written request, determines after a review of all appropriate records that the specialty chosen by the injured worker is medically or otherwise inappropriate for the injury to be evaluated. (5) Any violation of Section 34. (c) The Medical Director shall select replacement QME(s) at random. Note: Authority cited: Sections 139, 139.2, 4061 and 4062, Labor Code. Reference: Sections 139.2, 4061 and 4062, Labor Code. s 32. Consultations. (a) For injuries occurring between January 1, 1991 and December 31, 1993, a party may request the Medical Director to direct the QME to consult with a physician in an appropriate specialty to address issues outside the QME's specialty if the party believes such a consultation is necessary to provide a complete and accurate examination pursuant to section 4061 of the Labor Code. The party requesting the consultation shall specify in writing the reasons for the consultation. Valid reasons for providing the QME consultation shall include, but not be limited to, the expertise of the QME, the accuracy of the QME comprehensive medical-legal evaluation in question and the complexity of the medical issue involved. (b) The Medical Director shall appoint a separate list of physicians for requests pursuant to subsection (a), and shall, in his or her discretion, grant or deny the request within 30 days. (c) For injuries occurring on or after January 1, 1994 a QME may obtain a consultation from any physician who has treated the unrepresented employee for the injury listed on the panel request form or by any physician as reasonable and necessary pursuant to Labor Code section 4064 or upon agreement by a party to pay the cost. (d) In any case where an acupuncturist has been selected by the injured worker from a three-member panel and an issue of disability is in dispute, the acupuncturist shall request a consult from a QME defined under s 1(n) to evaluate the disability issue(s). The acupuncturist shall evaluate all other issues as required for a complete evaluation. Note: Authority cited: Sections 139.2, 4061, 4062 and 4064, Labor Code. Reference: Sections 4061 and 4062, Labor Code. s 32.5. Rebuttal QME Examinations. (a) For injuries occurring between January 1, 1991 and December 31, 1993, an unrepresented employee shall have the right to a QME panel for one comprehensive medical-legal evaluation to rebut the findings of a panel QME, provided however, that the rebuttal evaluation is reasonable and necessary to resolve a disputed medical fact as defined in section 9793(e) of this Title. The employee shall notify in writing the claims administrator, or if none, the employer, the justification for the rebuttal evaluation. A copy of this notice shall be submitted to the Medical Director with this request. Reasonable and necessary justification shall include but not be limited to a discrepancy between the treating physician's conclusions and the QME's conclusions as to the level of permanent impairment, the need for medical treatment or the employee's status as a Qualified Injured Worker. (b) For injuries occurring on or after January 1, 1994, and upon request by the Appeals Board, the Medical Director shall assign a QME to address disputed issues provided, however, that the claims administrator or if none, the employer, agrees to pay for the cost of this rebuttal examination. Note: Authority cited: Sections 139.2, 4061, 4062 and 4064, Labor Code. Reference: Sections 4061 and 4062, Labor Code. s 32.7. Rebuttal QME Examinations. Note: Authority cited: Sections 139.2, 4061 and 4062, Labor Code. Reference: Sections 4061 and 4064, Labor Code. s 33. Unavailability of QME. (a) A QME who will be unavailable to accept appointments to a QME panel for a period of 14 days or more for any reason, including a change of address, absent good cause including but not limited to medical or family emergency, shall notify the Medical Director by submitting the form in Section 109. The form shall be filed with the Medical Director 30 days prior to the period of unavailability. The Medical Director may, in his or her discretion, grant a notice of unavailability within the 30 day period in cases of injury or illness to the QME or his or her immediate family. (b) It shall not be an acceptable reason for unavailability that a QME does not intend to perform comprehensive medical-legal evaluations for unrepresented workers. A QME who has filed notification for unavailability for more than 90 days during the QME fee period without good cause may be denied reappointment subject to Section 52. Good cause includes, but is not limited to sabbaticals or death of immediate family member. (c) If an unrepresented employee is unable to obtain an appointment for an evaluation with a selected QME within 60 days after an appointment request, the employee may report the unavailability of the QME to the Medical Director. The Medical Director shall provide a replacement QME at random to be added to the employee's panel in accordance with Section 31(d). The employee may choose to waive his or her right to replacement QME and accept a later appointment with the originally selected QME or select one of the two remaining QME's on the panel. (d) If a QME fails to notify the Medical Director, by submitting the form in Section 109, of his or her unavailability at a medical office due to a change in address for that office within 30 days of the change, the Medical Director may designate the QME to be unavailable at that location for 30 days from the date the Medical Director learns of the change in address. At that time, a certified letter will be sent to the QME by the IMC regarding his/her unavailability. If the IMC does not receive a response within 30 days of the date of certification of the letter, then the QME will be made inactive at that location. Note: Authority cited: Sections 139 and 139.2, Labor Code. Reference: Sections 139.2, 4061 and 4062, Labor Code. s 33.1. The Notice of QME Unavailability Form. Note: Authority cited: Sections 139 and 139.2, Labor Code. Reference: Sections 139.2, 4061 and 4062, Labor Code. s 34. Appointment Notification. (a) When an unrepresented employee makes an appointment with a QME, the QME shall complete an appointment notification form by submitting the form in Section 110. This completed form shall be postmarked or sent by facsimile to the employee and the claims administrator or, if none, the employer within 5 working days of the date the appointment was made. Failure to comply with this requirement shall constitute grounds for denial of reappointment under Section 51. (b) The QME shall schedule an appointment for a comprehensive medical-legal examination which shall be conducted only at the medical office listed on the panel selection form. (c) The QME shall include within the notification whether a Certified Interpreter, as defined by Labor Code Section 5811 and subject to the provisions of section 9795.3 of this Title, is required and specify the language. The interpreter shall be arranged by the party who is to pay the cost as provided for in Section 5811 of the Labor Code. Note: Authority cited: Sections 139 and 139.2, Labor Code. Reference: Sections 4061 and 4062, Labor Code. s 34.1. The Appointment Notification Form: Note: Authority cited: Sections 139 and 139.2, Labor Code. Reference: Sections 139.2, 4061 and 4062, Labor Code. s 35. Exchange of Information. (a) Where an employee is unrepresented, the claims administrator or, if none, the employer shall, and the employee may, provide to the QME: (1) All records prepared or maintained by the employee's treating physician or physicians; (2) Other medical records in their possession, including any previous treatment records, and/or non-medical records or information which are relevant to the evaluation of the employee's injury; (3) A letter outlining the issues which the QME is requested to address in the evaluation, which shall be served on the opposing party no less than 20 days in advance of the evaluation; (b) In no fewer than 20 days before the information is to be provided to the QME, the party providing such information shall serve on the opposing party the following: (1) A copy of all medical records and medical reports to be sent. (2) A copy of all non-medical documents or other non-medical information, including films or videotapes, to be sent. The claims administrator or employer shall include a cover letter or other document when providing such information to the employee which shall clearly and conspicuously include the following language: "Please look carefully at the enclosed information. It may be used by the doctor who is evaluating your medical condition as it relates to your workers' compensation claim. If you do not want the doctor to see this information, you must let me know within 10 days." (3) Copies of all records being sent to the QME shall be sent to all parties except as otherwise provided in section (c). Failure to do so shall constitute ex parte communication by the party transmitting the information under section (f). (c) In the event that the unrepresented employee schedules an appointment within 20 days of receipt of the panel, the employer or if none, the claims administrator shall not be required to comply with the 20 day time frame for sending medical information in subsection (b)(1) provided, however, that the unrepresented employee is served all non-medical information in subsection (b)(2) 20 days prior to the information being served on the QME so the employee has an opportunity to object to any non-medical information. (d) In the event that a party fails to provide to the QME any relevant medical record which the QME deems necessary to perform a comprehensive medical-legal evaluation, the QME may contact the treating physicians or other health care provider, to obtain such record(s). If the party fails to provide relevant medical records under section (a) within 10 days after the date of the evaluation, and the QME is unable to obtain the records, the QME shall complete and serve the report to comply with the statutory time frames under Section 38. The QME shall note in the report that the records were not received within the required time period. Upon request by the party, or the Appeals Board, the QME shall complete a supplemental evaluation when the relevant medical records are received. For a supplemental report the QME need not conduct an additional physical examination of the employee if the QME believes a review of the additional records is sufficient. (e) The QME and the employee's treating physician(s) may consult as necessary to produce a complete and accurate report. The QME shall note within the report new or additional information received from the treating physician. (f) If an employer or claims administrator communicates with a QME in violation of Labor Code section 4062.2, the Medical Director shall provide the unrepresented employee with a new panel in which to select a new QME or the employee may elect to proceed with the original QME. If an employee communicates with a QME either before or after the evaluation, in violation of Labor Code section 4062.2, the claims administrator or employer may request the Medical Director to issue a new panel to the unrepresented employee. The Appeals Board shall retain jurisdiction to determine whether ex parte contact has occurred in all cases. Note: Authority cited: Sections 139 and 139.2, Labor Code. Reference: Sections 139.2, 4060, 4061, 4062, 4062.2, Labor Code. s 35.5. Compliance by QMEs with IMC Guidelines. Any evaluation pursuant to Labor Code 4060, 4061 and 4062 shall be performed in compliance with all appropriate evaluation procedures pursuant to Article 4 of this Chapter. s 36. Summary Form for Comprehensive Medical-Legal Evaluation Performed Pursuant to Labor Code Section 4061 by QMEs or AMEs; Service of Form and Evaluation. (a) Upon completion of either a comprehensive medical-legal evaluation or follow-up medical legal evaluation as defined under Section 9793(f) of this Title, of an unrepresented employee, the evaluator shall complete the QME/AME Findings Summary Form in Section 111. The Form shall not be required for a supplemental medical legal evaluation under 9793(k) of this Title. The evaluator shall serve the comprehensive medical-legal evaluation, the summary form, and DEU forms 100 and 101 on the employee, and the claims administrator, or if none, the employer, as well as the appropriate local DEU office within the time frames specified in Section 38. (b) If an evaluation is completed under subsection (a) for an unrepresented employee, in which the QME determines that the employees condition has not become permanent and stationary as of the date of the evaluation, the parties shall request any further evaluation from the same QME if the QME is currently an active QME and available at the time of the request for the additional evaluation. If the QME is unavailable, a new panel may be issued to resolve any disputed issue(s). If the evaluator is no longer a QME, he/she may issue a supplemental report as long as a face-to-face evaluation (as defined in section 49(b) of these regulations) with the injured worker is not required. In no event shall a physician who is not a QME or no longer a QME perform a follow up evaluation on an injured worker. Note: Authority cited: Section 139, Labor Code. Reference: Sections 4060, 4061 and 4062, Labor Code; and 8 CCR 10161. s 36.1. The Qualified or Agreed Medical Evaluator's Findings Summary Form. Note: Authority cited: Sections 139, 139.2, 4061 and 4062, Labor Code. Reference: Sections 139.2, 4061 and 4062, Labor Code. s 37. Treating Physician's Determination of Medical Issues Form. Pursuant to Labor Code Sections 4061.5 and 139(e)(9), this form may be used by the treating physician primarily responsible for managing the care of the injured worker, or the physician designated by that physician, when rendering opinions on all medical issues necessary to determine eligibility for compensation. The Treating Physician's Determination of Medical Issues Form (Treating Physician's Form) is as follows: Note: Sections 139, 4061 and 4061.5, Labor Code. Reference: Sections 139(e)(9), 4061 and 4061.5, Labor Code. s 38. Medical Evaluation Time Frames; Extensions for QMEs and AMEs. (a) For a late report, regardless of the date of injury, if any of the following occur, the unrepresented injured worker shall be entitled to a new three-member QME panel: (1) the QME fails to request an extension (2) the timeframe extension is denied (3) the QME does not issue the report by the approved extension date. The injured worker shall have 15 days from the date of notice by the Medical Director to complete, sign and return IMC Forms 113, 115, 116 as applicable. If the employee requests a new panel, the claims administrator or, if none, the employer shall have no liability for the late report. If the employee is represented by an attorney and the extension is denied to an AME, either party may withdraw from the AME and no party shall be liable for payment to the AME. (b) For injuries between January 1, 1991 and December 31, 1993, the time frame for comprehensive medical-legal evaluations to be prepared and submitted shall not exceed 45 days after the QME or AME has seen the employee or otherwise commenced the comprehensive medical-legal evaluation procedure. Extension of the 45-day limit shall be approved when the evaluator has good cause or has not received test results or consulting physicians' evaluations necessary to address all disputed medical issues in time to meet the initial 45-day deadline. If the evaluation is not completed on the scheduled date through no fault of the QME, the QME may request an extension not to exceed an additional 45 days from the Medical Director. The evaluator shall notify the employee and the claims administrator or, if none, the employer not later than 5 days before the initial 45-day period expires that an extension is warranted. A copy of the notice shall be sent to the Medical Director. The notice shall be on the form in Section 112. If the extension of time requires additional days greater than 90 days from the date of the evaluation for the submission of the report, approval or denial shall be granted within 10 days by the Medical Director. (c) For injuries on or after January 1, 1994, the time frame for comprehensive medical-legal evaluations to be prepared and submitted shall not exceed 30 days after the QME or AME has seen the employee or otherwise commenced the comprehensive medical-legal evaluation procedure. Extension of the 30-day limit shall be approved when the evaluator has good cause or not received test results or consulting physicians' evaluations necessary to address all disputed medical issues in time to meet the initial 30-day deadline. If the evaluation is not completed on the scheduled date through no fault of the QME, the QME may request an extension not to exceed an additional 30 days from the Medical Director. The evaluator shall notify the employee and the claims administrator, or if none, the employer not later than 5 days before the initial 30-day period expires that an extension is warranted. A copy of the notice shall be sent to the Medical Director. The notice shall be on the form in Section 112. If the extension of time requires additional days greater than 60 days from the date of the evaluation for the submission of the report, approval or denial shall be granted within 10 days by the Medical Director. (d) Extensions for good cause shall not exceed an additional 15 days from the date the report is to be served. Good cause means: (1) medical emergencies of the evaluator or the evaluator's family; (2) death in the evaluator's family; (3) natural disasters or other community catastrophies that interrupt the operation of the evaluator's office operations; (e) Extensions shall not be granted because relevant medical information/records (including Disability Evaluation Form 101 8 CCR s10161(b)) have not been received. The evaluator shall complete the report based on the information available and state that the opinions and/or conclusions may or may not change after review of the relevant medical information/records. (f) The time frame for supplemental reports in unrepresented cases shall be no more than 60 days from the date of a written or electronically transmitted request to the physician by a party. The request for a supplemental report shall be accompanied by any new medical records unavailable to the QME at the time of the original QME evaluation in compliance with section 10160(f) of this Title. An extension of the 60 days may be agreed to by the parties. (g) Evaluators giving notice of time extensions will be monitored and advised by the Medical Director when such notices appear unreasonable or excessive. Failure to comply with this section may constitute grounds for denial of the QME's request for reappointment pursuant to Section 51. Note: Authority cited: Sections 139.2, 4061 and 4062, Labor Code. Reference: Sections 139.2, 4061, 4062 and 4067.5, Labor Code. s 38.1. The QME and AME Time Frame Extension Request Form: Note: Authority cited: Sections 139 and 139.2, Labor Code. Reference: Sections 139.2, 4060, 4061, 4062 and 4062.5, Labor Code. s 38.2. "The Time Extension Approval" Form: Note: Authority cited: Sections 139 and 139.2, Labor Code. Reference: Sections 139.2, 4060, 4061, 4062 and 4062.5, Labor Code. s 38.3. The "Denial of Time Extension" Form. Note: Authority cited: Sections 139 and 139.2, Labor Code. Reference: Sections 139.2, 4060, 4061, 4062 and 4062.5, Labor Code. s 38.4. The "Notice of Late QME Report" Form: Note: Authority cited: Sections 139 and 139.2, Labor Code. Reference: Sections 139.2, 4060, 4061, 4062 and 4062.5, Labor Code. s 39. Records, Destruction of. The Medical Director may destroy any forms included in these regulations five years after the date of receipt, provided that the completed "Application for Appointment as Qualified Medical Evaluator" form shall be preserved for each QME during the period(s) of his or her appointment as a QME. The "Request for Qualified Medical Evaluator" forms may be destroyed by the Medical Director two years after the date of receipt. Note: Authority cited: Sections 139 and 139.2, Labor Code. Reference: Sections 139.2, 4060, 4061 and 4062, Labor Code; and Section 14755, Government Code. s 39.5. Records, Retention by QMEs. (a) All QMEs shall retain all comprehensive medical-legal reports completed by the QME for a period of five years from the date of the employee's evaluation. Upon written request, a QME is required to return original radiological and imaging studies and or original medical records. (b) An evaluator shall submit all comprehensive medical/legal reports performed as a QME under this article to the Medical Director upon request for a review by the Medical Director. Failure to submit evaluations upon request by the Medical Director may constitute grounds for disciplinary action pursuant to Section 60. Note: Authority cited: Sections 139 and 139.2, Labor Code. Reference: Sections 139.2, 4060, 4061 and 4062, Labor Code; and Section 14755, Government Code.. s 40. Disclosure Requirements: Unrepresented Workers. (a) A QME shall advise an unrepresented injured worker prior to or at the time of the actual evaluation of the following: (1) That he or she is entitled to ask the QME and the QME shall promptly answer questions about any matter concerning the evaluation process in which the QME and the injured worker are involved; (2) That subject to Section 41(e), the injured worker may discontinue the evaluation based on good cause. Good cause includes discriminatory conduct by the evaluator towards the worker based on race, sex, national origin, religion, or sexual preference, and instances where the evaluator requests the worker to submit to an unnecessary exam or procedure. (b) When required as a condition of probation by the Council or his/her licensing authority, the QME shall disclose his/her probationary status. The QME shall be entitled to explain any circumstances surrounding the probation. If at that time, the injured worker declines to proceed with the evaluation, such termination shall be considered by the Council to have occurred for good cause. (c) If the injured worker declines to ask any questions relating to the evaluation procedure as set forth in Section 40(a), and does not otherwise object on the grounds of good cause to the exam proceedings under Section 41(a) during the exam itself, the injured worker shall have no right to object to the QME comprehensive medical-legal evaluation based on a violation of this section. Note: Authority cited: Sections 139.2 and 5307.3, Labor Code. Reference: Sections 139, 139.2, 4060, 4061 and 4062, Labor Code s 41. Ethical Requirements. (a) All QMEs, regardless of whether the injured worker is represented by an attorney, shall: (1) Maintain a clean, professional medical office (as defined in Section 1(m)) at all times including functioning evaluating medical instruments and equipment appropriate to conducting the evaluation within the physician's scope of practice. (2) Schedule all appointments for comprehensive medical-legal evaluations without regard to whether a worker is unrepresented or represented by an attorney. A QME shall not refuse to schedule an appointment with an injured worker solely because the worker is not represented by an attorney or because a promise to reimburse or reimbursement is not made prior to the evaluation. (3) Not request the employee to submit to an unnecessary exam or procedure. (b) QMEs selected by an unrepresented injured worker from a three-member panel provided by the Council shall not engage in ex parte communication in violation of Labor Code Section 4062.2. (c) All QMEs, regardless of whether the injured worker is represented by an attorney, shall with respect to his or her comprehensive medical-legal evaluation: (1) Refuse any compensation from any source contingent upon writing an opinion that in any way could be construed as unfavorable to a party to the case. (2) Review all available relevant medical and non-medical records and/or facts necessary for an accurate and objective assessment of the injured workers' case before generating a written report. (3) Render expert opinions or conclusions without regard to an injured workers' race, sex, national origin, religion or sexual preference. (4) Render expert opinions or conclusions only on issues with regard to which the QME has adequate qualifications, education, and training. All conclusions shall be based on the facts and on the QME's training and specialty-based knowledge and shall be without bias either for or against the injured worker or the employer. (5) Present a report that addresses all relevant issues, is ratable by the DEU, if applicable, and complies with all relevant guidelines of the Industrial Medical Council. (d) All aspects of all physical and/or psychological comprehensive medical-legal evaluations, including history taking, shall be directly related to medical issues as presented by any party or addressed in the reports of treating physician(s). (e) No physician certified by the IMC as a QME, or his or her agent, shall contact a QME for the purpose of influencing that QME's opinions or conclusions in any QME evaluation. (f) No QME shall schedule appointments to the extent that any injured worker will be required to wait for more than one hour at a QME's office prior to being seen for the previously agreed upon appointment time for an evaluation. If the injured worker is unrepresented and is not seen by the QME within one hour, he or she may terminate the exam and request a replacement evaluator from the Council. No party shall be liable for the terminated exam. The QME may explain any reasons for the delay to the injured worker and, provided both parties agree, the evaluation may proceed or be rescheduled at a later date. If the evaluation is rescheduled, the QME shall provide notice to the claims administrator or, if none, the employer within 5 working days after rescheduling the appointment. (g) If the injured worker terminates the examination process based on an alleged violation of either Section 40 or Section 41(a) and the Appeals Board later determines that good cause did not exist for the termination, the cost of the evaluation shall be deducted from the injured worker's award. A violation of Section 40 or of any part of section 41(a) shall constitute good cause for purposes of an Appeals Board determination. No party shall be liable for any cost for medical reports or medical services delivered as a result of an exam terminated for good cause. (h) Nothing in this section shall require a QME to undertake or continue a comprehensive medical-legal evaluation where the injured worker or his/her representative uses abusive language towards the QME or the QME's staff or deliberately attempts to disrupt the operation of the QME's office in any way. The QME shall state under penalty of perjury, the facts supporting the termination of the evaluation process. Upon request, the Medical Director shall investigate the facts and make a final determination of the issue(s). (i) Nothing in this section shall require a QME to undertake or continue a comprehensive medical-legal evaluation where the injured worker is intoxicated or under the influence of any medication which impairs the injured worker's ability to participate in the evaluation process. The QME shall state under penalty of perjury, the facts supporting the termination of the evaluation process. Upon request, the Medical Director shall investigate the facts and make a final determination of the issue(s). Note: Authority cited: Sections 139.2, 5307.3 and 5307.6, Labor Code. Reference: Sections 139, 139.2, 4060, 4061, 4062 and 4062.2, Labor Code s 42. Disciplinary Proceedings. Note: Authority cited: Sections 139.2 and 5307.3, Labor Code; Section 11370 et seq., Government Code; and Section 11500 et seq., Government Code. Reference: Sections 139, 139.2, 4060, 4061 and 4062, Labor Code s 43. Method of Measurement of Psychiatric Disability. The Method of measuring the psychiatric elements of a disability shall be as set forth below in the "Psychiatric Protocols" as adopted by the Industrial Medical Council on July 16, 1992, and amended on March 18 and October 25, 1993. Chapter I. OUTLINES OF EVALUATION REPORTS As a means of introducing some standardization to the contents evaluation reports, two model outlines are presented in this Chapter. Subchapter A, the Evaluation Report for Psychiatric Disability, is a guide for the physician, who may be either a psychiatrist or psychologist, who is conducting evaluation of psychiatric injuries. It assures that the clinician has provided all the information and opinions required b W.C.A.B. Rules of Practice and Procedure Section 10606. It also assures that the clinician has conducted the evaluation in a manner consistent with the requirements of the California Labor Code. Subchapter B, the Psychological Assessment Report, is a guide for the psychologist in those instances where the psychologist's role is to provide psychologist assessment as part of a collaborative evaluation report of psychiatric unjury. The latter's findings are to be assimilated into the evaluation report of the independent examiner, supported in detail by a complete psychologist assessment report which includes test scores. Additonal guidlelines with respect to psychologist testing are also provided. Whereas in psychiatry and psychology the process by which the historical data, excluding purely clerial intake data, e.g., patient identifier information, is collected is an intimate component of the psychiatric examination, collection of such information b any person other than doctoral level trained psychiatrist or psychologist is not accepable. The doctoral level trained psychiatrist or psychologist who authors the report must collect the historical information via the interview process. The use of other clinicians or non-clinicians cannot substitute for the evaluating clinician, and such reports are deficient. Furthermore, the use of other than the examiner to review the records and edit/write reprots is unacceptable. Not uncommonly, the psychiatric examiner reviews personnel files, military records, educational documents and other administrative reports that must not be delegated to the purview of others. Similarly, the nuances of psychiatric diagnosis and formulation of dunamic issues related to the crucial question of returning the employee to the work force must not come from other than a licensed doctoral level practitioner. The psychiatrist or psychologist who examines an applicant for Worker's Compensation on the basis of alleged psychiatric injury must conduct a careful interview of the applicant addressing elements of the outline for the evaluation report. To complete the interview almost always will require at least one to three hours of direct contact with the applicant by the examiner. In the case of applicants who have significant wxpressive/receptive English language deficits, interpreters may be used by the examiner. However, it is preferable that such applicants bay evaluated by examiners who can speak and also administer psychologial tests in the primary language. The use of interpreters may lead to distortion of the facts and misinterpretation of the data. Where, the psychologist is in the role of a consultant in the medical-legal assessment process, the duplication of certain efforts between the psychologist and the psychiatrist should not typically occur unless warranted by specific circumstances. It should not be necessary for the consultant to duplicate efforts at reviewing records and obtaining historical information in most cases. It may be necessary in the most comples cases where psychologist assessment is required that certain records and some portion of the history will need to be addressd by the consulting psychologist. A consulting psychologist is allowed to take a history if it is necessary. However, this is not a typical situation and in the routine case a thorough assessment by one clinician of the records and the obtaining of historical information should suffice. An explanation must br given when duplictive services are provided. The examiner should conduct such interviews as may be appropriate and possible and should review the psychologist assessment findings, the medical and employment and other documents or records [FN1] of the applicant, and other referral documents. When all this information is assembled, it should be documented in the report with a detailed description of the cognitive, effective, and behavioral signs/symptons of the applicant, as well as the psychological assessment scores and interpretations. It should be noted that the following outlines are more suggestive than prescriptive. The content of reports will vary with the referral questions, the nature of the applicant's presenting problems, and, to some extent, the practice of individual clinicians. The suggested headings are not required, but a systematic, quasistandardized report including all the relevant facts is likely t be most usefull to judges. [FN1] Employment and other documents or records, if reviewed, should be made available to applicant or his or her counsel at the same time. A. EVALUATION REPORT FOR PSYCHIATRY DISABILITY (To be used by psychiatrist and psychologist examiners.) 1. Identifying information a. Date, place, and duration of examination b. Reason for referral and referral questions c. Names and fucntions of others taking part in the examination, including use of interpreter d. Applicant (patient/client) 1. Date of birth 2. Date of alleged industrial injury 3. Date of last worked e. Sources of facts (Include collaterals, if interviewed) 2. Description of applicant interview a. Appearance (Do not omit obvious physical aberrations) b. Demeanor, general behavior c. Apparent effective state, based on observation d. Stream of speech e. Interaction with interviewer 3. Descriptions of applicant's current complaints a. Subjective complaints b. Applicant's view of the impairment created by the complaints 4. History of present illness a. Applianct's description of industrial stressors, onset of complaints, and alleged injuries or illness asocaited with onset b. Psychological response to alleged injury situation c. History of mental health problems since alleged injury d. History of treatment since alleged injury e. Current treatment and medication, including medication taken one day of interview 5. Occupational history (Distingiush baseline, injury concurrent, and postinjury events) a. Educational level and professional, technical, or vocational training b. Sequential description of occupations pursed (including military service) 1. Training and skills required 2. Supervisory responsibilities 3. Career mobilty (upward, downward, lateral) c. Difficulties and/ or accmplishments in each occupational setting 6. Past mental health history and relevant medical history 7. Family history a. Family of origin 1. Parent's age, education, occupational history 2. Sibling's age, education, occupationl history 3. Composition of family during applicant's childhood and youth 4. Mental health history and relevant history or family members 5. Family response to illness 6. Relevant social history of family members 7. Quality of family relations b. Family or procreation 1. Present marital status 2. Spouse's age, education, occupational history 3. Number of offspring (Obtain same data for abult offspring as for spouse) 4. Mental health history and relevant medical history of family members 5. Relevant social history of family members 6. Quality of family relations c. History of previous marriages 8. Development history 9. Social history (Distinguish baseline, injury, concurrent, and postinjury findings) a. Interpersonal relationships b. Previous life changes (external stresses and losses) and response to these c. Educational history d. Legal history, when applicable (Include previous workers' compensation and personal injury claims, with the circumstances and outcome) e. Criminal history which is relevant to diagnosis and/or disability f. Substance use and abuse g. Applicant's description of a typical day 10. Mental Status Examination (Include relevant negative findings) a. Level of consciousness b. Mood, e.g.: (1). Depression (2). Liability (3). Elation (4). Anxiety (5). Inappropriateness c. Cognition/thinking (1). Orientation (2). Estimation of intelligence (3). Memory dysfunction a. Recall/short-term memory b. Remote memory (4). Perceptual and communication disorders (agnosias and aphasias) (5). Thought content (6). Thought disorder, e.g.: a. Ideas of reference b. Looseness of associations c. Delusions d. Perceptual disorders, including hallucinations e. Intrusive thought/obsessive thinking (7). Evidence of deficit in a. Learning b. Problem solving c. Judgment (8). Insight (Include applicant's perception of relationship between injury and psychological condition.) d. Behavior 1. Motor : Retardation or hyperactivity 2. Appropriateness in interview e. Evidence of physiologic disturbance 1. Skeletal muscle system 2. Autonomic 3. Somatoform or conversion symptom 11. Findings from psychological assessment (Attach complete psychological report) 12. Review of medical record 13. Interviews with collateral sources and Review of Employment or Personnel records (Compare descriptin of industrial stressor with applicant's account) 14. Diagnosis using DSM-IV terminology and criteria 15. Summary and conclusions (Provide source for all information cited as evidence.) a. Brief summary of relevant history and findings b. If any disability, present and justify an opinion concerning the current cause(s), whether or not they are related to the work place. Consider: (1). The relationship f work exposure to disability (2). Nonindustrial clauses of disability, including pre-existing causal factors (3). Aggravating or accelerating factors (industrial and non-industrial) (4). Natural progression of pre-existing disorder (5). Active or passive contribution of the workplace to the disability. (See Twentieth Century Fox Film Corporation v. W.C.A.B. and Kevin Conway (1983) C.A. 3rd 778, 190 CA: Rptr 560, 48 C.C.C. 275 and also Georgia Pacific Corporation v. W.C.A.B. and Robert H. Byrne (1983) 144 C.A. 3rd 72, 192 Rptr. 643, 48 C.C.C. 443.) (6). Applicant's subjetive reaction to stress at work, if relevant. (See Albertson's Inc. v. W.C.A.B (Bradley) (1928) 131 Cal.App.3d 308, 182 Cal. Prtr. 304, 47 C.C.C. 460.) Indicate whether actual events of employment were predominant as to all causes combined of the pyschiatric injury (see Laboe Code Section 3208.3(b)(1) or, if applicable, whether they were a substantial cause (see Labor Code Section 3208.3(b)(2)(3)). c. Indicate diagnostic entities which were work-disabling prior to the alleged industrial injury and provide evidence. d. State whether the disability is temporary or has reached a permanent and stationary status and cite evidence. If the condition is permanent and stationary, state on what date it became so and cite evidence. Consider the natural history of the disorder, the response to treatment. If the condition is not yet permanent and stationary, state when you expect it will be so. If you think further reasonable medical treatment will improve the condition, describe the treatment and its expected benefits. e. If the disability is permanent and stationary, present an opinion regarding the nature and severity of the disability. Describe the disabling symptoms (subjective and objective factors in disability) according to Chapter II. Cpmplete to Work Function Impairment Form (Exhibit "A") citing symptoms, mental status finding, psychological test data, and history as supporting data. (Descriptions of work functions in Exhibit "B") If there is a non-psychiatric disability, a specialist in the area affected. f. Make an advisory apportionment of disability. In order to do this, describe the disability that would exist at this time in the absence of the work place injury. Cite the evidence on which the estimated preinjury level is based. Use a separate Work Function Impairment Form. (Exhibit "A") g. Indicate recommended treatment and/or rehabilitation, if any. State whether the employee, the effects of whose injury, whether or not combined with the effects of a prior injury, whether or disability , if any. is permenently precluded or likely to be precluded from engaging in this or her usual and customary occupation or the postion in which he or she was engaged at the time of injury. h. Respond to all referral question and/or to questions and issues raised in referral reports. B. PSYCHOLOGICAL ASSESSMENT REPORT FOR PSYCHIATRIC DISABILITY AND GUIDELINES OF PSYCHOLOGICAL TESTING (To accompany an Evaluation Report for Psychiatric Disability) 1. Identifying information a. Applicant's name, age, birthdate, phone number, and social security number b. Date of alleged injury or exposure c. Date last worked d. Description of alleged injury or exposure 2. Referral information a. Date of referral b. Referral source: name and role in evaluation/litigation process c. Nature or referral and referral questions 3. Behavioral observation and personal characteristics a. Description of physical appearance, mode or dress b. Speech, hearing, vision, R/L handedness c. Other apparent physical cognitive or emotional impairments, including history of unconsciousness, high or protracted fever, seizure acitivity d. Literacy, educational level, and whether English is first language e. Ethnic origin, marital status, occupation, socioeconomic status f. Self-presentation of applicant by relevant observations, test scores, and history (Comment on such qualities as motivation, candor, spontaneity, reliability, consistency of performance, tendency to exaggerate or malinger, and presentation of self in an overly positive light.) 4. Clinical interview (Cf. Chapter I, Subchapter A, the Evaluation Report for Psychiatric Disability, sections 2-9, pages 4-6) Since this Psychological Assessment Report accompanies an Evaluation Report for Psychiatric Disability, a brief review or relevant history is sufficient. 5. Revords avilable/reviewed. Including job descriptions and performance evaluations. (Identify as to before or after alleged injury/exposure.) 6. Prior psychological assessment (from records). List, including: a. Date b. Test (Inculed from used.) c. Scores and interpretion 7. Guidelines for psychological testing Psychological testing is an additional source of information which can be combined with other elements such as reocrds review and clinical interview to arrive at opinions concerning diagnosis, symptom exaggeration and disability. Psychological testing includes self-administered inventories such as the MMPI which can be used to evaluate the clinical presentation of the patient. Psychological testing also includes the projective tests such as the Rorschach Test. Psychological testing also includes neuropsyhological tests which are used to identify and measure strenghts and weaknesses in case of suepected organic brain disorder. If psychological testing is included as part of the evalutation, these guidelines are to be followed: a. Routime Screening Battery Time: 2 to 5 hours Purpose: This category of psychological testing encompasses a routine Workers' Compensation case. This tesing may be done in conjunction with the Initial Comprehensive Evaluation. The purpose of this testing is to evaluate potentially disabling psychological factors. This psychological testing will look at self-reported symptoms such as depression and anxeity. This type of testing may also explore such issues as personality and possible exaggeration of symptoms. Types of Tests Used: This category of testing utilizes primarily self-administered questionnaires such as the MMPI and MCMI. Other standard test measures which are appropriate and necessary may be utilized. Persons Authorized to do the Psychological Testing: Psychiatrist, psychologist and registered psychological assistants with doctorate. within their respective areas of competence with respect to attained education, training, supervision and experience, are the individuals who will interpret psychological tests. Psychaitrists and psychologist are responsible for the production of psychological reports. b. Complex Psychological Testing Time: 6 to 10 hours Purpose: Here the referring evaluator who is conducting the Intial Comprehensive Examination requests more extensive psychological testing. Complex psychological testing gives an in depth view of the patient. Routine testing relying upon self administered inventories may be insufficient in cases where elaboration; reading, language and intellectual barriers; or confusional state exist. This level of testing can be used to explore more thouroughly issues of personality, cognition, and malingering and/or exaggeration. Types of Tests Used: Here the psychological testing is more extensive. Projective tests such as the Rorchach Test may be used. More extensive personality tesing may be utilizied. The Wechsler Adult Intelligent Scale may be utilized. Other standard test that are necessary and appropriate outside of these measures should be used. Persons Authorized to do the Psychological Testing: Complex psychological testing utilizes a psychologist or a registered psychologist. When a registered psychological assistant is utilized in the administration or scoring of some of the tests, this id done under the direct supervision of a licensed psychologist. The licensed psychologist is responsible for interpretation of complex testing and the production of the psychological testing report. How to Request Cpmplex Psychological Testing: Complex psychological testing is done at the discretion of the evaluator doing the Initial Comprehensive Evaluation. In the body of the Initial Comprehensive Report the evaluator must document that complex psychological testing which goes beyond te usual routine screening battery is indicated. The justification for the more thorough battery must be detailed by the disability evaluator in his/her report. c. Neuropsychological Testing Time: 8 to 15 hours Purpose and Criteria Warranting Testing: There are instances where the neuropsychological approach to assessment is indicated to help determine the role an orfanic mental disorder plays in disability. This is not a routine type of evaluation in Workers' Compensation cases and, when used, must be justified by the report. Typically there is a specific head injury, toxic exposure or some other situation that raises the issue of organic brain syndrome. Here the patient often registers impairments on the mental status examination and there is a history consistent with serious congnitive dysfunction. A condition such as depression, anxiety, and chronic pain may cause a complaint of congitive difficulties but this type of situation would not necessarily warrant neuropsychological testing. The mere report from the patient that there is difficulty with recent menory in and of itself cannot justify extensive neuropsychological testing. Types of Tests Used: This category of testing utilizes a number of cognitive tests in the form of an organic testing battery. Test such as the Luria Nebraska or the Halstead Reitan may be utilized by not always required in a neuropsychological testing evaluation. The neuropsychological test battery may incluede other standard measures such as the MMPI beyond those used exclusively for assessing cognition. Persons Authorized to do th Psychological Testing: This type of evaluation is done by a clinical psychologist with experience in evaluation organic mental disorders. A registered psychological assistant with doctorate may participate in the test administration and data interpretation. 8. Evaluation procedures. Refers to Chapter I, subchapter A, section 11, "Ranges for Psychological testing". List instruments when used in the following order. Indicate date and total administrative time. (This is a reporting format and does not necessarily imply that procedures be administered in this order.) a. Objective tests measuring general cognition b. Neuropsychological tests if indicated c. Objective (standardized and normed) tests relating to personality and emotional state d. Self-report inventories relating to emotional state e. Projective devices f. Interview 9. Results and discussion a. Describe assessment findings, providing test scores and documentation sufficient to permit other psychological examiners to review issues raised and opinions rendered. (Indiacte if computer scored/interpreted and give score.) Relate test findings to observations and relevant history, with emphasis on the vocational sphere. b. Relate all assessment findings to DSM-III diagnosis on Axis I, Axis II and, when appropriate, Axis III. (Note: It is inappropriate for a psychologist of offer independent Axis III diagnosis.) c. Current findings and inferecnes relative to work injury and job-related impairments. (The psychologist should follow "XV. Summary and Conclusions" in the Evaluation Report for Psychiatric Disability, but should include the additional information below.) (1). Distinguish between transient/situational conditions and enduring/ permanent condition. (2). Where appropriate describe and document with test findings and range and severity of psychological impairment with respect to ability to work in the same job or to compete on the open job market. (3). Describe and document with test findings what types of intervention are required to return applicant to the same job or to rehabilitate applicant for other emplyoment with amounts of time involved. Chapter II CLINICAL EVALAUTION OF PERMENENT PSYCHISTRIC DISABILITY In evaluating an applicant with an alleged psychiatric disability, the examiner should first decide: (1) whether or not there is any emotional or mental condition which handicaps the applicant in competing on the open job market, (2) whether or not this disability is to any degree work-related, and (3) whether or not the disability is permanent and stationary, that is, whether or not the applicant can receive further benefit from treatment at this time. If it is the examiner's opinion that there is psychiatric disability which is to some degree work-related and that maximum beneift from treatment has ben reached, then the applicant may be evaluated for permanent psychiatric disability. (California Casualty Ins. Co. v. W.C.A.B. (Jackson) (1985) 50 C.C.C. 262, 264; 167 Ca. App. 470, 476, 213 Cal. Rptr. 420) The examiner will proceed to evaluate the extent and nature of the disability and to describe the prognosis according to the guidelines presented in this section. The examiner will indicate whether or not actual events of employment were responsible for at least 10% of the total causation from all sources contributing to the psychiatric injury. The guidelines ask the examiner (1) to diagnose the applicant to DSM-III [FN2] to evaluate the applicant's ability to perform specific work funcions, and (3) to provide information concerning the applicant's prognosis. To assist the examiner and the court, schedules for summarizing relevant information are provided. The values in these schedules are not substitutes for the discussion described in the Summary and Conclusions, Chapter I, A., 16. They are vallues to be used in documenting or supporting the conclusions. A. Evaluation of the Nature and Severity of Impairment This subchapter provides the examiner an outline with which to describe the nature and severity of the applicant's mental or emotional impairment. This subchapter provides for Axis I and Axis II diagnoses, and also an Axis III diagnoses were occupationally disabling prior to the alleged injury and support the opinion. This subchapter also provides that the examiner list all symptoms related to the Axis I diagnosis or diagnoses and to state whether they are constant, intermittent, or occasional. Next the examiner is asked to evaluate the level of impairment in the applicant's ability to perform eight work functions. The Work Functions Impairment Form (Exhibit "A") provides a convenient way to summarize this information. The eight work functions are listed in Exhibit "B" hereto. The evaluation is performed as if there were no question of apportionment, even when apportionment is suggested by the examiner's assessment of the etiology. [FN2] The use of Diagnostic and Statistical Manual of the Mental Disorders 3rd Edition (DSM-III) includes referral to all subsequent revisions and/or editions as they become available and appropriate to the evaluation. 1. DSM-III diagnosis a. Axis I b. Axis II c. Axis III 2. List all diasbling symptoms and state whether each is constant, intermittent, or occasional. ("Intermittent" means present half time; "occasional", less than half the time.) 3. Using the levels defined in a.(1)-a(5) below, describe the extent to which disabling symptoms lead to impairment on the eight work funcions shown in b. below. a. Level of impairment: (1). Minimal (discomfort, but not disabling) (2). Very slight (detectable impairment) (3). Slight (noticeable impairment) (4). Moderate (marked impairment) (5). Severe (unable to perform work function) b. Work function: Document those symptoms which impair each of the following work functions and the levels of impairment on the Work Function Impairment Form on page. (See Exhibit "B" for descriptions of the work funcions.): (1). Ability to comprehend and follow instructions (2). Ability to perform simple and repetitive tasks (3). Ability to maintain a work pace appropriate to a given workload (4). Ability to perform complex or varied tasks (5). Ability to relate to other people beyond giving and receiving instructions (6). Ability to influence people (7). Ability to make generalizations, evaluations or decision without immediate supervision (8). Ability to accept and carry out responsibility for direction, control, and planning Information on severity of symptoms in referenced in 2 above will assist the Court to determine the level of severity of impairment of work function (factors of disability). WORK FUNCTION IMPAIRMENT FORM WORK FUNCTION LEVEL SUPPORTING OF DATA IMPAIRMENT (Cite Findings) ------------------------------------------------------------------------------- 1. Ability to comprehend and follow ------------------------------------------------------------------------------- 2. Ability to perform simple and repetitive tasks ------------------------------------------------------------------------------- 3. Ability to maintain a work pace appropriate to a given work load ------------------------------------------------------------------------------- 4. Ability to perform complex or varied tasks ------------------------------------------------------------------------------- 5. Ability to relate to other people beyond giving and receiving instructions ------------------------------------------------------------------------------- 6. Ability to influence people ------------------------------------------------------------------------------- 7. Ability to make generalizations, evaluations or decisions without immediate supervision ------------------------------------------------------------------------------- 8. Ability to accept and carry out responsibility for direction, control and planning ------------------------------------------------------------------------------- Note: When completing this form consideration is given to Descriptions of Work Functions - Functional Manifestations (see Exhibit "B"). EXHIBIT "A" DESCRIPTIONS OF WORK FUNCTIONS FUNCTIONAL MANIFESTATIONS The following is a list of the functional manifestations of each of the eight work functions to be evaluated. The examiner should consider these factors in evaluating each work function, using clinical observations and objective supporting data. 1. Ability to comprehend and follow instruction Consider: the ability to maintain attention and concentration for necessary periods; the ability to understand written or oral instructions; and the ability to do work requiring set limits, tolerances or standards. 2. Ability to perform simple and reptitive tasks Consider: the ability to ask simple questions or request assistance; the ability to perform activities or a routine nature; and the ability to remember locations and work procedures. 3. Ability to maintain a work place appropriate to a given work load Consider: the ability to perform acitivities within a schedule, maintain regular attendance and be punctual; and the ability to complete a normal work day and/or work week and perform at consistent pace. 4. Ability to perform complex and varied tasks Consider: the ability to synthesize, coordinate,l and analyze data; and the ability to perform a variety of duties, often changing from one task to another of a different nature without loss of efficiency or composure. 5. Ability to relate to other people beyond giving and receiving instructions Consider: the ability to get along with co-workers or peers; the ability to perform work activities negotiating with, explaining, or persudaing; and the ability to resond appropriately to evaluation or criticism. EXHIBIT "B", PAGE 2 OF 2 PAGES 6. Ability to influence people Consider: the ability to convince or direct others; the ability to understand the meaning of words and to use them appropriately and effectively; and the ability to interact appropriatley with people. 7. Ability to make generalizations, evaluations or decisions without immediatre supervision Consider: the ability to recgnize potential hazards and follow appropriate precautions; the ability to understand and remember detailed instructions; the ability to make independment decisions or judgements based on appropriate information; and the ability to set realistic goals or make plans independent of others. 8. Ability to accept and carry out responsibility for direction, control and planning Consider: the ability to set realistic goals or make plans independently of others; the ability to negotiate with, instruct or supervise people; and the ability to respond appropriately to change in the work conditions. EXHIBIT "B", PAGE 2 OF 2 PAGES Note: Authority cited: Section 139.2(j)(4), Labor Code. Reference: Sections 139.2(j)(4) and 4628, Labor Code. s 44. Method of Evaluation of Pulmonary Disability. The method of measuring the pulmonary elements of disability shall be as set forth below in the "Guidelines for Evaluation of Pulmonary Disability" as adopted by the Industrial Medical Council on December 4, 1997. STATE OF CALIFORNIA GRAY DAVIS, GOVERNOR DEPARTMENT OF INDUSTRIAL RELATIONS INDUSTRIAL MEDICAL COUNCIL 395 Oyster Point Blvd., Ste. 102 South San Francisco, CA. 94080 Tel: (650) 737-2700 Fax: (650) 737-2980 ADDRESS REPLY TO: P.O. Box 8888 San Francisco, CA 94128-8888 Guidelines for Evaluation of Pulmonary Disability Adopted December 4, 1997 I. PURPOSE This document defines the following: 1. Criteria to be used for establishing the presence or absence of respiratory impairment; 2. Criteria for selecting appropriate use of laboratory data and for indentifying inappropriate testing; 3. A method for the quantitative and objective assessment of the extent or respiratory disability. 4. Guidelines regarding the content of medical-legal reports for assessing respiratory disability. II. GENERAL PRINCIPLES A. Aproach 1. Evaluation of subjective (dyspnea) must be subject to collateral evidence and the internal consistency of the history. The dyspnea criteria are used for rough estimates and cannot by themselves establish a level of impairment without one or more of the physiologic determinants listed below in the same class of impairments. 2. In any evaluation, the physician shall progress from the simple to the more complicated. Start wiht the history and phycial examination, follow with basic pulmonary function test, and then proceed as appropriate to more complicated procedures. Some patients will require only spirometry, but most will require determination of diffusing capacity for carbon monoxide (D<> co), and many will need lung volume measurement. Refer to Chapter 5, "The Respiratory System in "Guides to the Evaluation of Permanent Impairment" of the American Medical Association, 4th Edition, 1993. These guidelines shall be used in conjunction with the determinants discussed below. B. Evaluation Tests 1. Spirometry a. Spirometry must be performed according to the 1994 American Thoracic Society Recommendations. Equipment, calibration, and techniques must be according to these American Thoracic Society criteria. b. A spirogram representing the best effort of at least three attempts is used to calculate FEV<>1 and FVC. The two best efforts must be within 5% of each other, or additional efforts are needed. Hard copies of the spirogram must be incorporated in the report or maintained by the physician for review if needed. c. If wheezing or other evidence of brochospasm is present or if the FEV<< sub>>1/FVC ratio is reduced, perform test before and after brochodilator. If albuterol, metaproterenol or isoetharine is used, wait 10 minutes or more before testing. The examiner shall comment on what treatment program the subject has been on during the two months before the testing. A. diagnosis of asthma must be supported by objective evidence of airway hyperresponsiveness such as abnormally low (below the 95% confidence level) FEV<>1 or FEV<>1/FVC ratio , which is reversible, or a positive methacholine challenge test. (Astma may be present and the FEV<>1 and FEV<>1/FVC ratio not reversible, if examinee is on bronchodilator at time of testing.) If FEF 25-75% is abnormal (below the 95% confidence level) in a non-smoker, then asthma may be present, but additional testing such as methacholine or histamine challenge may be performed. Whenever possible, the patient should discontinue aerosol brochodilator treatment at least 12 hours before tesing. d. Compare test results to the tables of predicted normal values in the Chapter 5 of Guides to the Evaluation of Permanent Impairment of of the American Medical Association, Fourth Edition, 1993. Where FEV<>1 or FVC value is outside the 95% confidence interval, it is considered abnormal. Where FEV<>1/FVC value is less than 0.70 or outside the 95% confidence interval, it is considered abnormal. e. Analysis should be based on the FEV<>1, FVC, the FEV<>1/FCV ration. f. Tracings and all data must be submitted with the report or maintained on file for review. 2. Diffusing Capacity a. Single-breath diffusing capacity forcarbon monoxide (D<>co) shall be performed routinely unless asthma has been established as the sole cause of dyspnea or spirometry alone establishes severe impairment. b. D<>co measurement must be done according to the 1994 American Thoracic Society Epidemiology Standardization Project Recommendations. c. D<>co tracings and all data must be submitted with report or maintained on file for review. d. Either Cotes, Crapo, or methods published in peer-reviewed journals for predicted values may be used. e. D<>co less than 50% predicted indicates significant impairment. If spirometry is normal, exercise testing may be indicated to determine the extent of impairment. f. When the D<>co is between 50-70% of predicted impairment, evaluation may require exercise testing. 3. Exercise Testing a. The minimal requirements for performance of an adequate pulmonary exercise test include the following: (1) Supervision and interpreation by a physican thoroughly trained in pulmonary physiology and with special expertise in clinical pulmonary exercise physiology. (2) A standardized quantifiable exercise system (either a treadmill or a bicycle ergometer). (3) Ability to measure heart rate, respiratory rate, minute ventilation, and oxygen consumption following appropriate quality control and validation procedures. (Note: oxygen consumption must be measured, not estimated, from the level of exercise.) (4) Equipment for measuring arterial oxygenation by in-dwelling arterial catheter or pulse oximetry, and personnel appropriately qualified in its use. The blood gas measurements (pH, PCO<>2, PO<>2) must be made in a laboratory which successfully passes a professional society's proficiency testing program annually (e.g., program of California Thoracic Society or College of American Pathologists). In many instances, properly performed oximetry (to measure O<>2 saturation of hemoglobin) can be used as a substitute for measurement of arterial PO<>2. (5) The exercise testing must be performed with cardiac monitoring in a medical facilty capable of handling any complications and, in addition, capable of performing resting lung studies. An experienced physician must be on site. b. Written interpretation must include answers to the following questions: (1) Was the test technically satisfactory? (2) Describe the maximal exercise level achieved as the predicted percent of both heart rate and maximum oxygen consumption (VO<>2max). Include in the report the source of the prediction values used. (3) What is the estimate of the meximum exercise level which patient can sustain? Include a statement or literature reference which provides the rationale on which this prediction is based. (4) If limitation of exercise is found, what is the cause (pulmonary or non-pulmonary)? In all cases, include a description of the specific symptoms which limited the maximal level of exercise. c. Indications for Exercise Testing (1) If spirometry indicates Class 2 or Class 3 impairment (See Table 2) but there is dyspnea two levels higher (Class 4 or Class 5, respectively) and the dyspnea is not explained by tests for episodic bronchospasm, exercise testing may be indicated. (2) If spirometry establishes Class 4 or Class 4 impairment, exercise testing is contra-indicated. (3) If tests for airway hyperresponsiveness, exercise induced, antigen induced, or irritant induced episodic bronchospasm are positive and if the degree of impairment can be calculated from spirometric data demonstrating the most severe level of bronchospasm reached during the study, exercise testing is usually not needed since the most severe level of impairment in the presence of the inciting agent is known. The physician must provide specific information on the nature of the bronchospasm inducing agent and its prevalence in the job market. (4) Exercise testing may be needed in some patients with episodic dyspnea to determine if exercise induced bronchospasm is present. If done for this purpose, spirometry must be performed immediately before and after the exercise. (5) If spirometry and D<>co are normal but there is marked dyspnea and there are significant clinical findings such as positive x-ray examinations showing interstitial disease (i.e., ILO category 1/0 or greater) or hypoxemia (PO<>2 less than 80, according to the Guidelines for the Use of ILO Int'l Classification Radiographs of Pneumoconioses, Geneva: ILO, 1980. Occupational Health and Safety Services No. 22 Revised), exercise testing may be needed. 4. Airway Hyperresponsiveness Testing a. Tests of airway hyperresponsiveness are indicated when asthma is a consideration. This is particularly relevant when the patient complains of episodic dyspnea. b. In such instance, if the FEV<>1/FVC ratio is reduced and the FEV<< sub>>1 is less than 60% of predicted, an aerosolized bronchodilator shall be administered. A consistent response (based on accurate testing and maximal patient effort) with greater than 15% increase in FEV<>1 indicates that airway reactivity is present. c. If the FEV<>1/FVC ratio is normal or reduced, and the FEV<>1 is greater than 70% of predicted, a provocation challenge test shall be considered if the clinical history suggests the presence of possible disability due to asthma. In such instances, a methacholine challenge or histamine challenge test shall be performed. Such tests shall only be performed by physicians with experience in their conduct. These tests require careful attention to technical detail. In particular, establishment and maintenance of precise concentrations of the methacholine agent is requisite. False positive and false negative tests may occur if not performed well, and therefore spirometry tracings must be retained for review. d. Additional information about the specific techniques of the methacholine challenge may be determined from standard references. 5. Treatment A careful history of the nature of ongoing treatment for pulmonary conditions must be obtained by the phsician performing the evaluation. It is particularly important in cases of asthma to express an opinion about whether optimal therapy is being provided. If the examining physican feels that adequate therapy if not provided, this should be stated explictly and suggested alternatives should be indicated. In addition, if the examining physican believes that the patient is not complying with treatment, this should be stated. The National Institute of Health guidelines ("Medical Care", Vol. 31. No. 3, pp MS20-MS28, Supplement, 1993, "The National Asthma Education Program: Expert Panel Report Guidelines for Diagnosis and Management of Asthma") for the treatment of asthma shall be used as a reference standard for determining the adequacy of treatment. In general, a patient shall be treated with the minimal drug which is necessary to maintain control of the asthma. Additional guidance is available on the 1993 American Thoracic Society statement on Disability and Impairment from Asthma. 6. Chest Radiography Chest radiographic examinations are an essential part of most pulmonary disability evaluations. For evaluating possible pneumoconioses (dust diseases of the lung), it is essential that the radiographs be of high technical quality. Over or under penetration can lead to under or over diagnosis of the presence of pulmonary abnormality. The recommendations of the International Labor Organization (ILO) Committee on chest radiography, Guidelines for the Use of ILO Int'l Classification of Radiographs of Pneumoconioses, Geneva: ILO, 1980. Occupational Health and Safety Services No. 22 Revised), shall serve as the reference guideline. The physican interpreting the radiographs must be experienced in evaluating occupational and environmental lung disease (e.g., such as by being an A or B reader as certified by the National Institute for Occupational Safety and Health). CAT scans are not routinely necessary in the evaluation of dust exposed individuals. Their use shall be limited to those situations where a specific indication exists (e.g., to radiographically evaluate the parenchyma in the presence of extensive pleural abnormality). CAT scans are not indicated for the evaluation of individuals who have been dust exposed but have normal lung function and no symptoms. They are required only if finding the deviation from complete normality will affect the ratable disability. Table 1. Minimal Historical Information To Be Collected By Examining Physician Dyspnea Frequency Severity: At rest, walking on level, etc. Constant or Intermittent Wheezing Patient's description Associated with dyspnea? Cough Frequency Severity: e.g., paroxysmal Precipitants Sputum Production Frequency Timing: A.M./all day, etc. Duration: months/year Amount Quality (Thick/thin, purulence) Sleep Problems Snoring Respiratory Infections Frequency Severity Medically Diagnosed Lung Asthma Disease Pneumonia Other Allergic History Hay fever Allergic Asthma Limitations Due To Dyspnea Work Home Other SMOKING Current Status History Starting Average Intensity (packs/day) Type: cigarette, pipe, cigar Use of filters Periods Of Nonsmoking List years of nonsmoking or reduced smoking. If an ex-smoker, list when stopped. Cessation Efforts Type Success? Environmental Tobacco Worksite Home (e.g., smoking spouse) Workplace Questions Chemical Exposures Name Level Duration Dust Exposure Asbestos Silica Other Mitigating Factors Respirator Use Exhaust Ventilation Special Exams X-ray Spirometry Respiratory Medical History Chest Trauma Medical Diagnoses Tuberculosis History Active Disease PPD Status Respiratory Medications Physician Prescribed Over The Counter (including inhalers) Table 2. Impairment Schedule CLASS 1 The subject may or may not have dyspnea. If dyspnea is present, it is for nonrespiratory reasons or it is consistent with the circumstances of activity. OR Tests of ventilatory functions (FVC, FEV<>1, FEV<>1/FVC ratio as percent) above the lower limit of normal for the predicted value is defined by the 95% condicence interval. (See Chapter 5, "The Respiratory System" in Guides to the Evaluation of Permanent Impairment of the American Medical Association, 4th edition, 1993 for methods of calucation.) OR VO<>2 Max greater than 25 ml/kg-min). ---------------------------------------------------------------- CLASS 2 Dyspnea with fast walking on level ground or when walking up a hill; patient can keep pace with persons of same age and body build on a level ground but not on hills or stairs. AND Tests of pulmonary function (FVC, FEV<>1, FEV<>1/FVC ratio as percent) below the 95% condifence interval but greater than 60% predicted for FVC, FEV<>1, and FEV<>1/FVC ratio. OR VO<>2 Max between 20-25 ml/kg-min). ---------------------------------------------------------------- CLASS 3 Dyspnea while walking on level ground with person of the same age or walking up one flight of stairs. Patient can walk a mile at own pace without dyspnea, but cannot keep pace on level ground with others of same age and body build. AND Tests of ventilatory function (FVC, FEV<>1, FEV<>1/FVC ratio as percent) less than 60% predicted, but greater than: 50% predicted for FVC< 40% predicted for FEV<>1, 40% actual value for FEV<>1/FVC ratio. OR VO<>2 Max between 15-20 ml/kg-min). ---------------------------------------------------------------- CLASS 4 Dyspnea after walking more than 100 meters at own pace on level ground. AND Tests of pulmonary function (FVC, FEV<>1, FEV<>1/FVC ratio as percent): less than 50% predicted but greater than 40% for FVC; less than 40% predicted but greater than 30% for FEV<>1; less than 40% predicted but greater than 30% for FEV<>1/FVC; 30-40% predicted for D<>. OR VO<>2 Max between 10-15 ml/(kg-min). ---------------------------------------------------------------- CLASS 5 Dyspnea after walking less than 30 meters at own pace or dyspnea at rest. AND Tests of ventilatory functions (FVC, FEV<>1, FEV<>1/FVC ratio as percent): less than 40% for FVC; less than 30% for FEV<>1; less than 30% for FEV<>1/FVC; less than 30% predicted for D<>co. OR VO<>2 Max less than 10 ml/kg-min). NOTES: 1. To assess lung function for permanent rating purposes, the patient must be receiving optimal therapy. 2. Lung function testing must conform to 1994 American Thoracic Society Epidemiology Standardization Project Recommendation. 3. If oxygen consumption is determined, it must be directly measured, not estimated by treadmill speed and grade (as is commonly done in cardiac stress testing). Table 3. Impairment Table Preclusion CLASS VO<>2 max ml/(Kg-min) Peak METs Equivalent 1 >25 >7 None 2 20 to 25 5.6-7 Very heavy lifting 3 15 to 20 4.2-5.6 Heavy lifting 4 10 to 15 2.8-4.2 Light work only 5 <10 <2.8 Sedentary work only Table 4 Modifying Factors For Asthma Medication Need (Documented) Daily mandatory bronchodilator or anti-inflammatory medication 0-1 class High dose inhaled bronchodilator (>800 ug beclomethasone or equivalent daily) Plus occasional course of systemic steriod (e.g., 1-3 year) 0-1 class Regular systemic steriod use (e.g., >20 mgm prednisone/day 0-2 class Noncompliance with proper treatment substract 0-1 class Airway Hyperresponsiveness Methacholine Challenge PC<>20 <8 mgm 0-1 class <0.5 mgm 0-2 class Exercise Induced Bronchospasm-Decline in FEV<>1 with exercise >20% 0-1 class >40% 0-2 class Post Bronchodilator Increase in FEV<>1 >20% 0-1 class >30% 0-2 class Sensitization to Specific Workplace Chemical Preclusion from a job with exposure to the chemical * Modifying factors for asthma patients are applied because the routine approach may underestimate disability. The single most significant factor should be used. III. PROCEDURES FOR ASSESSMENT Clinical assessment for establishing disability under the Workers' Compensation system will proceed in an organized stepwise fashion. First, the history obtained from the patient shall include description of the presence or absence of symptoms shown in Table 1. For each symptom shown, the date of onset, previous severity, and current severity shall be described. Second, the evaluating physician shall personally obtain a history from the patient of the nature of work and possible chemical exposures. In addition, the physican shall personally inquire about any mitigating factors such as the use of respirators or industrial ventilation. Where appropriate, information obtained about exposures from the patient shall be supplemented by industrial hygiene or other information. Third, the physician shall personally obtain a history of cigarette smoking, including past and current practices. Other tobacco use shall also be determined. Fourth, the physician shall ask about non-occupational exposures (e.g., pets, hobbies with chemical exposure). Fifth, a carefuly history of current and previous treatment for pulmonary conditions shall be obtained by the physician. Sixth, the physician shall perform a careful physical examination. Seventh, the physician shall choose laboratory testing based upon the nature of exposures, the symptoms, and the examination. Guidelines for the utilization of such testing were presented in Section II. IV. ASSESSMENT OF IMPAIRMENT AND DISABILITY RATING A. General Approach The available clinical information and laboratory tests, particularly pulmonary function tests, shall be integrated into an assessment of disability. Tables 3 through 4 provides guidelines for this. Based upon the physiologic findings, a patient is placed into one of five classes. If post-bronchodilator testing is performed, the best of the pre-bronchodilatory or post-bronchodilator test results are used for classification. (Asthma is considered subsequently.) Because of the excellent reliability of properly performed pulmonary function testing for assessing impairment, symptoms alone (e.g., shortness of breath) do not warrant classification into a class indicating disability. However, the presence of dyspnea disproportionate to the corresponding physiologic findings indicates the need to consider more careful evaluation (e.g., exercise testing, methacholine challenge testing, search for a nonpulmonary explanation of dyspnea, or psychosocial evaluation). Table 2, derived largely from the 1993 AMA Guides to Permanent Impairment, 4th Edition, assigns individuals to physiologic classes. Table 3 interconverts the classes to typical disability impact terms. The data have been derived to be consistent with Workers' Compensation recommendations for cardiac disability in the State of California. For each class, the typical corresponding maximum attainable oxygen consumption measurement is provided. For disability rating it is assumed that 45% of peak attainable oxygen consumption can be sustained throughout the workday. In many cases the sustainable oxygen consumption can be estimated from the bona fide pulmonary function testing. Although lifting ability is not directly determined by lung function, the Workers' Compensation system uses a lifting base terminology. Therefore, a "preclusion equivalent" is included in Table 3. The "preclusion equivalent" is designed to interconvert these ratings to the terminology typically used in Workers' Compensation evaluations. B. Special Consideration for Asthma Evaluation Unfortunately, physiologic testing along may not, in some instances, provide complete information. For example, physiologic testing does not provide information on the impact or regular usage of medication. Table 4 provides a list of such modifying factors and the effect on the impairment schedule listed in Table 2. These must be considered in addition to the physiologic data. Of particular importance is bona fide occupational asthma due to sensitization to a specific workplace chemical (e.g., TDI). An individual who has true sensitization shall be considered permanently disabled for any job which involves exposure to that agent. Numerous research studies have demonstrated that the diagnosis of true sensitization chemical specific occupational asthma is difficult, and there is considerable misdiagnosis. Because of the great impact on the individual involved, such diagnoses shall be made only by physicians with particular training and expertise in sensitization occupational asthma. Asthma is particularly difficult to evaluate because the extent of disability depends upon the adequacy of treatment. Therefore, Table 4 provides supplemental guidelines for assessing asthmatics. Prior to use of this, the diagnosis itself must be firmly established by one of the following two methods: a. Abnormal FEV<>1 with a greater than 15% increase after aerosolized bronchodilator administration. (Note, this must be done extremely carefully and well documented to avoid false positives.) b. A methacholine challenge test showing a PC<>20 of less than 20 milligrams. In Table 4, the need for medication may be considered an indication of severity of disease. In such instances, the need for medication must be carefully documented in order to assure that the patient is receiving the minimal medication necessary to maintain control of asthma. To make such an assessment, the evaluation physician must be skilled in the treatment of asthma. The National Institute for Health Guidelines "Medical Care", Vol. 31, No. 3, pp MS20-MS28, Supplement, 1993, "The National Asthma Education Program: Expert Panel Report Guidelines for Diagnosis and Management of Asthma" may be helpful as a reference standard. PULMONARY DISABILITY EVALUATION (IMC) The following pages are offered as an evaluation algorithm of injured workers with pulmonary disability. • ALGORITHM PROVIDES A STEPWISE APPROACH • ALGORITHM IS FOR GENERAL GUIDANCE ONLY • SEE "GUIDELINES FOR EVALUATION OF PULMONARY DISABILITY" approved by IMC 12/4/97 Note: Authority cited: Section 139.2(j)(2), Labor Code. Reference: Sections 139.2(j)(2), 4060, 4061 and 4062, Labor Code. s 45. Method of Evaluation of Cardiac Disability. The method of measuring the cardiac elements of disability shall be set forth below in the "Guidelines for Evaluation of Cardiac Disability" as adopted by the Industrial Medical Council on December 4, 1997. STATE OF CALIFORNIA DEPARTMENT OF INDUSTRIAL RELATIONS INDUSTRIAL MEDICAL COUNCIL 395 Oyster Point Blvd., Ste. 102 South San Francisco, CA 94080 Tel:(650)737-2700 Fax:(650)737-2989 ADDRESS REPLY TO: P.O. Fox 8888 San Francisco, CA 94128-8888 Guidelines For Evaluation Of Cardiac Disability Adopted December 4, 1997 SECTION I: SUGGESTED CLINCIAL AND LABORATORY APPROACH TO CARDIAC DISABILITY EVALUATION A. General B. History and Physical C. Routnine Laboratory Testing D. Stress Testing E. Newer Modalities F. Echocardiogram G. MUGA Scan H. Holter Monitor I. Coronary Angiogram SECTION II: OBJECTIVE AND SUBJECTIVE FACTORS UTILIZED IN CARDIAC DISABILITY EVALUATION A. Work Level by Stress Testing B. Work level by History and Previous Testing C. Pre-Injury Work Level D. Ejection Fraction E. Coronary Artery Spasm F. Arrhythmia G. Hypertension H. Emotional Stress I. Previous Cardiac History Including Myocardial Infarction, Coronary Artery Bypass Surgery, or Coronary Angioplasty SECTION III: DISABILITY EVALUATION SCHEDULE FOR THE HEART SECTION I: CLINICAL AND LABORATORY APPROACH TO CARDIAC DISABILITY EVALUATION A. General The clinical and laboratory approach to cardiac disability evaluation in Workers' Compensation is essentially no different from any other detailed exhaustive medical consultation. The physician shall start with a comprehensive history and physical as detailed below. This is the cornerstone of any good exhaustive evaluation. Beyond that, a judicious and minimal number of tests must be utilized to arrive at a disability rating. It is not uncommon at all after a comprehensive history and physical that there will be no further testing necessary. On the other hand, it is often thought that other testing are required and they will be discussed in detail below. However, by no means does this imply that all these testings need to be done. The listed testing are merely a number of clincial and laboratory testings that are useful in different clincal circumstances in evaluating a cardiac patient. It is anticipated that in most cases an evaluation considering all the medical records, what tests have been done previously, the history, the physical, the electrocardiogram, and some form of exercise testing will be more than adequate in determining a disability rating. The additional testing listed shall be done only in the special circumstances described. When these additional testing are utilized, full explanation to the justification of the testing must be included so that the reviewing agencies or the reviewing physician can determine its reasonableness in reimbursing medical-legal costs. Testing of any kind is not to be repeated more than every 6 month unless there is evidence of a change in the clinical condition. If a physician decides to repeat the testing in less than 6 months' time, he or she must explain the necessity of such repeated testing. The physician shall inform the applicant of any significant medical finding(s) which could impact on his or her health even though these findings may not be directly related to the cardiac claims. B. History and Physical The cornerstone of a comprehensive medical evaluation is the history and physical. The history shall consist of a complete detailed history of the industrial injury, occupational history of the present occupation as well as past occupations; medical history of all prior hospitalizations, treatments, surgeries, and medical illnesses; family history; hsitory of habits such as smoking, drinking and the use of drugs; history of the current illness, the sequence of events, the present complaints as well as a complete list of all present medications. When determining whether an occupational event is related to cardiac disability, the applicant shall be asked specifically why he or she feels the cardiac problem is related to the work. Complete details of the current illness shall be reviewed, including circumstances of the industrial event or events relating to the cardiac condition, any previous or similar episodes of the same type of event which might have occurred away from the job, prior to the job, or during previous jobs. A complete list of all doctors who have treated the applicant for the illness shall be obtained in order to facilitate obtaining medical records that have not always been obtained before. A complete listing of all the complaints at the time of the examination as to the duration, degree and nature shall be included. This is especially important when listing subjective complaints of permanent disability in the final report. Details of temporary disability shall be recorded, including whether the patient is working, and what effect going back to the work had on the illness, if any, or, if not working, whether the patient plans to return to work. These details bear on the patient's ability to do the same type of work, or whether the patient is a qualified injured worker and thereby a candidate for vocational rehabilitation. All medical records shall, to the extent possible, be obtained prior the evaluation. The evaluator must be familiar with the medical record and its salient features in order to better direct the questions and evaluation and better outline the issues to be evaluated. A comprehensive detailed physical examination shall be performed. If part of the examination such as detailed neurological examination is to be omitted, it must be so stated. Blood pressure shall be taken in supine and upright positions on both arms several times by the physician. Other physical findings expecially germane to the cardiac examination such as fundoscopic examination, neck vein status, cardiac auscultation, and extremities' examination must be specifically mentioned and recorded. C. Routine Laboratory Testing Routine laboratory studies such as CBC, chemistry panel and urinalysis and thyroid functions, are generally useful in evaluating the general medical status of the patient. An electrocardiogram as well as a chest X-ray may be performed since they are relatively inexpensive and informative. Again as stated above, if any of this examination has been performed recently within 6 months, it must not be repeated unless indicated. D. Stress Testing Exercise stress testing is currently the most important and productive means of quantitating a worker's impairment. Protocols and guidelines for exercise testing on the treadmill utilizing the Bruce protocol and holding the front handrail and bicycle ergometer have been documented and quantitated. See Tabe 2 for comparison of exercise test standards. Reports of stress testing to rate a worker's impairment shall include the following information: 1. Peak level of activity achieved, preferably expressed in METs (metabolic equivalents of oxygen consumption). 2. Any clincial signs or symptoms reported or observed. 3. Record of ectopic (ventricular or supraventricular) activity. 4. Specific EKG (ST segment and T wave) changes noted. 5. Accurate description of, and timing of development of, such symptoms as dyspnea, angina, ischemic ST segment change or arrhythmia. 6. Blood pressure response. The end point of exercise testing shall be either to achieve maximum capability or to develop any of the following symptoms and signs noted below. If the examiner does submaximal testing, stopping at "90% of expected" for example, 10% shall be added to the METs level calculated from the Bruce or other testing protocol tables. The examiner must specify which symptom(s) or sign(s) caused testing to be stopped and shall fully explain why cardiac impairment (rather than some other condition) caused testing to be stopped. If the test subject stops voluntarily before reaching what his or her physician considers maximum capability, the examiner shall state an opinion as to what the true testing end point should be, giving reasons. Significant sections of the tracing, including scale as well as technical description of the equipment used, shall be enclosed with the report. The signs and symptoms indicating the end point shall be the following: 1. Onset of atrial fibrillation. 2. Onset of ectopic atrial tachycardia. 3. Progressive drop in heart rate as exercise continues, or if systolic blood pressure falls 10 mm below prior measured level as exercise continues. 4. Progressive ST segment elevation or depression. 5. Progressive widening of the QRS complex or PR interval. 6. PVCs with increasing frequency to the point of danger. 7. Ventricular tachycardia (3 or more consecutive beats). 8. Excessive blood pressure rise (230 mm HG systolic or above). 9. Undue dyspnea; subjective evaluation by test subject that dyspnea is not acceptable (usually coupled with #10 below). The examiner must state whether the testing end point is or is not a valid measure of cardiac capability and give reason(s) for the opinion. 10. Undue fatigue: subjective evaluation by testing subject that fatigue is not tolerable (usually coupled with #9 above). The examiner must state whether the testing end point is or is not a valid measure of cardiac capability and give reason(s) for the opinion. 11. Feeling of faintness: subjective evaluation by test subject. The examiner shall state whether the testing end point is or is not a valid measure of cardiac capability and give reason(s) for the opinion. 12. Angina pain progressive to moderately severe: 3 or 4 on a scale of 4. The examiner shall state whether the testing end point is or is not a valid measure of cardiac capability and give reason(s) for the opinion. 13. Musculoskeletal pain or discomfort that limits continuance of the test the end point in this event is not valid for the evaluation of cardiac impairment. If pulmonary function testing is needed to rule out pulmonary factors contributing to decreased exercise tolerance, the physician shall include an explanation of its necessity. E. Newer Modalities In addition to stress testing, there are various newer modalities that can be very useful in the determination of disability. However, the physician performing and interpreting such testings shall have the appropriate training and experience. In addition, the physician shall be identified. Stress testing done in conjunction with thallium-201 is a more sensitive tool in the diagnosis of coronary artery disease. Its sensitivity has been reported to range from 68% to 96% (average 84%), compared with a sensitivity of 60% to 70% for exercise EKG alone. The specificity of thallium scintigraphy has been reported to be between 65% and 100% (average 87%), which represents a modest improvement compared with the specificity of exercise EKG alone. Thallium scintigraphy is often done with SPECT (single photon emission computed tomography) which further increases the sensitivity. However, a stress test with thallium is costly and has the undesirable side effect of exposure to radiation. A total body radiation exposure associated with intravenous injection of 2mCi of thallium-201 is approximately 420 mrad; this amount is equivalent to that of approximately 30 chests X-rays. Thallium scintigraphy, however, is preferable to exercise EKG alone when the resting EKG shows a non-specific abnormality impairing interpretation of exercise EKG alone or when information on the probable reversibility (or nonreversibility) of apparently infarcted segment is needed to estimate the potential value of revascularization therapy. In the majority of cases of disability evaluation, thallium testing is not necessary in determining the disability status, above and beyond what information that can be dervied from a standard exercise test. Technetium 99m sestamibi study is another form of studying perfusion of the heart. This radioactive study is similar to that of thallim 2001. With a combined approach using both thallium and sestamibi 99m, one can decrease the acquisition time by 50%. The information derived from these newer techniques allows for both evaluations of ischemia and data similar to a first pass MUGA study. This particular technique is more expensive than thallium imaging, but is of shorter time and is useful when information regarding wall motion abnormality and ejection fraction is important as well as the degree and area of ischemia. This obviates the need for ordering a MUGA scan. Adenosine or Dipyridamole thallium studies are newer modalities that allow studying perfusion abnormalities to the myocardium when the patient cannot perform a regular treadmill or bike testing. The physician shall order one of these studies only it is important to make an absolute diagnosis of coronary disease and the patient is unable to perform a treadmill test or a bike test. These studies do not allow for functional disability evaluation but only provide information regarding the presence or absence of myocardial ischemia. Echocardiography with stress test, with Adenosine, with Dipyridamole, or with Dobutamine have all been described. The information is that of wall motion abnormality indicating ischemia. Ejection fraction can also be measured. These tenchiques are somewhat less expensive than adionuclear studies, but require an experienced technician to obtain a satisfactory study. F. Echocardiogram Echocardiogram is a useful tool in determining left ventricular function, chamber size, wall thickness, valvular anatomy and function, and flow pattern as determined by Doppler study. It is, therefore, useful in the determination of left ventricular hypertrophy and left ventricular mass, diastolic dyfunction as demonstrated by abnormal flow pattern, and valvular heart disease such as mitral valve prolapse and aortic stenosis. Ejection fraction can also be accurately determined by echocardiogram. G. MUGA Scan Multi-Gated Equilibrium Radionuclide Angiography (MUGA) is a very accurate method in measuring ejection fraction. Rest and exercise equilibrium radionuclide angiography has been used in conjunction with or as an alternative to thallium scintigraphy in the detection of coronary artery disease. Regional or global abnormal wall motion at rest or during exercise can be accurately delineated with this technique. It is also a powerful predictor of subsequent adverse cardiac event. It is also useful in managing patients with stenotic or regurgitant valvular lesions. H. Holter Monitor Holter Monitoring is used in cases where arrhythmia is an issue. A 24-hour Holter Monitor is valuable in determining whether the applicant has a significant enough arrhythmia to be considered in the process of disability rating. For instance, there may be a very complex arrhythmia which would prohibit certain types of activities. High fidelity Holter Monitoring can also be done to determine whether patient has ischemia at various times of the day, which is not apparent on standardized exercise tests. It is especially useful in cases of coronary artery spasm. It is also useful in detecting silent ischemia. I. Coronary Angiography Corony angiography is the gold standard for diagnosing coronary artery disease. It is also the gold standard for determining the best mode of therapy, be it angioplasty, bypass surgery, or medical treatment. It is generally not a testing which is done for disability evaluation. However, if the data is included in the medical record, it should be part of the material used in determing the coronary anatomy, the amount of myocardial damage, the amount of myocardium at risk, the amount of myocardium with akinesis or hypokinesis, or the ejection fraction. This shall be used as adjunctive material for disability evaluation. However, in general the coronary angiogram defines the anatomy of the coronary arteries, not the functional aspects of the patient which are better determined by exercise testing, with or without other adjunctive studies such as thallium scintigraphy. SECTION II: OBJECTIVE AND SUBJECTIVE FACTORS UTILIZED IN CARDIAC DISABILITY EVALUATION A. Work Level By Stress Testing The acceptable exertional levelof sustained (8 hours per day) work relative to VO<>2 max is 45%. The VO<>2 max is estimated by the METs achieved at the end point of stress testing. When stress testing has been performed and the end point in METs has been determined, the physician can predict a "safe" effort for a given applicant with the above information in mind. If the testing end point is related to poor state of physical fitness, the maximal short-term (less than 15 minutes once a day) work exertion allowed shall be 80% of the end point level. If the subject is post-medical intervention for cardiac ischemia and is asymptomatic off the treadmill, the maximum short-term (defined as less than 15 minutes once a day) work exertion allowed shall be 80% of the testing end points in METS. If the testing end point is related to signs or symptoms of cardiac distress, as listed above, the maximum short-term (defined as less than 15 minutes once a day) work exertion allowed shall be 70% of the end point level. The sustained level of work exertion for activities through most of the work day for all patients shall be set at 45% of the testing end point in METs. B. Work Level By History And Previous Testing Occasionally stress testing is not feasible. However, work level can still be assessed in the following manner: (1) Activity levels reported (consistent with clinical picture) translated into METs. (2) Previous post-injuty exercise testing. (3) Documented level in post-injury exercise program in METs. C. Pre-Injury Work Level It is extremely important to determine the work level before the industrial injury. The pre-injury METs level found from one of the four following tests shall be used, in this order: ("Pre-injury METs level" is defined as that subsequent to the time the last of any known previous cardiac injuries became "permanent and stationary" and within the past five years preceding the instant injury). (a) If available, use previous measurement by exercise testing. (b) If (a) is not available, use previous capability by activity level within the past five years translated into METs. (c) If (a) and (b) are not available, use previous capability level by non-work activities, translated into METs. (d) If (a), (b) and (c) are not available, use mean standard METs for age and sex from Table 3. D. Ejection Fraction Ejection fraction may be used to estimate cardiac impairment in the absence of exercise testing or used to modify or validate medical opinion based on exercise testing. However, one may have normal resting ejection fraction even though impairment may still be present with major coronary occlusion. Therefore, ejection fraction is a supplement rather than an alternative to stress testing. Cardiac catheterization with direct measurement of cardiac output and cardiac index is an accurate method of measuring ejection fraction, but must not be routinely done for Workers' Compensation evaluation. If it happens to have been done for other reasons, the information provided is valuable if the test was done at a time reasonably close to the Workers Compensation evaluation. The physician shall explain why the data/information is considered relevant or not. Ejection fraction is best measured accurately by echocardiogram or MUGA scan. The following guidelines must be followed with regard to ejection fraction: (a) More than 55% is in normal range, equivalent in cardiac performance to the normal for age and sex (see table 3). (b) 45-50% is slight impairment. (c) 30-45% is moderate impairment. (d) Less than 30% is not quite severe impairment. (e) Less than 20% is severe or total impairment. E. Coronary Artery Spasm Coronary artery spasm must be diagnosed by EKA or Holter Monitor with S-T segment changes up or down more than 1 mm. The Holter Monitor must be a high fidelity type and not a standard or event recorder. S-T segments are usually elevated with coronary spasm and depressed with ischemia, but this is not always the case. Significant sections of the tracing, including scale, as well as a technical description of the equipment used, shall be included with the report. There are several types of coronary artery spasm. (1) Coronary artery spasm with pain, however the coronary arteries are normal. The relationship of this type of coronary artery spasm to emotional stress is somewhat controversial. It is not related to physical stress. (2) Coronary artery spasm with pain, however there are coronary artery occlusions. This type of chest pain is related to physical and/or emotional stress. (3) Myocardial ischemia without pain (silent ischemia). This is associated with fixed-lesion coronary artery disease. It is also related to emotional and/or physical stress. The impairment due to coronary artery spasm shall be evaluated after appropriate treatment, which shall be continued. The evaluator must describe the level of emotional and/or physical stress producing spasm and offer an opinion regarding the extent of the impairment, which shall be described in detail. The response to medication shall also be described. If the patient has nearly daily episodes not controlled with medication, it must be described as severe. If the patient has an episode every week or two despite medication, the impairment is described as moderate. If the patient has an occasional episode despite medication, the impairment is described as slight. If there are side effects from the medications, they shall be described in detail. F. Arrhythmia Arrhythmia should be evaluated after appropriate treatment and documented by data from EKG, Holter Monitor, event recorder, or data from stress testing. Any significant arrhythmia which terminates a stress test should automatically establish the impairment level. Occasional unifocal PVCs with an otherwise normal heart represents no impairment unless the PVCs are related to stress or because of the patient's marked preoccupation with symptoms. Ventricular arrhythmia in the presence of ventricular dysfunction or valvular abnormality is associated with an increased risk of sudden death. Supraventricular arrhythmia may result in impairment depending on the extent of subjective symptoms. G. Hypertension Hypertension is defined as a resting blood pressure over 140/90. The blood pressure must be taken multiple times in both arms, in both a supine and an upright position. It is extremely important to establish that hypertensin does exist. At times this requires multiple visits or 24-hour blood pressure monitoring. Hypertension is "controlled" when the blood pressure is lower than 140/90 with reasonable medication ("reasonable medication" means no untoward side effects). Any side effects shall be described and appropriate restrictions due to side effects must be stated. When there are no significant side effects, this shall also be stated. Blood pressure is "incompletely controlled" if there is an intermittent elevation of blood pressure higher than 140/90 with reasonable medication. Blood pressure is "uncontrolled" when the diastolic pressure is always higher than 90, with or without reasonable medication. If without medication, treatment is needed, the applicant may or may not be temporarily, partially, or totally disabled. In most cases, with effective treatment, hypertension can generally be controlled. The medication and dosage, as well as increases needed, must be noted. There is usually a period of time need to adjust medication until the blood pressure is controlled and side effects are tolerable. This period of time is generally no longer than three months. During this period of time, the patient may be temporarily, partially or totally disabled. If the period of time exceeds three months, as explanation must be provided. In terms of impairment factors, the side effects of the controlling medication may on their own warrant a finding of disability. The signs and/or symptoms must be described and quantified, and their relationship to the medication explained. In testing for "controlled" hypertension, ambulatory blood pressure monitoring, or treadmill testing may show intermittent loss of control. The leve of physical and emotional stress producing loss of control may be a basis for impairment rating. Such testing is ordered at the discretion of the physician. If there exists a "controlled" hypertension with end organ damage, the medical evaluator must describe and give the significane of the end organ damage. "Uncontrolled" hypertension may or may not be temporarily totally disabling. H. Emotional Stress The following guidelines shall be used for prophylactic restrictions from stress. All conditions the physician feels justify a preclusion from emotional stress such as those listed below, or any others the physician feels are significant, shall be under appropriate and continuing treatment. The reasons listed for prophylactic restriction below are examples. If prophylactic restrictions are suggested for reasons other than those listed below, the restriction must be justified by comparison with the examples given. The physician shall give examples of emotional stressors to be avoided by the patient. The physician shall be as specific as possible. (1) Prophylactic restriction against all emotional stress. Examples include: --recurrent complex cardiac arrhythmia persisting despite appropriate treatment. --unstable angina or rest angina at a frequency of three or more times a week, documented by history. --uncompensated heart failure. --EKG demonstration of silent ischemia persisting despite appropriate treatment documented by Holter Monitor and diary. (2) Prophylactic restriction from more than ordinary--for the person being examined--emotional stress. Examples include: --occasional episodes of complex arrhythmia or arrhythmias associated with undue or more than ordinary emotional stress document by Holter Monitor and diary. --angina with undue or more than ordinary stress. --compensated heart failure. --hypertension shown to become uncontrolled--with diastolic over 100 present 50% of the time or more--under undue or more than ordinary emotional stress. --EKG demonstration of silen ischemia under undue or more than ordinary emotional stress documented by Holter Monitor and diary. (3) Prophylactic restriction against severe emotional stress. Examples include: --arrhythmia precipitated by severe emotional stress documented by Holter. --angina precipitated by severe emotional stress. --documented decompensation or congestive heart failure precipitated by severe emotional stress. --hypertension which becomes uncontrolled by severe emotional stress. --EKG demonstration of silent ischemia with severe emotional stress documented by Holter Monitor and diary. --mitral valve prolapse: a mechanical abnormality which becomes symptomatic (chest paind and/or cadiac arrhythmias) under conditions of severe emotional stress. Mitral valve prolapse must be documented. --psychophysiological cardiovascular reaction. This includes clinical pictures of chest pain with no cardiac pathology and cardiac irregularity (palpitation of simple arrhythmia) for which no other organic cause is found. These symptoms are often precipitated by severe emotional stress. I. Previous Cardiac History Including Myocardial Infarction, Coronary Artery Bypass Surgery or Coronary Angioplasty I. Previous Cardiac History Including Myocardial Infarction, Coronary Artery Bypass Suergery or Coronary Angioplasty The previous history of myocardial infarction, coronary surgery, coronary angioplasty, atherectomy or coronary stent placement as a consequence of the incident injury shall be considered in a finding of disability and the resulting finding may or may not be absorbed in the (exercise capacity based) findings as the evidence directs. SECTION III. DISABILITY EVALUATION SCHEDULE FOR THE HEART The above clinical and laboratory approach to cardiac evaluation as described in Section I gives rise to the objective and subjective factors to be utilized in cardiac disability evaluation. The various factors were described above under Section II. The cornerstone of the disability, evaluation is work level, before and after the industrial injury as established by stress testing (Section IIA, IIB, IIC). 45% of the testing end point is the accepted level for sustained work. Consideration shall also be given to a need for maximum short term effort (less than 15 minutes once a day) in certain occupations. The 80% level in METs of the person's testing end point shall meet or exceed this short-term METs requirement. In arriving at the findings of disability, the physician shall consider the current work level status (Section IIA, IIB) and the pre-injury work level status (Section IIC). Using those two levels as measured in METs, the physician shall calculate the percentage of impairment as a result of the industrial injury: % of impairment = (1-current work level/pre-injury work level) x 100% For example, if a worker had a pre-injury work level of 12 METs, after his industrial injury his current work level has been determined to be 8 METs, his % of impairment is (1 - 8/12) x 100% = 33 1/3%. The miimal METs required for mere surviving (generally less than 2.5 METs), that is without any capacity of any work, may be taken into consideration and may be used to modify the above formula. When the determination of pre-injury work level is not feasible, Table 4 is offered as a guide to estimate minimum work preclusion on the basis of current work level. Other objective and subjective factors ad described in Section II shall be considered when they are appropriate in arriving at the final disability finding. If symptoms and signs of coronary artery spasm, arrhythmia, hypertension or emotional stress cause exercise tesitng to be stopped, disability for those clinical factors would be at least partially "absorbed" in the (exercise capacity based) disability findings. Otherwise (if there are no symptoms or signs resulting at the time) if coronary artery spasm, arrhythmia, hypertension or emotional stress given rise to non-scheduled disability findings, these findings may or may not be absorbed in the (exercise capacity based) disability findings as the evidence directs. If they physician feels comfortable with using the Guideline for Work Capacity (Table I) directly without calculating the percentage of impairment, he may do so. Table 1-A Guideline for Work Capacity (For Dates of Injury Prior to 4/1/97) (a) "Disability Precluding Very Heavy Lifting" contemplates the employee has lost approximately one-quarter of pre-injury lifting capacity. A statement such as "unable to lift 50 pounds" is not meaningful. The total lifting effort, including weight, distance, endurance, frequency, body position, and similar factors should be considered with reference to the particular individual. (b) "Disbility Precluding Very Heavy Work" contemplates the employee has lost approximately one-quarter of pre-injury lifting capacity for performing such activities as bending, stooping, lifting, pushing, pulling and climbing or other activities involving comparable physical effort. (c) "Disability Precluding Heavy Lifting" contemplates the employee has lost approximately half of pre-injury lifting capacity. (See statement regarding lifting in (a), above.) (d) "Disability Precluding Lifting, Repeated Bending, and Stooping" contemplates the employee has lost approximately half of pre-injury capacity for lifting, bending, and stooping. (e) "Disability Precluding Heavy Work" contemplates the employee has lost approximately half of pre-injury capacity for performing such activities as bending, stooping, lifting, pushing, pulling and climbing or other activities involving comparable physical effort. (f) "Disability Resulting in Limitation to Light Work" contemplates the employee can do work in a standing or walking position, with a minimum of demands for physical effort. (g) "Disability Resulting in Limition to Semi-Sedentary Work" contemplates the employee can do work approximately one-half the time in a sitting position and approximately one-half the time in a standing or walking position with a minimum of demands for physical effort, whether standing, walking, or sitting. (h) "Disability Resulting in Limitation to Sedentary Work" contemplates the employee can do work predominantly in a sitting position at a bench, desk, or table with a minimum of demands for physical effort and with some degree of walking and standing permitted. Table 1-B Guideline for Work Capacity (For Dates of Injury On or After 4/1/97) (a) "Disability Precluding Very Heavy Lifting" contemplates the individual has lost approximately one-quarter of pre-injury lifting capacity. A statement such as "inability to lift 50 pounds" is not meaningful. The total lifting effort, including weight, distance, endurance, frequency, body position, and similar factors should be considered with reference to the particular individual. (b) "Disbility Precluding Very Heavy Work" contemplates the individual has lost approximately one-quarter of pre-injury capacity for performing such activities as bending, stooping, lifting, pushing, pulling and climbing or other activities involving comparable physical effort. (c) "Disability Precluding Repetitive Motions of Neck or Back" contemplates the individual has lost approximately one half of pre-injury capacity for flexing, extending, bending, and rotating neck or back. (d) "Disability Precluding Heavy Lifting" contemplates the individual has lost approximately one half of pre-injury lifting capacity. (See statement regarding lifting under "Disability Precluding Very Heavy Lifting" above.) (e) "Disability Precluding Heavy Lifting, Repeated Bending, and Stooping" contemplates the individual has lost approximately one half of pre-injury capacity for lifting, bending, and stooping. (f) "Disability Precluding Heavy Work" contemplates the individual has lost approximately one half of pre-injury capacity for performing such activities as bending, stooping, lifting, pushing, pulling and climbing or other activities involving comparable physical effort. (g) "Disability Precluding Substantial Work" contemplates the individual has lost approximately three quarters of pre-injury capacity for performing such activities as bending, stooping, lifting, pushing, pulling, and climbing or other activities involving comparable physical effort. (h) "Disability Resulting in Limitation to Light Work" contemplates the individual can do work in a standing or walking position, with a minimum of demands for physical effort. (i) "Disability Resulting in Limition to Semi-Sedentary Work" contemplates the individual can do work approximately one half of the time in a sitting position, and approximately one half of the time in a standing or walking position, with minimum of demands for physical effort, whether standing, walking, or sitting. (j) "Disability Resulting in Limitation to Sedentary Work" contemplates the individual can do work predominantly in a sitting position at a bench, desk, or table with a minimum of demands for physical effort and with some degree of walking and standing being permitted. Table 2 Oxygen Requirements For Various Step, Treadmill, And Bicycle Ergometer Tests: [Note: The following TABLE/FORM is too wide to be displayed on one screen. You must print it for a meaningful review of its contents. The table has been divided into multiple pieces with each piece containing information to help you assemble a printout of the table. The information for each piece includes: (1) a three line message preceding the tabular data showing by line # and character # the position of the upper left-hand corner of the piece and the position of the piece within the entire table; and (2) a numeric scale following the tabular data displaying the character positions.] ******************************************************************************* ******** This is piece 1. -- It begins at character 1 of table line 1. ******** ******************************************************************************* METs Treadmill Bicycle Tests Ergometer BRUCE KATTUS BALKE BALKE For 70kg NAGLE body weight BALKE (see Table NAUGHTUS 3-min 3-min % grade %grade 1 for 2-min stages stages stages at at METs level 30 steps/min 3.4 mph 3 mph for weight and (Step height performance 16 % % 26 increased 15 mph gr mph gr 24 kmg/min 14 4 22 22 1500 2 min) 13 4.2 16 20 12 4 18 18 22.5 1350 11 16 20.0 1200 10 3.4 14 4 14 14 17.5 1050 9 12 15.0 900 8 4 10 10 12.5 750 7 2.5 12 3 10 8 10.0 6 6 7.5 600 5 1.7 10 2 10 4 5.0 450 4 2 2.5 300 3 0.0 2 150 1 1...+...10....+...20....+...30....+...40....+...50....+...60....+...70....+. ******************************************************************************* ******* This is piece 2. -- It begins at character 77 of table line 1. ******** ******************************************************************************* Step Test O<>2 Requirements mi O<>2/kg/min 56.0 4 cm q 52.5 49.0 Height (cm) 45.5 40 42.0 36 38.5 32 35.0 28 31.5 24 28.0 20 24.5 16 21.0 12 17.5 8 14.0 4 10.5 7.0 3.5 77......+...90....+....0....+...10... Figure 1. Oxygen requirements increase with work loads from bottom of chart to top in various exercise tests of the step, treadmill, and bicyle ergometer types. Table 3 Maximum Oxygen Uptake In Healthy "Normal" Volunteers* MALE "METS" "METS" Mean 10 90th Mean 10th 90th Age Min<- % Mean % Min<>- % Mean % Age >-1 -1 20-29 39 9.0 11.0 13.5 30.2 6.2 8.6 10.8 20-29 30-39 37 8.6 10.5 13.2 30.2 6.2 8.6 10.2 30-39 40-49 35.7 7.8 10.0 12.8 26.7 6.0 7.6 10.0 40-49 50-59 33 7.0 9.4 12.4 24.5 5.0 7.0 9.4 50-59 60+ 29 5.7 8.2 11.7 21.8 4.5 6.2 8.6 60+ Data from the Cooper Clinic Coronary Risk Factor Profile Charts, which are from data collected on patients being evaluated at the Cooper Clinic and standads being established at the Institute for Aerobics Research, Dallas, Texas, 1978. Reprinted with permission from Pollock, M.L., Wilmore, J.H., and Fox,S.M.: Health and Fitness Through Physical Activity, New York, copyright John Wiley and sons, 1978. * Maximum oxygen uptake was estimated from treadmill time. Table 4 Peak METs Preclusiong Equivalent >9 None to very heavy work 7-9 Heavy work 5 to 7 Light Work 2.5 to 5 Sedentary Work <2.5 Total Note: Authority cited: Section 139.2(j)(2), Labor Code. Reference: Sections 139.2(j)(2), 4060, 4061 and 4062, Labor Code. s 46. Method of Evaluation of Neuromusculoskeletal Disability. The method of measuring the neuromusculoskeletal elements of disability shall be as set forth below in the "Guidelines for Evaluation of Neuromusculoskeletal Disability" as adopted by the Industrial Medical Council on October 20, 1994. GUIDELINES FOR EVALUATION OF NEUROMUSCULOSKELETAL DISABILITY I. INTRODUCTION A. BASICPURPOSE OF THE GUIDELINES The purpose of these evaluation guidelines is to develope a more uniform method of evaluating musculoskeletal injuries without diminishing the individual expertise of the participating evaluator. This method will allow involved parties (particularly the WCAB) to review evaluator's reports which employ a more standardized format. B. GENERAL APPROACH The evaluator shall personally take the history from the injured worker and perform the examination. The evaluator may have an assistant make an initial outline of the injured worker's history or take excerpts from prior medical records, however the evaluator must review the excerpts and/or outline with the injured worker. Occupational and medical questionnaires may be useful to assist the injured worker in compiling the details of the injury prior to the consultation with the evaluator. Any discrepancies in the various sources of information should be identified and clarified by the evaluator. The injured worker shall at all times be evaluated in a compassionate and respectful manner. The evaluator will introduce him/herself, and explain to the injured worker the purpose and scope of the evaluation. The evaluator must inform the injured worker of any significant medical findings which could impact on his or her health. These findings may not be directly related to the work injury. II. COMPONENTS OF THE REPORT A. INITIAL PAGE Address the report to the referring party(ies) or the DEU office noted on the Request for Summary Rating form. Report on factors influencing the complexity of the examination, being aware that complexity factors may be medical in nature or medical-legal, such as apportionment. Give an explanation if the face to face time of the examination was less than the required twenty minutes. Give names and professional description of any persons assisting with the report or performing diagnostic or consultative services. Note if there were communication difficulties (e.g. aphasia) or translation services required for the evaluation. B. s 46.1. Guidelines for the Evaluation of Foot and Ankle Disability. I. Introduction A. Basic Purpose of the Guidelines The purpose of these evaluation guidelines is to develop a more uniform method of evaluating foot and ankle injuries without diminishing the individual expertise of the participating evaluator. This method will allow involved parties (particularly the WCAB) to review evaluator's reports, which employ a more standardized format. B. General Approach The evaluator shall personally take the history from the injured worker and perform the examination. The evaluator may have an assistant make an initial outline of the injured worker's history or take excerpts from prior medical records, however the evaluator must review the excerpts and/or outline with the injured worker. Occupational and medical questionnaires may be useful to assist the injured worker in compiling the details of the injury prior to the consultation with the evaluator. Any discrepancies in the various sources of information should be identified and clarified by the evaluator. The injured worker shall at all times be evaluated in a compassionate and respectful manner. The evaluator will should introduce him/herself, and explain to the injured worker the purpose and scope of the evaluation. The evaluator must inform the injured worker of any significant medical findings, which could impact on his or her health. These findings may not be directly related to the work injury. II. Components of the Report A. Initial Page Address the report to the referring party(ies) or the DEU office noted on the Request for Summary Rating form. Report on the face to face time and factors influencing the complexity of the examination, being aware that complexity factors may be medical in nature or medical-legal, such as apportionment. Give names and professional description of any persons assisting with the report or performing diagnostic or consultative services. Note if there were communication difficulties (e.g. aphasia) or translation services required for the evaluation. B. History Medical records and history questionnaires shall be used only as an adjunct to the history as told by the patient to the physician. The physician shall personally take the history from the injured worker. Any discrepancies in the history between various sources must be identified and clarified. An appropriate history shall include: D. Work history, including previous and current jobs, and some description of previous, and current job duties. Review and comment on a formal job description if it is available for review. Particular attention for the foot and ankle is placed on requirements for standing, walking (over even or uneven surfaces), running, squatting, sitting, kneeling, climbing, jumping, hopping, balancing, lifting, carrying, pushing or pulling with the legs or feet and use of foot controls. This section is especially important, as the physician must extract sufficient history to assess the injured worker's pre-injury functional capacity for work activity. Determining the previous work capacity within the past several years best assesses this. Regular non-work activities can also be taken into account to determine previous functional levels. E. Description of how and when the injury occurred and the type of occupational exposure. F. Summary of the course of treatment for the injured worker since injury includes type of treatment and response to treatment to date. G. Current treatment including type and frequency. H. Description of pertinent past medical history including previous and or subsequent injuries or illnesses, and a description of any prior neurological or musculoskeletal disabilities particularly relating to the lower extremity. I. Pertinent other past medical history and other contributing medical, psychological, or social concerns. C. Current Complaints The physician shall outline in the patient's words, his or her current complaints. This shall include all parts affected by the injury or injuries claimed, the character (quality), severity, frequency, and any radiation of symptoms, and what activities or interventions precipitate, aggravate or reduce symptoms. Delineate existing associated signs and symptoms of the injury. NOTE: The patient's own description of symptoms shall be "translated" later by the physician into ratable language as defined by Packard Thurber. Any subjective complaints regarding work activity or other activities of daily living (ADL's) shall be outlined in this section. For the foot and ankle, any functional complaints in such as standing, walking (over even or uneven surfaces), running, squatting, sitting, kneeling, climbing, jumping, lifting, carrying, balancing, pushing or pulling with the legs or feet and the use of foot controls shall be listed in this section. The use of assistive devices (if any) for mobility such as a wheelchair, cane, or crutches, shall be elicited and described as to type and frequency of use, as well as the need and type of any orthotic or prosthetic devices and special shoes. D. Medical Records Reviewed In this section, the physician shall list all records reviewed in the preparation of the report. Extractions from those records may be listed in this section or summarized in the History section of the report. D. Physical Examination of the Foot and Ankle for Disability Evaluation (1) The physical examination shall include relevant description of body habitus, and any general observations such as a limp, obvious discomfort when standing, difficulty in transferring, etc. that may be helpful in determining previous or current functional capacity. Note any assistive devices, prosthetics, orthotics, or shoes that the patient uses and describe. (2) In all measurements or observations performed, if normal, the physician may simply state "normal". Describe tests rather than just use an acronym. (3) Inspection: The physician shall describe any skin abnormalities, surgical scars, obvious atrophy or skeletal deformities (e.g. angulation of healed fractures, varus or valgus joint deformity, or amputation). The injured parts of the foot or ankle shall be inspected for soft tissue swelling and dislocation. (1) Amputations shall be described anatomically. (1) Affected areas shall be palpated for tenderness. Any painful areas shall be reported. Any alterations of skin temperature or vascular status shall be noted. (6) Joint examination a. The physician shall assess the affected joints and compare them to the uninjured side. a. Joint effusion, enlargement, erythema, and instability shall be described if present. Pertinent clinical tests used in joint assessment (i.e. drawer signs, Thompson's sign, etc.) shall be described and noted as normal or abnormal. If there is an abnormal range of motion that is not secondary to the injury, give an explanation for this finding. b. Goniometric measurement is the accepted method of evaluation of range of motion for the foot and ankle. A description of goniometric methods of measurement and estimated normal values for the foot and ankle can be found in Packard Thurber, Evaluation of Industrial Disability, Second Edition, Oxford University Press. The physician shall measure active range of motion of all affected joints of the foot and ankle as compared to the uninjured side. Any abnormal, excessive, or limited range of motion or ankylosis shall be described. For bilateral injuries estimate the normal range of motion. Note whether the injured worker gave full effort on active range of motion and if there was any unexplained discrepancies in formally measured versus observed range of motion, or whether limitations in active range of motion was based on pain. If so, list arc range of motion precluded or inhibited by pain. If the measurement obtained were invalid based on lack of effort, so note. (7) Leg lengths shall be measured in inches from Anterior Superior Iliac Spine (ASIS) to medial malleolus and if appropriate, other methods of leg length measurement may be included. D. Gait and other functional assessment: Any abnormality of gait shall be described (propulsive vs. apropulsive, angle and base of gait, etc.). Evaluate patient's ability to squat, stand, kneel, heel and toe walk. (9) Neurological examination of the foot or ankle shall be performed for any complaints of weakness, sensory impairment or dysesthesias. This shall include assessment of: a. Motor examination i. Atrophy of specific muscles or muscle groups of the lower extremities or foot should be described. General muscle bulk is assessed by measurement s of the calves and thighs in inches. Circumferencial measurements of the foot and ankle should be recorded. Calf measurements are taken at the point of maximum circumference. Thigh circumferences are taken at the point one-third the distance from the upper pole of the patella to the umbilicus. ii. Muscle tone shall be described as increased, normal or decreased. i. Muscle strength shall be graded using a scale such as those found in Appendix A. Muscle weakness due to neurologic impairment shall be differentiated by the examiner from lack of effort due to pain, disuse or lack of effort due to other causes. In cases of questionable effort, muscle weakness due to neurologic deficit can generally be corroborated by appropriate electodiagnostic testing including needle EMG and a nerve conduction study performed by an appropriately qualified physician. b. Sensory examination shall include a screening of touch and pain sensation (pinprick) in pertinent foot, ankle and lower extremity dermatomes/peripheral nerve distributions and of joint proprioception of any involved joints. Any abnormalities shall be described fully and correlated with peripheral nerve or dermatomal pattern. If the pattern of sensory impairment is nonphysiological, this should be noted c. Deep tendon reflexes shall be obtained and graded as 0 (absent) to 4+ (hyperactive with clonus). Plantar responses and any other abnormal reflex responses shall be recorded. d. Coordination shall be assessed if this is a presenting complaint, or if there is suspicion of foot, ankle or lower extremity motor coordination impairment. In this case, finger to nose, heel to shin and gait should be described. (10) Screening exam of remainder of neurological or musculoskeletal system if there is any evidence of more widespread involvement. D. Diagnostic Studies in Lower Extremity Disability Evaluation (1) Order diagnostic studies only when the studies may alter the recommended plan or the evaluator's opinion regarding factors of disability. The evaluator must document the need for these additional studies. (2) List any diagnostic procedures performed, as well as the dates and the results of the procedures. Provide the name, specialty, qualifications and opinion of any consultants. (3) Methods of Assessment a. Clinical diagnosis of foot and ankle problems can usually be made on history and physical examination with the help of x-rays. b. In addition to an x-ray, testing may include: i. MRI ii. CT iii. Bone Scan iv. Arthrogram v. Use of mechanical devices to test strength and stability. vi. EMG/NCV testing is appropriate only if there is a suggestion of nerve damage or nerve compression. vii. Vascular studies are indicated only if there is associated vascular disruption/damage or a secondary vascular complication. viii. Blood Studies ix. Ultrasound x. Diagnostic, but not therapeutic, blooks y. There are other tests that may be performed with proper documentation of necessity: G. Diagnosis List the relevant diagnosis(es). When appropriate, state if the injury is right or left sided or bilateral. H. Opinions & Discussion State that the report represents your opinions and how those opinions were derived after carefully reviewing the forwarded medical information, the injured worker's subjective statements offered during consultation, and examination findings. I. Causation State an opinion as to whether the injury or illness that led to the disability arose out of the employment (AOE). J. Permanent and Stationary State whether the injured worker is permanent and stationary and reasons for that opinion. The term permanent and stationary means that the injured worker has reached maximal improvement or his condition has been stationary for a reasonable period of time. K. Temporary Disability If the injured worker is not permanent and stationary, describe the current work restrictions that might allow the worker to return to work immediately, any additional treatment and the anticipated length of time necessary to achieve permanent and stationary status. L. Factors of Disability The evaluator will describe the subjective and objective components of disability. Do not provide a "rating" but describe the medical information in such a way as to be used by raters, judges and other concerned parties. The following information shall be included: 1. Subjective Factors of Disability Translate the injured worker's symptoms into ratable language using the terminology found in section 9727 of title 8 of the California Code of Regulations, and reproduced here in Appendix B. Subjective factors are those that cannot be directly measured or observed, such as pain, stiffness, and paresthesia. It is important to note that this is the physician's assessment of residual symptoms and is based on the examination, the physician's experience with similar injuries and his/her expert medical opinion. It is not simply a catalog of an individual's complaints, as this might inaccurately inflate the disability rating if the complaints are not consistent with the physician's findings. Statements in this part of the report should be consistent with the nature of the injury and with the objective findings. Work restrictions based on subjective factors that are out of proportion to objective findings require specific explanation. The recommended description of subjective disability should include the activity which produces disabling symptoms; the intensity, frequency and duration of symptoms; a description of the activities that are precluded and those that can be performed with the symptoms; and the means necessary for relief. 2. Objective Factors of Disability Note those findings which can be measured, observed or demonstrated on testing. They include, but are not limited to: range of motion, strength, sensation, reflexes, amputation, anatomical measurements, disfigurement, and radiographic or other diagnostic results. Note if assistive devices, prosthetics, or orthotics are required and describe the device. Note if the device causes any limitation in motion. 3. Work Capacity Report work restrictions for the activities the injured worker was performing at the time of the injury and for potential activities in the open labor market. The evaluator will estimate the total or partial loss of the injured worker's pre-injury capacity to lift, walk, push, pull, climb, walk on uneven ground, squat, kneel, crouch, pivot, bear weight or other activities involving comparable physical strength. The best means is to describe the injured worker's loss of capacity, such as loss of one-quarter of his ability to lift. Use of job history and/or description as well as other activities of daily living to estimate the pre-injury capacity, should be noted in the report to substantiate the evaluator's opinion on loss. Be as specific as possible, incorporating the injured worker's history, the RU-90, the DEU Form 100, and a formal job analysis, if it is available. M. Apportionment State if apportionment is indicated and provide reasons for the statement. Indicate in the report whether apportionment is for a pre-existing condition under Labor Code section 4750, an underlying disease process under Labor Code section 4663 or a subsequent non-industrial injury under Labor Code section 4750.5. N. Further medical care Give your recommendation for current and future treatment. If the injured worker is currently receiving treatment, indicate whether the treatment is necessary to either improve or prevent deterioration of the current condition. If you believe that additional treatment is indicated to reach maximum improvement, you should explain the type of treatment, the reasons for the treatment, and the possible benefits of the treatment. O. Vocational rehabilitation If requested, state if the injured employee is medically qualified for vocational rehabilitation based on your review of the job analysis. P. Affirmations and signature The following paragraph must be included and signed and dated by the evaluator. The report must contain an original signature by the evaluator. "I declare under penalty of perjury that the information contained in this report and its attachments, if any, is true and correct to the best of my knowledge and belief, except as to information that I have indicated I received from others. As to that information, I declare under penalty of perjury that the information accurately describes the information provided to me and except as noted herein, that I believe it to be true." I have not violated Labor Code Section 139.3 and the contents of the report and bill are true and correct to the best of my knowledge. The foregoing declaration was signed in __________ __________County, California on _________________ (date). __________ Evaluator's Signature Note: Authority cited: Sections 139, 139.2, 4060, 4061 and 4062, Labor Code. Reference: Sections 139, 139.2, 4060, 4061, 4061.5 and 4062, Labor Code. Appendix A Muscle Grading Chart Results may be reported using a verbal scale or a percentage loss of muscle strength as follows. In either case, the evaluator must still describe how a given loss of muscle strength affects the injured worker's capacity to perform work. Muscle Gradation Description 5-Normal 5-complete range of motion against gravity with full resistance 4-Good 4-complete range of motion against gravity with some resistance 3-Fair 3-complete range of motion against gravity 2-Poor 2-complete range of motion with gravity eliminated 1-Trace 1-reads evidence of slight contractility, no joint motion 0 (Zero) 0-no evidence of contractility Examples of Muscle Grading Charts Results may be reported using a verbal scale or a percentage loss of muscle strength as follows. In either case, the evaluator must still describe how a given loss of muscle strength affects the injured worker's capacity to perform work. Muscle Gradation Description 5-Normal 5-complete range of motion against gravity with full resistance 4-Good 4-complete range of motion against gravity with some resistance 3-Fair 3-complete range of motion against gravity 2-Poor 2-complete range of motion with gravity eliminated 1-Trace 1-reads evidence of slight contractility, no joint motion 0 (Zero) 0-no evidence of contractility Kendall Lovett Description 100 % Normal The ability to hold the test position against gravity and maximum 95 % Normal - pressure, or the ability to move the part into test position and hold against gravity and maximum pressure 90 % Good + Same as above except holding 80 % Good against moderate pressure. 70 % Good - Same as above except holding 60 % Fair + against minimum pressure. 50 % Fair The ability to hold the test position against gravity, or the ability to move the part into test position and hold against gravity. 40 % Fair - The gradual release from test position against gravity; or the ability to move the part toward test position against gravity almost to completion, or to completion with slight assistance or the ability to complete the arc of motion with gravity lessened. Kendall Lovett Description 30 % Poor + The ability to move the part through partial arc of motion with gravity lessened; moderate arc, 30% or poor +; small arc, 20% or poor. To avoid moving a patient into gravity-lessened position, these 20 % Poor grades may be estimated on the basis of the amount of assistance given during anti-gravity test movements: A 30% or poor + muscle requires moderate assistance, a 20% or poor muscle requires more assistance 10 % Poor - In muscles that can be seen or palpated, a feeble contraction may be felt in the muscle, or the tendon may become prominent during the 5 % Trace muscle contraction, but there is no visible movement of the part. 0 % Gone No contraction felt in the muscle. Appendix B Subjective disability should be described in terms of location, degree, frequency, and precipitating activity. Terms describing degree and frequency are taken to have the following meanings: Degree: Minimal or mild pain constitutes an annoyance, but causes no handicap in the performance of activity. Slight pain can be tolerated but causes some handicap in the performance of precipitating activity. Moderate pain can be tolerated but causes marked handicap in the performance of precipitating activity. Severe pain precludes precipitating activity Frequency: Occasional - approximately 25% of the time Intermittent - approximately 50% of the time Frequent - approximately 75% of the time Constant - approximately 100% of the time Appendix C Description of Activities Balancing: Maintaining body equilibrium Bending: Angulation from neutral position about a joint (e.g. elbow) or spine (e. g. forward) Carrying: Transporting an object, usually holding it in the hands or arms or on the shoulder. Climbing: Ascending or descending ladders, stairs, scaffolding, ramps, poles, etc. . . using feet and legs and/or hands and arms. Crawling: Moving about on hands and knees and feet. Crouching: Bending body downward and forward by bending lower limbs, pelvis and spine Jumping: Moving about suddenly by use of leg muscle, leaping from or onto the ground or from one object to another. Kneeling Kneeling: Bending legs at knees to come to rest on knee or knees. Lifting: Raising or lowering an object from one level to another (includes upward pulling) Pivoting: Planting your foot and turning about that point. Pushing: Exerting force upon an object so that the object moves away from the force (includes slapping, striking, kicking and treadle actions). Pulling: Exerting force upon an object so that the object moves towards the force (includes jerking). Running: Moving in a fast pace, moving the legs rapidly so that for a moment both legs are off the ground. Sitting: Remaining in the normal seated position. Squating: Crouching to sit on your heels, with knees bent and weight on the balls of your feet. Standing: Remaining on one's feet in an upright position at a work station without moving about. Stooping: Bending body downward and forward by bending spine at waist. Turning/ Twisting: Moving about a central axis, revolve or rotate. Use Foot Controls: Required to control a machine by use of controls. Walking: Moving about at a moderate pace over even or uneven ground. s 47. Method of Evaluation of Immunologic Disability. The method of measuring immunologic elements of disability shall be as set forth below in the "Guidelines for Immunologic Testing" as adopted by the Industrial Medical Council on March 17, 1994. STATE OF CALIFORNIA DEPARTMENT OF INDUSTRIAL RELATIONS INDUSTRIAL MEDICAL COUNCIL 395 Oyster Point Blvd., Ste. 102 South San Francisco, CA 94080 Tel:(650)737-2700 Fax:(650)737-2989 ADDRESS REPLY TO: P.O. Fox 8888 San Francisco, CA 94128-8888 Guidlines For Immunologic Testing Adopted March 17, 1994. Laboratory testing of immunologic function is appropriate and necessary in the evaluation of industrial injuries but only in selected cases. Immunologic function testing falls into four general categories: I. Allergy to a specific chemical agent. II. Allergy to common antigens from the general and home environment (e.g., pollens). III. Malfunction of the immune system unrelated to infection. IV. Specific infection. Category I: Allergy To A Specific Chemical Agent Testing shall be done only when: A. The worker has been exposed to a specific chemical at work known to cause hypersensitivity. B. The worker has sysmptoms or physical findings on examination that can be due to allergy to a chemical agent. C. The specific suspected chemical agents of interest has been identified. Testing shall not be done for chemical agents to which the worker has not been exposed. The purpose of Category I is to confirm that the worker is allergic and reactive to a specific chemical agent. The presence of a laboratory test showing reactivity does not in itself indicate physical disability unless there also are subjective symptoms and/or objective findings of physical impairment which are consistent with such reactivity. Many people have positive reactivity tests but do not have clinical disease. Testing methods must be for the specific chemical agent. They may be blood tests for antibodies, skin tests or special tests such as lymphocyte reacitivty to beryllium. Category II: Tendency To React To Common Allergens This testing is of very limited use: It is allowable only when the clinical findings (e.g., sneezing, nasal obstruction or wheezing) could be due to either workplace agent or non-industrial exposure. Testing may be of the blood (IgE, RAST) or of the skin (patch, scratch or intradermal). Category III: Testing Of Function Of The Immune System In unusual circumstances (e.g., occupational exposures to ionizing radiation or chemotherapeutic agents), direct clinically significant damage to the immune system may occur and be relevant to the assessment of occupationally related disability. Many chemical agents other than chemotherapeutic drugs have been shown to produce subtle effects on the immune system is research studies. However, such subtle effects do not cause work-related disablilty and cannot be the basis for laboratory testing. In the unusual circumstance in which the need for immune testing occurs, such testing shall involve some or all the following: A. Complete blood count B. Total serum immunoglobulin level and immunoglobulin electrophoresis C. Total lymphocyte count and counting of T and B lymphocytes, including subsets. Further testing of the immune system must be based on a strong clinical indication and must be supported by an explanation by the physician as to the need and purpose of the testing (which may be diagnostic or prognostic in nature but not for research pruposes). Under circumstances such as a severely emotionally stressful event or the taking of certain medications for an industrial illness or injury, an autoimmune disorder may be precipitated or aggravated. When symptoms and/ or physical findings suggestive of this occur, serological testing for autoimmune disorders is appropriate, but only when needed to confirm the diagnosis. Category IV: Specific infections Serologic and other immune system testing are allowable only when the physician-obtained history, physical examination, routine laboratory test results and/or medical records confirm or cause the physican to suspect certain infections that may be occupationally-related (e.g., viral hepatitis, valley fever and HIV infection). Testing may by specific for the infectious agent or may be nonspecific: A. Specific tests: 1. Antigen and antibody tests that currently are available for the various types of viral hepatitis (A, B, C and delta). 2. complement fixation titer for valley fever (coccidioidomycosis) to rule in or out active disseminated disease. 3. Elisa testing for an HIV infection. If positive, the results shall be confirmed with a Western Blot test. B. Nonspecific tests: 1. White blood cell and differential count. 2. Total lymphocyte count and counting of T and B lymphocytes, including subsets. Further testing of the immune system shall be based on strong clinical indications and shall be supported by an explanation by the physician of the need and purpose of the testing. SUMMARY: In the four selected categorical situations, immunological laboratory testing is appropriate only as described above. Such testing shall be performed in Workers' Compensation cases only if an abnormality would affect the determinaiton of compensability or clinical management. These conditions include detemination of disability status (temporary partial disability, temporary total disability, permanent partial disability and permanent total disability), specific work restrictions, causation of disability, apportionment, future medical treatment and the need for vocational rehabilitation. Note: Authority cited: Section 139.2(j)(2), Labor Code. Reference: Sections 139.2(j)(2), 4060, 4061 and 4062, Labor Code. s 48. QME Ethical Guidelines. Note: Authority cited: Sections 139.2(j)(2) and (3) and 5307.3, Labor Code. Reference: Sections 139.2(j)(2) and (3), 4060, 4061 and 4062, Labor Code. s 49. Definitions. The following definitions apply to this Article: (a) Cardiovascular evaluation. "Cardiovascular evaluation" means the determination of disability due to pathological changes of the heart and/or the central circulatory system. (b) Face to Face time. "Face to face time" means only that time the evaluator is present with an injured worker. This includes the time in which the evaluator performs such tasks as taking a history, performing a physical examination or discussing the worker's medical condition with the worker. Face to face time excludes time spent on research, records review and report writing. Any time spent with clinical or clerical staff in performing diagnostic or laboratory tests (such as blood tests or x-rays) or time spent by the injured worker in a waiting room or other area outside the evaluation room is not included in face to face time. (c) Medical evaluation. "Medical evaluation" means a comprehensive medical-legal evaluation as defined under section 9793 of Article 5.6, Subchapter 1, Chapter 4.5 of this Title. (d) Neuromusculoskeletal evaluation. "Neuromusculoskeletal evaluation" means the determination of disability due to injury to the central nervous systems, the spine and extremities, and the various muscle groups of the body. (e) Psychiatric evaluation. "Psychiatric evaluation" means the determination, by either a psychiatrist or psychologist following the IMC guidelines on psychiatric protocols, of disability due to psychopathology. (f) Pulmonary evaluation. "Pulmonary evaluation" means the determination of disability due to pathological changes of the lungs and/or other components of the respiratory system. (g) QME. "QME" means Qualified Medical Evaluator appointed by the Council pursuant to Labor Code section 139.2. (h) Uncomplicated evaluation. "Uncomplicated evaluation" means a face to face evaluation in which all of the following are recorded in the medical report: Minimal or no review of records, minimal or no diagnostic studies or laboratory testing, minimal or no research, and minimal or no medical history taking. Note: Authority cited: Section 139, Labor Code. Reference: Sections 139, 139.2 and 4628, Labor Code. s 49.2. Neuromusculoskeletal Evaluation. A medical evaluation concerning a claim for neuromusculoskeletal injury (whether specific or cumulative in nature) shall not be completed by a QME in fewer than 20 minutes of face to face time. Twenty minutes is the minimum allowable face to face time for an uncomplicated evaluation. The evaluator shall state in the evaluation report that he or she has complied with these guidelines and explain in detail any variance. Note: Authority cited: Sections 139 and 139.2(j), Labor Code. Reference: Sections 139, 139.2 and 4628, Labor Code. s 49.4. Cardiovascular Evaluation. A medical evaluation concerning a claim for cardiovascular injury (whether specific or cumulative in nature) shall not be completed by a QME in fewer than 30 minutes of face to face time. Thirty minutes is the minimum allowable face to face time for an uncomplicated evaluation. The evaluator shall state in the evaluation report that he or she has complied with these guidelines and explain in detail any variance. Note: Authority cited: Sections 139 and 139.2(j), Labor Code. Reference: Sections 139, 139.2 and 4628, Labor Code. s 49.6. Pulmonary Evaluation. A medical evaluation concerning a claim for pulmonary injury (whether specific or cumulative in nature) shall not be completed by a QME in fewer than 30 minutes of face to face time. Thirty minutes is the minimum allowable face to face time for an uncomplicated evaluation. The evaluator shall state in the evaluation report that he or she has complied with these guidelines and explain in detail any variance. Note: Authority cited: Sections 139 and 139.2(j), Labor Code. Reference: Sections 139, 139.2 and 4628, Labor Code. s 49.8. Psychiatric Evaluation. A medical evaluation concerning a claim for psychiatric injury (whether specific or cumulative in nature) shall not be completed by a QME in less than one hour of face to face time. One hour is considered the minimum allowable face to face time for an uncomplicated evaluation. The evaluator shall state in the evaluation report that he or she has complied with these guidelines and explain in detail any variance. Note: Authority cited: Sections 139 and 139.2(j), Labor Code. Reference: Sections 139, 139.2 and 4628, Labor Code. s 49.9. Other Evaluation. A medical evaluation concerning a claim for any injury (whether specific or cumulative in nature) not specifically included in this article shall not be completed by a QME in fewer than 30 minutes of face to face time. Thirty minutes is the minimum allowable face to face time for an uncomplicated evaluation. The evaluator shall state in the evaluation report that he or she has complied with these guidelines and explain in detail any variance. Note: Authority cited: Sections 139 and 139.2(j), Labor Code. Reference: Sections 139, 139.2 and 4628, Labor Code. s 50. Reappointment: Requirements and Application Form. (a) In addition to the eligibility requirements set forth in section 11, a physician may seek reappointment on the basis that he or she was an active QME on June 30, 2000. For all physicians, applications for reappointment shall include a Reappointment Application Form in Section 10.1A, a statement of citizenship form 101 if not previously submitted, and the appropriate fee under Section 17 and shall be filed at the Council's headquarters office. (b) Any Reappointment Application Form may be rejected if it is incompletely filled out or does not contain the required supporting documentation listed in Section 11. Upon its approval of the Reappointment Application Form, the Council shall verify that the QME has complied with all requirements under this Article. (c) When a QME applies for reappointment, he or she shall submit a statement signed under penalty of perjury (1) that he or she has completed the education requirement and (2) that lists the dates, locations, and titles of continuing education programs and the names of the providers of those programs which he or she has taken to meet the requirement of Labor Code Section 139.2(d)(3), as well as the number of hours of attendance at each program. The Council may randomly audit QMEs for documentation of program attendance, which supports compliance with this requirement. Note: Authority cited: Sections 139, 139.2, 4060, 4061 and 4062, Labor Code. Reference: Sections 139, 139.2, 4060, 4061, 4061.5 and 4062, Labor Code. s 50.1. Reappointment: Failure to Comply with Time Frames. Note: Authority cited: Section 139.2, Labor Code. Reference: Section 139.2(d)(1), Labor Code. s 50.2. Reappointment: Unavailability Notification. Note: Authority cited: Section 139.2, Labor Code. Reference: Sections 139.2(d) and 139.2(j)(6), Labor Code. s 50.3. Reappointment: Evaluations Rejected by Appeals Board. Note: Authority cited: Section 139.2, Labor Code. Reference: Sections 139.2(d) and 139.2(j)(6), Labor Code. s 51. Reappointment: Failure to Comply with Time Frames. All QMEs shall comply with the time frames in Sections 34 and 38 as a condition for reappointment. The Council, after hearing pursuant to Section 61, may deny reappointment to any QME who has failed to comply with the evaluation time frames in Section 34 and 38 on at least three occasions during the calendar year. Note: Authority cited: Section 139.2, Labor Code. Reference: Sections 139.2(d)(1), Labor Code. s 52. Reappointment: Unavailability Notification. All QMEs shall comply with the unavailability notification requirements in Section 33 as a condition for reappointment. The Council, after hearing pursuant to Section 61, may deny reappointment of any QME who has filed notification for unavailability under Section 33 for more than 90 calendar days during the calendar year, or who has on any single occasion refused without good cause to perform a medical-legal evaluation for an unrepresented employee. Note: Authority cited: Section 139.2, Labor Code. Reference: Sections 139.2(d) and 139.2(j)(6), Labor Code. s 53. Reappointment: Failure of Board Certification Examination. For Medical Doctors or Doctors of Osteopathy, in order to be reappointed, a QME shall submit a declaration under penalty of perjury that, if not board certified at the time for reappointment, he or she has not failed a board certification exam after 1985. This section shall not apply to any physician who meets the requrirment of Labor Code s139.2(b)(3)(C) (D) or (G). s 53.1. QME Continuing Education Response Form. Note: Authority cited: Section 139.2, Labor Code. Reference: Section 139.2, Labor Code. s 54. Reappointment: Evaluations Rejected by Appeals Board. The Council, after hearing pursuant to Section 61, may deny reappointment to any QME who has had more than five evaluations rejected by a Workers' Compensation Judge or the Appeals Board originally submitted at a contested hearing. The rejection shall be based on the failure of the QME's evaluation to prove or disprove a contested issue or failure to comply with guidelines promulgated by the Council pursuant to Labor Code Section 139.2(j)(2), (3), (4) or (5). A specific finding must become final and the time for appeal must have expired before any rejected evaluation shall be counted as one of the five rejections. Note: Authority cited: Section 139.2, Labor Code. Reference: Sections 139.2(d) and 139.2(j)(6), Labor Code. s 55. Reappointment: Continuing Education Programs. A QME shall complete within the previous 24 months of his or her term of appointment 12 hours of continuing education in disability evaluation or workers' compensation related medical dispute evaluation given by a provider accredited by the Council. (a) There are two types of continuing education programs: (1) On-site programs, in which the instructor and QME are in the same location; and (2) Distance learning programs. (A) Providers of distance learning programs shall give either a pre- or post-course self-examination based on the program material. The provider shall grade the QME's test. Credit for the course can be given only for a passing rate of no lower than 70 percent correct responses. The Council may audit physicians' examinations and scores. (B) Credit for distance learning courses shall be granted for the actual time spent viewing, listening to or participating in the program and for the reasonable and necessary time to take the examinations for up to six hours per program. Credit for the same distance learning program may be taken only once. (C) All distance learning materials shall bear a date of release and shall be updated every three years. The provider shall notify the Council in writing of the revision. (b) In addition to granting credit for attending a course or program which it gives, the Council may grant credit for: (1) Participating in a panel on the development or review of the QME competency examination. A physician may receive one hour credit for each hour of participation on a panel. The QME shall obtain documentation of participation from the test administrator for submission to the Council. (2) Instructing in a program given for QME credit by a provider accredited by the Council. The instructor may receive two hours of credit for each hour of instruction in an accredited provider's program or one hour of credit for each hour of participation on a panel. Credit for the same presentation may be taken only once during each calendar year. The QME shall submit documentation of participation from the program provider to the Council. (3) Attending a program which is accepted by the QME's licensing board for renewal of his or her professional license, provided the subject matter is directly related to California impairment evaluation or workers' compensation medical dispute evaluation. To request credit for this type of course, the QME must submit: (A) proof of attendance; (B) written material which describes the program content and program faculty; and (C) documentation that the program is for continuing education credit by the physician's licensing board. (4) Passing the QME competency examination. A QME may be granted six hours of continuing education credit for passing this examination for the purpose of receiving an initial appointment as a QME. (c) To apply to the Council for accreditation, a provider shall submit to the Council, at least 60 calendar days before any public advertisement of the applicant's program or course is made: (1) a completed form 118, in section 118 of these regulations. (2) A curriculum vitae for each proposed instructor or author (for paper-based programs). A proposed instructor or author shall have education and/or training and recent work experience relevant to the subject of his/her presentation. (3) The proposed promotional material for the program. (d) The Council shall accredit an applicant who meets the definition of a provider in Section 1(r); submits a completed, signed and dated application which demonstrates past experience in providing continuing education programs; and proposes a program which meets the requirements of section 55(c) or a course which meets the requirements of section 11.5(a) and (i). Proposed content for continuing education program credit must relate directly to disability evaluation or California workers' compensation-related medical dispute evaluation. No credit shall be recognized by the IMC for material solely discussing the business aspects of workers' compensation medical practice such as billing, coding and marketing. (e) The Council shall notify the applicant within 30 calendar days following the next scheduled council meeting after receipt of the application containing all the information listed in Section 55(c) whether that provider has been accredited for a two year period. Incomplete applications will be returned to the applicant. (f) A provider that has been accredited by the Council will be given a number which must be displayed on any public advertisements of QME continuing education programs for that provider with the statement "Accredited by the California Industrial Medical Council for Qualified Medical Evaluator continuing education. Physicians may report up to ___ hours of credit for QME reappointment." (g) On or before the date the program is first presented or distributed, the provider shall submit the program syllabus (all program handouts) to the Council. Each distance learning program shall also submit one copy of the examinations and one copy of the audio/video tapes, computer program or each issue of the journal or newsletter for which credit is to be granted. (h) A provider may offer different QME continuing education programs during the two-year accreditation period provided the subject matter is in disability evaluation or workers' compensation related medical dispute resolution. The provider shall send the Council the program outlined and faculty for each new program at least 45 days prior to the date of presentation of the new program. The Council may require submission of program syllabi. The Council may require changes in the program based on its review of the program outline, program syllabi, promotional material or faculty if the IMC finds that any aspect of the program is not in compliance with these regulations. (i) Promotional materials for a program must state the provider's educational objectives; the professional qualifications of program faculty (at least all relevant professional degrees); the content of program activities; the maximum number of credit hours to be granted; and the intended audience. (j) Joint sponsorship of education programs (as between an accredited and an unaccredited provider) must be approved by the Council prior to presentation of the program. (k) Accredited providers that cease to offer education programs shall notify the Council in writing. ( l ) Instructors shall not recruit members or promote commercial products or services immediately before, during or after a course. Providers or vendors may display/sell educational materials related to workers' compensation or applications for membership in an area adjoining a course. A course provider or faculty member shall disclose on IMC form 119, located in section 119, any significant financial interest in or affiliation with any commercial product or service discussed in a course and that interest or affiliation must be disclosed to all attendees. A provider shall file every form 119 in its possession or in its control with the Council. (m) The provider shall issue a certificate of completion to each QME who successfully completes a continuing education program. The certificate must list the provider; provider number; date(s); location and title of the continuing education program; and the number of hours in attendance for which credit is to be granted. Credit shall be granted only for the actual time of attendance at or participation in a program. Each accredited provider may in its sole discretion limit the amount of credit hours that a course will be granted to less than the amount of time actually spent in attendance in the course. (n) To apply for re-accreditation, a provider must submit a completed IMC Form 118. The provider may complete section 2 of the form using a new program or course or one which was given by the provider during the recent accreditation period. The Council shall give the provider 90 days' notice of the need to seek re-accreditation. (o) The provider shall maintain attendance records for each continuing education program for a period of no less than three years after the program is given. A physician attending the program must be identified by signature. The provider must submit a copy of the signature list to the Council within 60 days of completion of the program. (p) The provider is required to give the IMC's Evaluation Form 117 to program attendees and request they submit the form to the IMC. This information shall not be used in lieu of a certification of completion given by the provider, as specified pursuant to section (m). Destruction by a provider or its employee of a QME's Evaluation Form or failure by such provider or its employee to distribute Form 117 as part of its program shall constitute grounds for revocation of a provider's accredited status. The Council shall tabulate the responses and return a summary to the provider within 90 days of completion of the program. (q) The Council may audit a provider's program(s) at the request of the medical director to determine if the provider meets the criteria for accreditation. The Council may audit programs randomly, when a complaint is received, or on the basis of responses on IMC Form 117. An auditor shall not receive QME credit for an audited program. The Council shall make written results of the audit available to the provider no more than 30 days after the audit is completed. (r) The Council may withdraw accreditation of a provider or deny such a provider's application for accreditation on the following grounds (in addition to failure to meet the relevant requirements of subsection 11.5(a) or 55(c)): (1) Conviction of a felony or any offense substantially related to the activities of the provider. (2) Any material misrepresentation of fact made by the provider. (3) Failure to comply with Council regulations. (4) False or misleading advertising. (5) Failure to comply with Council recommendations following an audit. (6) Failure to distribute Council Form 117 cards to program attendees. Note: Authority cited: Sections 139 and 139.2, Labor Code. Reference: Sections 139.2, 4060, 4061 and 4062, Labor Code. s 56. Reappointment: Failure to Comply with WCAB Order or Ruling. The Council, after hearing pursuant to Section 61, may deny reappointment to any QME who has been found in violation of any order or ruling by a Workers' Compensation Judge or the Appeals Board. Note: Authority cited: Section 139.2, Labor Code. Reference: Sections 139.2(d) and 139.2(j)(6), Labor Code. s 57. Reappointment: Professional Standard -Violation of Business and Professions Code Section 730. The Council, after hearing pursuant to Section 61, may deny reappointment to any QME who has performed a QME Evaluation without QME Certification. Note: Authority cited: Section 139.2, Labor Code; and Section 730, Business and Professions Code. Reference: Sections 139.2(d) and 139.2(j)(6), Labor Code; and Section 730, Business and Professions Code. s 60. Discipline. (a) The Council may, in its discretion, suspend or terminate any physician from the QME list without hearing: (1) whose license has been revoked; (2) whose license has been suspended or terminated by the relevant licensing board so as to preclude practice; (3) who has been convicted of a misdemeanor or felony related to the conduct of his or her practice or who has been suspended or placed on probation by his or her licensing board; (4) based on a stipulation or a decision by the physician's licensing board that the physician has been placed on probation; (5) who has failed to pay timely the appropriate fee as required under section 17. (b) The council may, based on a complaint by the Medical Director, and following a hearing pursuant to Section 61, suspend, terminate or place on probation a QME found in violation of a statutory or administrative duty as described in the IMC Sanction Guidelines under Section 65 of these regulations. Such violations include, but are not limited to: (1) one violation of Labor Code Section 139.3 or 4628; (2) failure to follow the medical procedures established by the Council pursuant to Labor Code Section 139.2(j)(1)(2)(3)(4)(5) or (6); (3) failure to comply with the requirements of Labor Code Section 139.2(b) or (c) and/or Section 10, 10.5, 11 or 12 of these regulations; (4) failure to comply with the unavailability notification requirements pursuant to Section 33. (5) failure to comply with the disclosure and ethical requirements pursuant to Sections 40 and 41; (6) failure to complete accurate and complete reports pursuant to Labor Code Section 139.2(i) or to comply with section 39.5 of these regulations. (7) A finding by the Appeals Board of ex parte contact by the QME prohibited by Labor Code Section 4062.2. (8) A finding by the Council that the QME solicited an injured worker to take over that worker's treatment for his or her workers compensation claim. (c) The Medical Director may file a complaint with the Council against a QME on any of the grounds listed in subsection (b) based on a complaint from a member of the public and/or the Medical Director's own initiative. The Medical Director may assign legal counsel and investigators to conduct all matters related to this Article. (d) A report prepared by a QME which has not been completed and served on one or more parties prior to the date of the final decision taken by the licensing board or the date of the conviction, whichever is earlier, shall be inadmissible before the Appeals Board and no party shall have liability for payment for the report. Note: Authority cited: Sections 139 and 139.2, Labor Code. Reference: Section 139.2, Labor Code. s 61. Hearing Procedure. (a) Where the Medical Director determines that there is a prima facie evidence of any violation of Section 60, he or she shall make and submit a prima facie case of the violation to a committee within the Council assigned to review disciplinary matters. (b) If the Committee sustains the Medical Director's prima facie case, the QME shall be notified in writing of the determination and shall also be notified of his or her right to a hearing in accordance with Chapter 4 (commencing with Section 11370) and Chapter 5 (commencing with Section 11500) and Part 1 of Division 3 of the Government Code. (1) The committee may, not withstanding Government Code Section 11502, assign the hearing to a hearing officer designated by the Medical Director who shall act as an Administrative Law Judge for the purposes of Government Code Sections 11370 et. seq. and 11500 et. seq., or may delegate in whole or in part to an Administrative Law Judge the authority to conduct the hearing and decide the case. In the event of a hearing, the hearing officer or Administrative Law Judge shall fix the time and place of the hearing and notify interested parties in writing no fewer than 10 days in advance of the hearing and in accordance with Code or Civil Procedure Sections 1013(a) and 2015.5 specifying the time and place of the hearing. (2) If an Administrative Law Judge conducts a hearing, the Administrative Law Judge selected to preside over the hearing shall hear the case alone, and exercise all powers related to the conduct of the hearing. (3) Upon a decision being made regarding the prima facie case, the Administrative Law Judge or hearing officer shall file a written statement of findings and decisions with the full Council. The decision made pursuant to this action shall include specific findings in accordance with Section 60(b), and under Section 65 of these Regulations shall recommend, but defer to the Council the final decision, with respect to sanctions. The Council shall, at the next scheduled Council meeting, accept, alter, or not adopt the proposed decision. (4) The Council's decision on which sanction(s) to impose on a QME, pursuant to Labor Code Section 139.2(k) or any other statute giving the Council disciplinary authority, shall be in accordance with the IMC Sanction Guidelines under Section 65 of this Title. (5) In accordance with Government Code Section 11517(c), if the proposed decision is not adopted by the Council, the Council shall determine in accordance with Labor Code Section 139(g) whether or not to decide the case as a body, based on the record and transcript, and/or whether or not to take additional evidence or to refer the case back to the Administrative Law Judge to take additional evidence on any issue or issues requested by the Council. (6) Within 30 days of the date the written decision is served upon the QME, the QME may file a petition for reconsideration with the Council. The petition shall be governed by Government Code Section 11521 and shall set forth any legal or factual basis as to why the decision should not be confirmed. The Council Chairperson(s) shall appoint a three member panel, (excluding members of the committee) to review the physician's petition. (c) Judicial Review of the Council's decision may be had by the filing of a petition for writ of mandate pursuant to Government Code Section 11523 no later than 30 days after the last day on which the Council can order reconsideration in accordance with (b)(6) of this Section. Note: Authority cited: Sections 133, 139, 139.2, 5307.3 and 5307.4, Labor Code; and Sections 11370 et seq. and 11500 et seq., Government Code. Reference: Section 139.2, Labor Code; and Sections 11502 et seq., Government Code. s 62. Probation. (a) A physician on probationary status from his or her licensing authority may be placed on probationary status by the Council in its discretion in accordance with IMC Sanction Guidelines under Section 65 of this Title. (b) A QME on probationary status from the Council may be required to report periodically to the Medical Director to ensure compliance with any conditions of probation that have been imposed by the Council. These conditions may include the completion of specific courses and training. (c) A QME shall be deemed to have passed probation and be eligible for reappointment if he or she has complied with the conditions imposed by the Council during the probation period, and meets the requirements for reappointment in accordance with Article 5. (d) A QME shall be deemed to have failed probation if upon completion of the probation period it is determined that he or she has not complied with the conditions imposed by the Council during the probation period, and/or has failed to meet the requirements for reappointment in accordance with Article 5. (e) The Council shall terminate probation, which shall be equivalent to a failure to pass probation, before completion of the probation period if during the probation period it is determined that a QME has not complied with the conditions of probation. Note: Authority cited: Sections 139 and 139.2, Labor Code. Reference: Sections 139.2, 4060, 4061 and 4062, Labor Code. s 65. Sanction Guidelines. The guidelines for determining appropriate sanctions for physicians licensed as Qualified Medical Evaluators shall be set forth in the Sanction Guidelines as adopted by the Industrial Medical Council on October 21, 1999. 65. Sanction Guidelines for Qualified Medical Evaluators Part One I. Overview The purpose of these guidelines is to provide a framework of the Industrial Medical Council (IMC) disciplinary process for those affected by it - Qualified Medical Evaluators, the IMC, administrative law judges with the Office of Administrative Hearings, licensing boards and other interested parties. These guidelines are not intended to be an exhaustive list of violations or disciplinary actions that the IMC may consider against any QME. Any violation of statutory or administrative duties may constitute grounds for discipline under these guidelines. The IMC believes that education is the most effective course of action in resolving less serious regulatory violations. These guidelines also set out the parameters for discipline for misconduct considered serious. The IMC recognizes the need to promulgate uniform guidelines for particular violations in order to establish consistency in imposing disciplinary sanctions for similar offenses. The IMC also recognizes that mitigating or aggravating circumstances in a specific case may necessitate variance from these guidelines. In the event of a hearing, if an administrative law judge finds that the circumstances of a particular case are not adequately addressed in these guidelines, the IMC may request that the administrative law judge include in the proposed decision an explanation of the recommended sanction and/or terms of probation, so those circumstances are better understood by the IMC during its review of the case for ultimate action. II. Factors to be Considered in Determining Disciplinary Penalties In cases of violations of Labor Code sections 139.2(k) and 139.2(m) and/or section 60 of Title 8 of the California Code of Regulations, the IMC may impose discipline, up to and including suspension or termination, upon any physician certified by the IMC as a Qualified Medical Evaluator. In determining the level of the penalty to be imposed in a given case, the following factors (8 CCR s 61) shall be considered: (1) the seriousness of the violation including actual or potential harm to the public and any mitigating or rehabilitation evidence; (2) whether or not a violation is an isolated incident or part of a pattern of behavior indicative of a disregard for the QME rules; e.g. (prior warnings of record; number and/or variety of current violations, time passed since the act(s) or offense(s)); (3) whether or not a violation is intentional as opposed to negligent; (4) whether or not there is a history of previous violations cited under this section or by another court or tribunal (e.g.: prior disciplinary record, including level of compliance with disciplinary orders, compliance with terms of any criminal sentence, overall criminal record); and (5) whether or not further education or training would be beneficial. III. Mitigating Evidence A respondent may present evidence at a hearing or in the settlement process and shall have the burden of demonstrating mitigating circumstances and/or any rehabilitative or corrective measures he or she has taken. The IMC does not intend, by the following references to written statements, letters, and reports, to waive any evidentiary objections to the form of such evidence. The following are examples of appropriate evidence a respondent may submit to demonstrate his/her rehabilitative efforts and competency: a. Recent, dated written statements from persons in positions of authority who have on-the-job knowledge of the respondent's current competence in the practice of his or her specialty. Each statement should include the period of time and capacity in which the person worked with the respondent and should be signed under penalty of perjury. All letters will be subject to verification by IMC staff. b. Recent, dated letters from counselors regarding the respondent's participation in a rehabilitation or recovery program, where appropriate. These should include at least a description and requirements of the program, a psychiatric diagnosis and current state of recovery and the psychiatrist's/psychologist's basis for determining need for rehabilitation. c. Recent, dated letters describing respondent's participation in support groups, (e. g. Alcoholics Anonymous, Narcotics Anonymous, Professional Support Groups, etc.), where appropriate. d. Recent, dated laboratory analyses or drug screen reports, where appropriate. e. Recent, dated performance evaluation(s) from the respondent's employer(s). f. Recent, dated physical examination or assessment report by a licensed physician, if appropriate. In the above examples, the mitigating circumstances and/or rehabilitative efforts shall be detailed in any proposed decision or any transmittal memorandum accompanying a proposed stipulation. IV. Terms of Probation If probation is imposed as part of a disciplinary action, the probation shall include: (1) Standard conditions, which will apply in all cases; and may include (2) Optional conditions, which will vary according to the nature of the offense(s) in the particular case. A. Standard Conditions The number in parenthesis refers to the paragraph number found in the sample Model Disciplinary Order, found in Part II of these guidelines. 1. Obey all laws (#7); 2. File quarterly reports (#8); 3. Probation surveillance program compliance (#9); 4. Interviews with the Council's designee (#10); 5. Notation of probationary QME status (33); 6. Tolling of probation, if out of state or while QME status inactive (#11); 7. Violation of probation extends Council jurisdiction (#13); 8. Reporting probationary status to Licensing Board (#6); 9. Reporting probationary status to parties since date of prior licensing board action or prior conviction (#6); 10. QME certificate surrender (if suspended or terminated)(#14). B. Optional Sanctions and Conditions of Probation The following optional sanctions and conditions of probation may be imposed by the Council for proven or stipulated violations of the statutes or regulations cited. Range of Optional Conditions: 1. Completion of a continuing education and/or ethics course related to the misconduct resulting in discipline (#17); 2. Completion of a QME ethics course (#17); 3. Monitoring of practice by another physician in the same area of practice, with periodic reports to the IMC (#23); 4. Pass a written exam administered by the IMC (#19); 5. Pass an oral exam administered by the IMC (#19); 6. (For sexual transgressions) Requiring the presence of a designated third person during all medical/legal exams (#21); 7. Undergo psychiatric evaluation and/or psychiatric treatment (#24, #25); 8. Structured supervised practice (#22); 9. Undergo medical evaluation or treatment (#26, #27); 10. Abstain from drugs (#31); 11. Abstain from alcohol (#33); 12. Biological fluid testing (#29); 13. Maintain Controlled Substances Log (#32); 14. Diversion program (#30); 15. Restitution of monies received (#20); 16. Actual suspension during probation (#16); 17. Require QME to submit up to the next 5 med/legal reports to IMC (#34); 18. Print and distribute corrected information after advertising violation (#36). The IMC may also impose other conditions appropriate to the case which are not contrary to public policy or existing law. V. Violations of material statutory or administrative duties and Recommended Sanctions The IMC may impose disciplinary sanctions for violations by a Qualified Medical Evaluator of any material statutory or administrative duty (Labor Code s 139.2(k)(1)). Actions by a Qualified Medical Evaluator for which disciplinary action is appropriate are specified in the California Labor Code, the California Business and Professions Code, the California Penal Code, and Titles 8 and 16 of the CCR. Accordingly, the following, disciplinary sanctions shall be applied by the IMC when a QME is found to be in violation of a material statutory and/or administrative duty. A. Maximum Sanctions 1. Maximum Sanction: Revocation of QME status. 2. Violations of material statutory administrative duties which shall result in the maximum sanctions are: a. Professional licensure has been terminated (LC s 139.2(m)); b. Conviction of a felony or misdemeanor (including billing/insurance fraud) related to the conduct of the physician's practice (LC s 139.2(m)); c. Conviction of a felony or misdemeanor for a crime of moral turpitude (LC s 139.2(m)); d. Arranging for the impersonation of or impersonating a physician in the QME competency exam; e. Arranging for the impersonation of or impersonating another physician during QME evaluation; f. Performing QME evaluations without QME certificate or while knowing that their QME status is suspended; g. Failure to file a notice of defense to an accusation filed by the IMC or failure to appear at disciplinary hearing initiated by the IMC; h. Failure to pay the required QME fee (LC s 139.2(n)); i. False statements made under penalty of perjury relating to applicant/QME licensing and/or specialty credentials. 3. If warranted, the maximum penalty can be imposed in any case. B. Violations of Material Statutory/Administrative Duties Which May Result in Alternative Sanctions 1. Sexual Misconduct - LC s 139.2(k); BPC s 726 Minimumsanction: Stayed revocation, 7 years probation and: 1. Approved education course on sexual harassment, to be completed within 90 days (#17); and 2. Require third party present during all workers' compensation related evaluations and treatment (# 21); and If warranted, any of all of the following: 1. Psychiatric evaluation and/or psychotherapy (#24, #25); 2. Required supervised workers' compensation related practice environment (#22 or #23); 3. Actual suspension at least one (1) year, under the criteria of Section II. 2. Abuse of Drugs or Alcohol and/or Intoxication While Evaluating or Treating Patients (LC s 139.2(k); BPC s 2239; BPC s 2240) Minimum sanction: Stayed revocation, five (5) years probation and: 1. Evaluation by Diversion Program of appropriate licensing board and follow its recommendations; 2. If a Diversion Program is not available through the licensing board, then will be evaluated by an alcohol/drug rehabilitation program acceptable to the IMC and will follow its recommendations; 3. Allow the pertinent program to report on status to the IMC; 4. Abstain from use (#31, #33); and If warranted: 5. Cease performing QME evaluation while being evaluated by the Diversion Program; 6. Biological fluid testing (#29); 7. Maintain controlled substances log (#32); 8. Structured supervised practice (#22); 9. Monitored practice (#23); 10. Oral or written exam (#19); 11. Actual suspension. 3. Billing/Insurance Fraud or Submitting False Documents (LC s 139.2(k); BPC s 2234(e); BPC s 2261; BPC s 810) Minimumsanction: Stayed revocation and 5 years probation, and: If warranted, any or all of the following: 1. Approved ethics course within 90 days (#17); 2. Restitution of amounts received (#20); 3. Pass oral or written exam (#19); 4. Actual suspension at least 6 months, under the factors of Section II; 5. Maximum sanctions. 4. False Statements Made Under Penalty of Perjury on IMC Application Forms or Other IMC Documents (LC s 139.2(k); 8 CCR s 11; LC s 139.2(b); LC s 139.2(c); LC s 139.2(d); BPC s 2234(e); BPC s 2261) (Ex.: False statement on QME exam application, appointment application or reappointment application regarding: - probationary professional license status; - past criminal conviction related to professional practice; - completion of minimum continuing education, teaching or practice criteria for appointment or reappointment; - time spent in direct patient treatment; - number of QME or AME evaluations done in prior year(s) for purpose of annual fee or for reappointment; - extent of AME work in lieu of direct patient treatment; (Representing self as QME with active status when status lapsed). Minimum sanction: Stayed revocation and 5 years probation, and: If warranted, any or all of the following: 1. Actual suspension at least 90 days (#16) under the factor of Section II; 2. Approved ethics course within 90 days (#17). 5. Advertising Violations - LC s 139.2(k); LC s 139.4; LC ss 5430-5434; 8 Cal. Code Regs. s 153; 8 Cal. Code Regs. ss 9820-9837 - misleading or deceptive advertising - BPC s 2271, 651 - failure to include required fraud warning - LC ss 5432, 5433 - anonymous advertising - BPC s 2272 - misuse of title 'M.D.', 'D.O.', 'doctor', etc. ss 2275, 2276 - use of fictitious name without permit (BPC s 2285) Minimum sanction: Educational material to be provided by the IMC, and: If warranted, any or all of the following: 1. Stayed revocation 3 years probation; 2. Approved ethics course within 90 days (#17); 3. Oral or written exam by IMC (#19); 4. Print and distribute correct information (#37); 5. Pay for ad(s) in WC publications advising readers of statutes and regulations on permissible advertising (#38); 6. Actual suspension at least 90 days (#16) under the factors of Section II; 7. Maximum sanctions. 6. Soliciting or Providing Treatment in Course of QME Evaluation - LC 139.2(k); 8 CCR s 11(d) Minimum sanction: Educational material to be provided by the IMC, and: If warranted, any or all of the following: 1. Stayed revocation, one (1) year probation; 2. Approved ethics course (#17) within 90 days; 3. Restitution of amounts received for report to payor (#20); 4. Actual suspension at least 30 days (#16) under the factors of Section II. 7. Self Interested Referral (LC s 139.2(k); LC s 3215; 8 CCR s 41(c)(1); LC s 139.3) Minimum sanction: Educational materials to be provided by IMC, and: If warranted, any or all of the following: 1. Stayed revocation and five (5) years probation; 2. Restitution of amounts received from unlawful referrals (#20); 3. Approved ethics course within 90 days (#17); 4. Actual suspension one (1) year (#16), under the factors of Section II; 5. Maximum sanctions. 8. Ex Parte Communication - LC s 139.2(k), LC s 4062.2, 8 CCR s 41(b) Minimum sanction: Educational material to be provided by the IMC, and: If warranted, any or all of the following: 1. Stayed revocation, one (1) year probation; 2. Approved ethics course within 90 days (#17); 3. Restitution of amounts received for report to payor (#20); 4. Actual suspension at least 30 days, under the factors of Section II; 5. Maximum sanctions. 9. Violations of QME Ethical and/or other Regulations - refusing to schedule unrepresented cases (8 CCR s 41(a)(2)) - routinely requiring IWs to wait over one hour (8 CCR s 41) - rescheduling panel QME exam 3 or more times per case (8 CCR s 41(a)(2)) - switching location of QME exam to address not on QME panel letter (8 CCR s 34(b)) - failing to serve QME appointment notification form/3 or more instances (8 CCR s 34(a)) - failure to submit evaluations upon request by the Medical Director Minimumsanction: Educational material to be provided by the IMC If warranted, any or all of the following: 1. Stayed revocation six (6) months probation under the factors of Section II; 2. Approved ethics course within 90 days (#17); 3. Oral or written exam by IMC (#19); 4. Actual suspension up to 180 days (#16) under the criteria of Section II. 5. Maximum sanction. 10. False Statements in Medical/Legal Report (LC s 139.2(k); 8 CCR s 41(c)(4); LC s 4628, Including Ghostwriting) - Involving a reckless disregard for available information or facts known to the physician. Minimum sanction: Stayed revocation and five (5) years probation, with: 1. Approved ethics course within 90 days (#17); and If warranted, any or all of the following: 2. Actual suspension, up to one year under the factors of Section II or 3. Maximum sanctions. 11. Failure to Spend Requisite Face-to-Face Time - minimum face-to-face time in evaluation (LC s 139.2(k); LC s 4628; 8 CCR s 49 et seq.) - in billing for medical/legal report (LC s 139.2(k); LC s 4628; 8 CCR s 9795). Minimum sanction: Educational materials to be provided by the IMC.: If warranted, any or all of the following: 1. Stayed revocation, up to one (1) year probation and 2. Approved education course on related workers' compensation billing regulations (#17); 3. Restitution to payor (#20); 4. Approved ethics course, to be completed within 90 days (#17); 5. Actual suspension of at least 90 days, under the factors of Section II; 6. Maximum sanctions. 12. Knowing Misrepresentation or Intentional - Failure to Disclose Roles of Others Assisting with Medical/Legal Evaluation or Report - LC s 139.2(k); LC s 4628. Interference or Obstruction of an Investigation by the Medical Director into a Complaint Against a QME LC 139.2(J)(6). Minimumsanction: Stayed revocation, one (1) year probation, and: If warranted, any or all of the following: 1. Educational material to be provided by the IMC; 2. Approved ethics course within 90 days (#17); 3. Restitution of amounts received for report to payor (#20); 4. Actual suspension at least 90 days, under the criteria of Section II (#16); 5. Maximum sanctions. 13. Performing Unnecessary Medical Tests in Capacity as QME or AME (LC s 139.2(k); 8 CCR s 41(a)(3); BPC s 725; BPC s 2234(e)) Minimum sanction: Educational material to be provided by the IMC, and: If warranted, any or all of the following: 1. Stayed revocation and up to five (5) years probation, and; 2. Restitution of amounts received for unnecessary tests (#20); 3. Pass oral or written exam (#19); 4. Completion of an approved clinical course (#18); 5. Approved ethics course within 90 days (#17); 6. Actual suspension, at least 90 days under the factors of Section II; 7. Maximum sanctions. 14. Late Reports - LC s 139.2(k); LC s 139.2(j)(1); 8 CCR s 38; 8 CCR s 60(b)(4) (3 or more instances) Minimum sanction: Educational material to be provided by the IMC, and: If warranted, any or all of the following: 1. Stayed of revocation, six (6) months probation; 2. Approved ethics and/or office management course within 90 days (17); 3. Suspension of 30 days (#16) under the factors of Section II. 15. Failure to Follow IMC Evaluation Guidelines (LC s 139.2(h); LC s 139.2(k); LC s 4628; 8 CCR s 41(c)(5)) - Involving 3 or more instances Minimum sanction: Educational material to be provided by the IMC, and: If warranted, any or all of the following: 1. Approved course in medical/legal report writing within 90 days (#17); 2. Stayed revocation, one (1) year probation; 3. Actual suspension 30 days (#16), under the factors of Section II. 16. Report Deficiencies (LC s 139.2(k)) - Defective declaration(s) required by LC s 4628; - Serving an unsigned report; - Omitting discussion in a report of relevant information provided to QME; - Inadequate or incorrect discussion of factors of disability; - Other report deficiencies identified by IMC quality review panel; - Determinations by DEU that a report is not ratable; - Decisions of Administrative Director granting rating reconsideration; - Omitting declaration(s) required by LC s 4628. Minimum sanction: Educational material to be provided by the IMC, and: If warranted, any or all of the following: 1. Require QME to submit up to five medical/legal reports to the IMC medical/legal quality review staff (#35); 2. Approved course(s) in medical/legal report writing within 90 days (#17); 3. Oral or written exam by IMC (#19); 4. Probation (six (6) months). 17. Report Deficiencies Affecting Admissibility (LC s 139.2(k)) - Three Finding(s) by WCJ under LC s 4628(e) or LC s 139.2(d)(2) Minimum sanction: Stayed revocation, one (1) year probation, and: If warranted, any or all of the following: 1. Approved course(s) in medical/legal report writing within 90 days (#17); 2. Require QME to submit next five medical/legal reports to the IMC medical/legal quality review staff (#35); 3. Oral or written exam by IMC (#19). 18. Violation of Probation Minimum sanction: Impose an actual period of suspension (Refer to #3, #4, or #5) Part Two. Sample Model Orders 1. Revocation - Single Cause QME certificate number(s) __________ issued to Respondent _______________ is/are revoked. 2. Revocation - Multiple Causes QME certificate number(s) ____________ issued to Respondent ________________ is/are revoked, pursuant to the Determination of Issues (Ex. I, II, and III separately and for all of them.) 3. Actual Suspension - Single Cause QME certificate number(s) ________________issued to Respondent _________________ is/are suspended for (state time period). Actual suspension starts on the 16th day after the effective date of this decision. 4. Actual Suspension - Multiple Causes (To Run Concurrently) QME certificate number(s) _______________ issued to Respondent _________________ is/are suspended for (state time period), pursuant to Determination of Issues (enter ¶ numbers), separately and for all of them. All suspensions shall run concurrently. Actual suspension starts on the 16th day after the effective date of this decision. 5. Actual Suspension - Multiple Causes (To Run Consecutively) QME certificate number(s) _______________ issued to Respondent ________________ is/are suspended for (state time period), pursuant to Determination of Issues (enter ¶ number(s)); and (state time period), pursuant to Determination of Issues (enter ¶ number(s)). These suspension shall run consecutively, for a total period of (enter total time period). Actual suspension starts on the 16th day after the effective date of this decision. 6. Standard Stay Order However, (revocation/suspension) is stayed and Respondent _______ is placed on probation for (enter time period) upon the following terms and conditions. Within 15 days after the effective date of this decision, the Respondent shall provide the Industrial Medical Council (IMC), or its designee, proof that Respondent has served a true copy of this decision on: (a) Respondent's professional licensing board in California; (b) Every party for whom Respondent has a pending QME or AME evaluation exam or medical/legal report due; (c) The administrative Director of the Division of Workers' Compensation, for distribution to Workers' Compensation Administrative Law Judges; (d) The President of the California Applicants' Attorneys Association; (e) The President of the California Defense Attorneys Association. In the event Respondent's probation was imposed by the IMC pursuant to Labor Code s 139.2(m), due to an order by Respondent's professional licensing board which suspended or imposed probationary status on Respondent's professional license, or due to a misdemeanor or felony conviction related to Respondent's practice or for a crime of moral turpitude, Respondent shall also provide the IMC proof that a true copy of this decision was served on every party for whom Respondent wrote a medical/legal report from the date of the licensing board action or the date of the criminal conviction until the effective date of this decision. Other Standard Conditions of Probation 7. Obey All Laws Respondent shall obey all federal, state and local laws and regulations, all rules governing practice as a Qualified Medical Evaluator, all rules in California governing Respondent's professional area of practice, and remain in full compliance with any court ordered criminal probation, payments and other orders. 8. Quarterly Reports Respondent shall submit quarterly declarations under penalty of perjury on forms provided by the IMC, stating whether there has been compliance with all the conditions of probation. 9. Probation Surveillance Program Compliance Respondent shall comply with the IMC's probation surveillance program. Respondent shall, at all times, keep the IMC informed of his or her addresses of business and residence which shall both serve as addresses of record. Changes of such addresses shall be immediately communicated in writing to the assigned IMC probation monitor. Under no circumstances shall a post office box serve as an address of record. Respondent shall also immediately inform the IMC, in writing, of any travel to any areas outside the jurisdiction of California which lasts, or is contemplated to last, more than thirty (30) days. 10. Interview with the IMC, its Designee or its Designated Physicians Respondent shall appear in person for interviews with the IMC, its designee or its designated physician(s) or medical consultant(s), upon request at various intervals and with reasonable notice. 11. Tolling for Out-of-State Practice or Residence, for Periods of Inactive QME Status, or for In-State Non-Practice In the event Respondent should leave California to reside or to practice outside the State, or for any reason should Respondent's QME status become inactive in California, Respondent shall notify the IMC probation monitor in writing within ten (10) days of the dates of departure and return, or the dates of inactive QME status in California. Non practice is defined as any period of time exceeding thirty (30) days in which Respondent is not engaging in any activities defined in sections 2051 and 2052 of the Business and Professions Code. All time spent in an intensive training program approved by the IMC or its designee shall be considered as time spent in practice. Periods of temporary permanent residence or practice outside California or periods of non-practice within California, as defined in this condition, will not apply to the reduction of the probationary period. 12. Completion of Probation Upon successful completion of probation, Respondent's QME certificate(s) shall be fully restored. 13. Violation of Probation If Respondent violates probation in any respect, the IMC, after giving Respondent notice and the opportunity to be heard, may revoke probation and carry out the disciplinary order that was stayed. If an accusation or petition to revoke probation is filed against Respondent during probation, the IMC shall have continuing jurisdiction until the matter is final and the period of probation shall be extended until the matter of the new accusation or petition to revoke is final. 14. QME Certificate Surrender Following the effective date of this decision, if Respondent ceases practicing as a Qualified Medical Evaluator, due to retirement, health reasons or is otherwise unable to satisfy the terms and conditions of probation, Respondent may voluntarily tender his/her QME certificate(s) to the IMC. The IMC reserves the right to evaluate Respondent's request and to exercise its discretion whether to grant the request, or to take any other action deemed appropriate and reasonable under the circumstances. Upon formal acceptance of the tendered QME certificate(s), Respondent will no longer be subject to the terms and conditions of probation. 15. Notation of Probationary QME Status Upon the effective date of this decision, the IMC shall make a notation on each letter sent to an unrepresented injured worker, which lists Respondent's name on a panel of QMEs, indicating that Respondent is currently on probation as a QME. IMC also shall make a notation next to Respondent's name wherever it appears in each QME roster issued during the period in which Respondent is on probation on the date the roster is issued. Respondent shall answer truthfully any questions from injured workers or other parties about Respondent's probationary QME status. Optional Conditions of Probation 16. Actual Suspension as Part of Probation As part of probation, Respondent is suspended from performing any function as a Qualified Medical Evaluator or an Agreed Medical Evaluator for (enter total time period for suspension), beginning on the sixteenth (16th) day after the effective date of this decision. 17. Approved Ethics or other Educational Course Within thirty (30) days of the effective date of this decision, Respondent shall submit to the IMC or its designee for its prior approval an educational course on forensic evaluator ethics, or on matters related to the violation(s) charged in the accusation, or both. Said course(s) shall be successfully completed by Respondent (enter time for completion), and in any event no later than during the first year of probation. Respondent shall provide the IMC or its designee with proof of attendance at such course(s). Completion of any such course required as a term of probation shall be in addition to the continuing medical education requirements for reappointment as a Qualified Medical Evaluator. Following completion of each course ordered as a term of probation, the IMC or its designee may administer an examination to test Respondent's knowledge of the course(s). 18. Clinical Training Within sixty (60) days of the effective date of this decision, Respondent shall submit to the IMC for its prior approval a clinical training or educational program. The exact number of hours and the specific content of the program shall be determined by the IMC or its designee and shall be related to the violations charged in the accusation. Respondent shall successfully complete the training program and may be required to pass an examination administered by the IMC or its designee related to the program's contents prior to performing work as a Qualified Medical Evaluator or Agreed Medical Evaluator. 19. Oral, Clinical or Written Exam Within sixty (60) days of the effective date of this decision, (or upon completion of the required education or ethics course) (or upon completion of the required clinical training program), Respondent shall take and pass a(n) (oral, clinical and/or written) examination to be administered by the IMC or its designee. If Respondent fails this examination, Respondent must wait three months between reexaminations, except that after three failures Respondent must wait one year to take each necessary reexamination thereafter. Respondent shall pay the costs of all examinations. (Use either of the following paragraphs with the above paragraph): Option #1: Condition Precedent Respondent shall not perform any functions as a Qualified Medical Evaluator or Agreed Medical Evaluator until Respondent has passed this examination and has been so notified by the IMC in writing. Option #2: Condition Subsequent If Respondent fails to take and pass the first examination,Respondent shall cease performing any functions as a Qualified Medical Evaluator or an Agreed Medical Evaluator until this examination has been successfully passed and Respondent has been so notified by the IMC in writing. 20. Restitution Respondent shall provide restitution to ____________in the amount of $ ________ prior to completion of the first year of probation. 21. Third Party Presence - Sexual Transgressions During probation, Respondent shall have a third party present while examining, evaluating or treating (enter appropriate: male/female/minor) injured workers. Respondent shall, within fifteen (15) days of the effective date of the decision, submit to the IMC or its designee, for its approval, the name(s), business and home phone number(s), and business address, of the persons who will act as the third party present. Respondent shall execute a written release authorizing the designated third party(s) to divulge any information that the IMC may request during interviews by the probation monitor on a periodic basis. 22. Supervised Structured Practice Respondent is prohibited from engaging in solo practice. Within thirty (30) days of the effective date of this decision, Respondent shall submit to the IMC and receive its prior approval for a plan of practice limited to a supervised, structured environment in which respondent's activities will be overseen and supervised by another QME, who shall provide periodic reports to the IMC. 23. Monitored Practice Within thirty (30) days of the effective date of this decision, Respondent shall submit to the IMC and receive its prior approval for a plan of practice in which Respondent's activities as a QME or AME will be monitored by another QME, who shall provide periodic reports to the IMC or its designee. If the monitor resigns or is no longer available, Respondent shall, within five (5) days, provide the IMC or its designee the name, address and phone number of a new monitor, for the IMC's approval. Respondent shall execute a written release authorizing the designated third party(s) to divulge any information that the IMC may request during interviews by the probation monitor on a periodic basis. 24. Psychiatric Evaluation Within thirty (30) days of the effective date of this decision, and on a periodic basis thereafter as may be required by the IMC or its designee, Respondent shall undergo a psychiatric evaluation by a psychiatrist/psychologist appointed by the IMC. The appointed evaluator shall furnish a report to the IMC or its designee. If Respondent is required by the IMC or its designee to undergo psychiatric treatment, Respondent shall within thirty (30) days of the requirement notice, submit to the IMC for its prior approval the name and qualifications of a psychotherapist of Respondent's choice. Upon approval of the treating psychotherapist, Respondent shall undergo and continue psychiatric treatment until further notice from the IMC. Respondent shall have the treating psychotherapist submit quarterly status reports to the IMC. (Optional) Respondent shall not perform any function as a Qualified Medical Evaluator or an Agreed Medical Evaluator until notified by the IMC of its determination that Respondent is mentally fit to resume such forensic practice. 25. Psychiatric Treatment Within sixty (60) days of the effective date of this decision, Respondent shall submit to the IMC for its prior approval the name and qualifications of a psychotherapist of Respondent's choice. Upon approval, Respondent shall undergo and continue treatment until his or her treating psychotherapist (i.e. psychiatrist, psychologist, other licensed mental health practitioner) deems that no further psychiatric treatment is necessary. Respondent shall have the treating psychotherapist submit quarterly status reports to the IMC. The IMC may require Respondent to undergo psychiatric evaluations by an IMC-appointed psychiatrist/psychologist. (Note: This condition is for those cases where the evidence demonstrated that the respondent has had impairment [i.e. impairment by mental illness, alcohol abuse and drug self abuse] related to the violations but is not at present a danger to his/her patients.) 26. Medical Evaluation Within thirty (30) days of the effective date of this decision, and on a periodic basis thereafter as may be required by the IMC or its designee, Respondent shall undergo a medical evaluation by an IMC appointed physician who shall furnish a medical report to the IMC or its designee. If Respondent is required by the IMC or its designee to undergo medical treatment, Respondent shall within thirty (30) days of the requirement notice, submit to the IMC for its prior approval the name and qualifications of a physician of Respondent's choice. Upon approval of the treating physician, Respondent shall undergo and continue medical treatment until further notice from the IMC. Respondent shall have the treating physician submit quarterly reports to the IMC. (Optional) Respondent shall not perform any functions as a Qualified Medical Evaluator or an Agreed Medical Evaluator until notified by the IMC of its determination that Respondent is medically fit to resume forensic practice safely. (Note: This condition is for those cases where the evidence demonstrates that medical illness or disability was a contributing cause of the violations.) 27. Medical Treatment Within sixty (60) days of the effective date of this decision, Respondent shall submit to the IMC for its prior approval the name and qualifications of a physician of Respondent's choice. Upon approval, Respondent shall undergo and continue treatment until the IMC deems that no further medical treatment is necessary. Respondent shall have the treating physician submit quarterly reports to a physician appointed by the IMC to evaluate Respondent. Such reports shall indicate whether Respondent is capable of practicing forensic medicine safely. The IMC may require Respondent to undergo periodic medical evaluations by an IMC appointed physician. The Respondent shall pay the costs of all required evaluations. (Note: This condition is for those cases where there is evidence that medical illness or disability was a contributing cause of the violations but the Respondent is not at present a danger to his/her patients.) 28. Biological Fluid Testing Respondent shall immediately submit to biological fluid testing, at Respondent's cost, upon the request of the IMC or its designee. 29. Diversion Program Within thirty (30) days from the effective date of this decision, Respondent shall enroll and participate in a diversion program designated by the IMC or its designee, until the IMC determines that further treatment and rehabilitation is no longer necessary. Quitting the program without permission or being expelled for cause shall constitute a violation of probation by Respondent. 30. Drugs - Abstain from Use Respondent shall abstain completely from the personal use or possession of controlled substances as defined in the California Uniform Controlled Business and Professions Code, or any drugs requiring a prescription. This prohibition does not apply to medications lawfully prescribed to respondent for a bona fide illness or condition by another practitioner. 31. Controlled Drugs - Maintain Record Respondent shall maintain a record of all controlled substances prescribed, dispensed or administered by Respondent during probation, showing all the following: 1) the name and address of patient, 2) the date, 3) the character and quantity of controlled substances involved, and 4) the indications and diagnoses for which the controlled substances were furnished. Respondent shall keep these records in a separate file or ledger, in chronological order, and shall make them available for inspection and copying by the IMC or its designees, upon request. 32. Alcohol - Abstain from Use Respondent shall abstain completely from the use of alcoholic beverages. 33. Notation of Probationary QME Status Upon the effective date of this decision, the IMC shall make a notation on each letter sent to an unrepresented injured worker, which lists Respondent's name on a panel of QMEs, indicating that Respondent is currently on probation as a QME. IMC also shall make a notation next to Respondent's name wherever it appears in each QME roster issued during the period in which Respondent is on probation on the date the roster is issued. Respondent shall answer truthfully any questions from injured workers or other parties about Respondent's probationary QME status. 34. Submission of Reports to the IMC Respondent shall submit to the IMC copies of the next five medical/legal reports written by Respondent after the effective date of this decision, in the capacity of a Qualified Medical Evaluator. Respondent shall submit a copy of each such report to the IMC probation monitor within 10 working days of forwarding the report to any party in the case. 35. Use of Terminology Regarding Area of Practice or Specialty Respondent shall ensure all statements regarding Respondent's professional training and area of practice, appearing on letterhead, advertising, business cards, web sites and other public communications, conform to the provisions of Business and Professions Code 651. Further, Respondent shall refrain from using terms, including (state specific terms or phrases used which resulted in discipline). Respondent further agrees to (add specific terms as applicable to case). Note: Authority cited: Sections 133, 139 and 139.2, Labor Code. Reference: Section 139.2, Labor Code. s 70. Treatment Guideline for Low Back Problems. The Industrial Medical Council recommends treatment of industrial injury to the low back, consistent with the "Treatment Guideline for Low Back Problems," as adopted by the Industrial Medical Council on April 17, 1997 as set forth below. TREATMENT GUIDELINES FOR LOW BACK PROBLEMS Introduction Low back problems are common among workers. In the majority of injured workers with low back problems, recovery occurs within the first month of symptoms. Those who have not improved at the end of one month of treatment may need further diagnostic evaluation and consideration of other treatment options. Management of low back problems in injured workers includes consideration of environmental and personal factors which may be causing or aggravating the problem, as well as providing appropriate treatment that leads to a return to productive work. Scope of the Guideline This guideline deals with the assessment and treatment of common low back problems in working age people. Initial assessment to rule out uncommon low back problems is discussed, but definite diagnosis and treatment of uncommon disorders is beyond the scope of this guideline. This guideline does not deal with legal issues of causation or work-relatedness. Treatment guidelines are designed to assist providers by offering an analytical framework for the evaluation and treatment of the more common problems of injured workers. These guidelines are educational and descriptive of generally accepted practices for the assessment and treatment of low back problems. The guidelines are intended to assure appropriate and necessary care for injured workers diagnosed with these types of industrial conditions. Due to many factors which must be considered when providing quality care, health care providers shall not be expected to always provide care within the stated guidelines. Treatment authorization, or payment for treatment, shall not be denied based solely on a health care provider's failure to adhere to the IMC guideline. These guidelines are not intended to be the basis for the imposition of civil liability or professional sanctions. They are not intended to either replace a treating provider's clinical judgment or to establish a protocol for all patients with a particular condition. It is understood that some patients will not fit the clinical conditions contemplated by a guideline. This includes those patients demonstrating "Red Flag" concerns described in the guideline. Symptom duration is classified as acute (< one month), subacute (one to three months), and chronic (> three months). If an injured worker experiences more than one recurrence of low back pain in a year, except in cases of a new injury, it should not be classified and treated as an acute back problem. In this case, it is considered a chronic recurrent low back problem, and secondary assessment and treatment methods should be utilized along with an emphasis on active therapy and prevention strategies. Chronic low back problems are outside the scope of this guideline. For the purpose of this document, a provider is defined as any health care provider acting within the scope of his/her practice, including those to whom an injured worker has been referred or whose treatment has been prescribed by a treating physician. All health care providers acting within the scope of their practice, including those to whom an injured worker has been referred or whose treatment has been prescribed by a treating physician, shall be allowed to bill and be reimbursed in accordance with the Official Medical Fee Schedule. A provider may vary from these guidelines, if in his or her judgment, variance is warranted to meet the health care needs of the injured worker and that variance remains within the standards of practice generally accepted by the health care community, and the provider documents the need for the variance in the evaluation report or the medical treatment record in the manner that is generally accepted by the health care community. Not every medical situation can be addressed in these regulations and medical standards change constantly. The documentation required of the provider is necessary to monitor and explain the use of variances. In all cases, the provider shall document no later than six months from the date of the injury, whether further treatment is warranted and whether the injured worker has any significant subjective and objective findings of the condition still not having plateaued. 1.0 Initial Assessment of Low Back Problems 1.1 Purpose The purpose of the initial assessment is to establish a working diagnosis and assign the injured worker into one of five initial clinical categories of low back problems: 1) Conditions involving the bony spinovertebral axis such as cancer, infection or fracture; 2) Intraspinal pathology involving the neuraxis such as cauda equina syndrome or radiculopathy; 3) Arthritic or inflammatory conditions; 4) Mechanical conditions; or 5) Referred low back pain due to viscerogenic and/or other causes. In addition, the initial assessment looks for (and documents for the chart) other factors which might have an impact upon an injured worker's symptoms and/or response to treatment (e.g., work, personal, psychosocial, and economic factors). 1.2 Appropriate Initial Assessment Methods 1.2.1 History and physical The history and physical examination are the bases upon which any assessment and treatment decisions are to be made. Decisions about diagnostic imaging, laboratory testing, and specialist referral should be guided by the clinical features of the history and exam. Only a small minority of injured workers will require further diagnostic testing after the initial history and physical. On the history, document the characteristics of pain (type, location, duration, severity, radiation), associated symptoms, precipitating factors, positions and activities that aggravate or relieve the symptoms, as well as its impact on function at home and work. Information concerning previous back injuries, diagnostic and treatment procedures, and response to previous therapies (including home treatments and use of appliances) should be obtained. The use of a pain drawing and/or pain scale (e.g., Visual Analog Scale) may assist in the evaluation of the location, characteristics, and severity of pain, and may be utilized in the assessment of treatment response. (One example of a pain drawing and pain scale appears in Appendix 7.1.) The relationship of the symptoms to performance of specific activities should be sought (e.g., work tasks and ergonomic factors, sitting, walking, driving, coughing, hobbies, recreational activities, etc.). In addition, ask key questions pertinent to serious spinal, intraspinal or viscerogenic conditions [see below]). The initial history should also document relevant past medical and surgical history, occupational history, social (including hobbies, recreational activities, and the use of tobacco, alcohol and other drugs), and any relevant psychosocial issues such as financial, family, or workplace difficulties. A thorough physical examination that is based upon the appropriate history and presentation of the patient is expected. The examination includes, but is not limited to, general appearance, visual inspection and palpation, manual testing of range of motion, vascular and neurologic inspection. A focused neurologic exam that includes reflexes, strength and sensation testing in the lower extremities should be performed. Bilateral supine and seated straight leg raising is also recommended during the initial evaluation. Examination of the hip joint can help exclude referred back or leg pain from an abnormal joint. Although most patients have localized, non radiating pain and/or limited range of motion, these findings are non specific for most back problems. Limited spinal motion may be useful for planning and monitoring response to treatment and for developing appropriate work restrictions. 1.2.1.1 Conditions involving the bony spinovertebral axis such as cancer, infection or fracture Certain key findings on the medical history and physical examination may raise suspicion of a possible serious underlying condition of the spine which requires immediate diagnosis and prompt treatment, including appropriate referral for specialty consultation. The following serious underlying conditions of the spine are suggested by, but not limited to, the "Red Flags" listed below: For cancer or infection: age greater than 50 years, history of prior cancer, unexplained weight loss, back pain not improved with rest, fever, immunosuppression, intravenous drug use, history of urinary infection and/or incapacitating pain. For spinal fracture: history of significant trauma (e.g., motor vehicle accident or fall from height), age greater than 60, prolonged use of corticosteroids, alcohol or substance abuse. Injured workers with clinical findings that suggest underlying disease may require further studies, such as laboratory tests, x-rays, or specialized tests to evaluate for these conditions. The provider should clearly document the need for any additional tests for other serious pathologies during the initial assessment. Other pathologies should be ruled out. 1.2.1.2 Referred low back pain due to viscerogenic and/or other causes Referred pain from visceral diseases or other musculoskeletal disorders unrelated to the lumbar spine may be distinguished by a careful history and physical examination. A history of urinary tract, abdominal or pelvic symptoms suggests visceral disease. Abdominal and pelvic disorders which may cause low back pain include abdominal aortic aneurysm, pyelonephritis, nephrolithiasis, gynecological problems, prostatitis, pancreatitis, and other gastrointestinal conditions. Examination of the hip and sacroiliac joints may reveal findings consistent with a localized joint or muscle problem. 1.2.1.3 Arthritic or inflammatory conditions Inflammatory arthritides of the spine that can cause back symptoms include ankylosing spondylitis and other rare spondyloarthropathies. A suspicion of these and other related conditions should suggest a referral to the appropriate specialist for further evaluation. Work-up of these conditions is not discussed in this guideline, but should be guided by the clinical findings and suspicion of a systemic illness. 1.2.1.4 Distinguish between mechanical conditions and radiculopathy or other neurological conditions For the purpose of determining the appropriate management of low back problems and estimating prognosis, it is helpful to classify injured workers into diagnostic categories, as well as to consider symptom duration. Most injured workers can be separated into diagnostic categories based on the location and characteristics of their symptoms and the clinical findings. 1.2.1.4.1 The symptoms of mechanical low back conditions are predominantly low back pain, with possible referral of pain to the buttock and/or leg above the knee in a non-dermatomal pattern. 1.2.1.4.2 Radiculopathy or other neurological conditions result from spinal or intraspinal pathology involving one or more nerve roots. Presenting symptoms are related to specific nerve root(s) and type of pathology and may include pain, alteration in sensation, loss of strength, and altered reflexes in various combinations. 1.2.1.4.3 Cauda equina syndrome results from injury to multiple lumbosacral nerve roots. It may present with bowel and/or bladder dysfunction, saddle hypesthesia or anesthesia. This serious condition is a red flag requiring immediate referral to an appropriate specialist. 1.2.1.5 Documentation of other relevant factors A detailed work history should be obtained, including a description of current job duties, and the relationship of symptoms to performance of job tasks. Psychological work factors that are known to increase the reporting of a back injury and lead to prolonged symptoms and disability include job monotony and job dissatisfaction. If psychological distress is suspected from the history, pain drawing, and/or the physical examination such as the presence of several "non-organic" physical signs (non anatomic or superficial tenderness, inconsistent response between supine vs. seated straight leg raising, pain on simulated axial loading or spine rotation, over reaction, and regional sensory and motor disturbances), the injured worker may be at risk for a delayed recovery or poor response to any surgical procedure. The medical and social history may help the provider evaluate for other risks of delayed recovery and plan therapy accordingly. A history of previous back injuries or surgery, failed previous treatments, prolonged or contentious litigation or disability claims, family or financial problems, or secondary gain may affect treatment response and prolong disability. Chronic pain, depression, and alcohol or substance abuse may prolong disability and influence the choices for therapy. Recreational and other non work activities which might contribute to low back problems must also be considered in the evaluation and management of low back problems. 1.2.2 Laboratory studies Laboratory tests should not be ordered routinely in the initial assessment unless an underlying illness is suspected. If the history, age, or examination suggests cancer, infection, inflammatory arthritis (such as ankylosing spondylitis), metabolic-endocrine disorders or visceral disease, then appropriate laboratory tests may be indicated. The physician must provide a clear rationale of the indications for the tests ordered. 1.2.3 Diagnostic imaging Plain X-Rays The most commonly used x-ray views of the lumbar spine (the standard anteroposterior and lateral views) permit assessment of lumbar alignment, comparison of vertebral body and disc space size, assessment of bone density and architecture, and gross evaluation of soft tissue structures. Oblique views of the lumbar spine are used in the detection of unilateral or bilateral spondylolysis. Other special views include sacroiliac views to evaluate possible ankylosing spondylitis. The diagnostic objective of x-rays is to reveal structural abnormalities associated with back symptoms. Plain x-rays are not recommended for routine evaluation of patients with acute low back problems within the first month of symptoms unless a red flag is noted on the clinical examination (such as specified below). Plain x-rays of the lumbar spine are recommended for ruling out fractures in patients with acute low back problems when any of the following red flags are present: recent significant trauma (any age), recent mild trauma (patient over age 50), history of prolonged steroid use, osteoporosis, patient over age 60. Plain x-rays in combination with clinically appropriate laboratory studies may be useful for ruling out tumor or infection in patients with acute low back problems when any of the following red flags are present: prior cancer or recent infection, fever over 100 degrees F, IV drug abuse, prolonged steroid use, low back pain worse with rest, unexplained weight loss. In the presence of red flags, especially for tumor or infection, the use of other imaging studies such as bone scan, CT, or MRI may be clinically indicated even if plain x-rays are negative. The routine use of oblique views on plain lumbar x-rays is not recommended in light of the increased radiation exposure. 1.2.4 Ergonomic evaluation Clinical indications: Work history, job analysis/description, or workplace inspection may be useful to identify physical work factors contributing to the development or exacerbation of low back problems, which prevent return to usual work. A worksite evaluation with the affected injured worker should be performed by a professional trained in these types of evaluations. 1.3 Inappropriate Initial Assessment Methods All of the following assessment methods have been determined inappropriate during the initial phase of assessment. (All are Appropriateness level 1.) Routine use of: 1.3.1 Laboratory studies 1.3.2 Lumbar x-rays 1.3.3 CT, MRI, myelography, CT-myelography, and bone scan 1.3.4 Discography 1.3.5 Electromyography (EMG) 1.3.6 Computerized strength and range of motion testing Computerized testing of strength and range of motion is not recommended in the initial assessment of acute low back problems. 2.0 Initial Treatment of Low Back Problems 2.1 Purpose The purpose of the initial treatment of low back problems is to relieve pain and suffering and to restore functional capacity. The goal is to allow the injured worker to resume necessary activities, including return to modified or full work according to the favorable natural history for low back problems. Injured workers with radiculopathy or other neurological conditions may require more aggressive management and closer monitoring for further neurologic deterioration that may require additional diagnostic testing with possible surgery. Treatment may include: 1) education about back problems and their prevention; 2) activity and environmental modifications; 3) exercise; 4) medication; and/or 5) physical treatments as delineated later in this section. This guideline does not address treatment for spinal conditions of cancer, infection, fracture, cauda equina syndrome, arthritic or inflammatory conditions, viscerogenic back symptoms or chronic low back problems. 2.2 Appropriate Initial Treatment Methods 2.2.1 Education 2.2.1.1 General information Appropriateness level 4 Education is the most effective method of reducing the injured worker's concerns about persistent pain problems. Accurate information concerning connective soft tissue injury and repair, including expectations for both rapid recovery and recurrences, should be provided to allay the injured worker's fear. Patients should be taught principles related to pertinent anatomy, proper back mechanics, postural information, and safe work methods. Safe and reasonable modifications of work, home, and recreational activities should be given. Instructions for self-management of symptoms and lifestyle modifications should also be provided (e.g., use of cold or heat therapy at home, medications, exercises, rest periods). Reassurance about the benign nature of most low back problems and its compatibility with various activities should be given. A collaborative partnership among the physician, employer and injured worker is an essential component of any plan to return the injured employee to work. Specific functional goals, including home and work activities, time frame for expected improvements, and return to work should be given by the provider to the injured worker. Effectiveness and risks of commonly available diagnostic and treatment measures should be considered if symptoms persist and should be discussed with the patient. Education should be provided by the treating provider and may be supplemented by a physical or occupational therapist as part of a referral for flexibility and strengthening exercise training (see below). 2.2.1.2 Back education program Appropriateness level 3 A back educational program that promotes exercise as a rehabilitation and prevention method is recommended for an injured worker with low back problems. 2.2.2 Activity and environmental modifications 2.2.2.1 Work restrictions Appropriateness level 4 Modifications of activities including specific work restrictions that are based on the injured worker's job requirements and clinical status, are acceptable if functional limitations do not allow continuation of regular work duties. Complete work cessation should be avoided, if possible, through the use of modified duty. Written work restrictions should be as specific as possible, and it may be necessary to contact the employer to discuss alternative work within the prescribed restrictions. Injured workers with work restrictions should be re-evaluated within two weeks for determination of work status, response to treatment, and for making appropriate decisions concerning progression to full activities. 2.2.2.2 Bed rest Appropriateness level 4 The majority of injured workers with low back pain will not require bed rest. Short-term continuous bed rest may be appropriate for up to two days. Bed rest for more than four days may lead to debilitation and is not recommended for treating low back problems. A gradual return to normal activities is more effective than prolonged bed rest for treating low back problems. 2.2.2.3 Environmental/job modification Appropriateness level 3 Environmental modifications including engineering (e.g., work station adjustment) and administrative controls (e.g., job rotation) to limit or eliminate work activities that might lead to or aggravate back problems should be considered early on for symptomatic workers who have work-related risk factors for low back problems. 2.2.3 Exercise Appropriateness level 4 2.2.3.1 Rehabilitative exercise recommendations Up to 12 visits for rehabilitative exercise may be implemented in the first month. A step-wise program using exercise goals that are gradually increased over time is appropriate in uncomplicated cases of most low back problems. Aerobic (walking, biking, swimming, or similar activities) and stretching exercises can begin early on to increase mobility. Progressive strengthening exercises for abdominal and back muscles may promote recovery and prevent prolonged disability due to deconditioning. Adequate instruction in exercises and positioning may require supervision by a provider. An active progressive exercise program designed to achieve or maintain an increase in range of motion and strength should be promoted as the best method of limiting recurrences of low back problems. The exercise program should be included in the treatment plan and/or referenced in the progress reports. The rehabilitative exercise visits shall be limited to a maximum of three times per week in the initial phase, with emphasis placed on home exercise. 2.2.3.2 Referral for physical treatment Appropriateness level 3 Referral for physical treatment may be appropriate within the first 30 days. 2.2.4 Medications 2.2.4.1 Acetaminophen Appropriateness level 4 Acetaminophen, a non-narcotic analgesic, has commonly been regarded as having an analgesic effect, but little or no known anti-inflammatory mechanism. The therapeutic objective for its use in acute low back problems is pain relief. Acetaminophen is reasonably safe and is acceptable for treating patients with acute low back problems. 2.2.4.2 Non-steroidal anti-inflammatory drugs (NSAIDs) Appropriateness level 4 NSAIDs are a class of medications, including aspirin, ibuprofen, indomethacin, and other medications. They have anti-inflammatory and analgesic properties as well as being prostaglandin inhibitors. The therapeutic objective of NSAIDs in treating acute low back problems is to decrease pain, presumably by reducing inflammation and promoting healing. NSAIDs, including aspirin, are acceptable for treating patients with acute low back problems but have a number of potential side effects. The most frequent complication is gastrointestinal irritation. The decision to use these medications can be guided by comorbidity, side effects, cost, and patient and provider preference. 2.2.4.3 Muscle relaxants Appropriateness level 3 Muscle relaxants are an option in the treatment of patients with acute low back problems. While probably more effective than a placebo, muscle relaxants have not been shown to be more effective than NSAIDs. No additional benefit is gained by using muscle relaxant in combination with NSAIDs over using NSAIDs alone. Muscle relaxants have potential side effects, including drowsiness in up to 30 percent of patients. When considering the optional use of a muscle relaxant, the clinician should balance the potential for drowsiness against a patient's intolerance of other agents. 2.2.4.4. Oral corticosteroids Appropriateness level 2 Oral steroids are used by some clinicians in the treatment of patients with acute low back problems. The therapeutic objective is to reduce inflammation in an attempt to promote healing and reduce pain. However, oral steroids are not recommended for the treatment of acute low back pain without radiculopathy. 2.2.4.5 Opioid Analgesics Appropriateness level 3 Oral opioid analgesics commonly given to patients with acute low back problems include morphine derivatives (opioids) and synthetic opioids. The therapeutic objective in treating low back problems is temporary pain relief. When used only for a time-limited course, opioid analgesics are an option in the management of patients with acute low back problems. The decision to use opioids should be guided by consideration of their potential complications relative to other options. Routine prescription of opioids is not recommended and when prescribed for severe pain, should be limited in duration and quantity. 2.2.5 Physical treatments Appropriateness level 4 2.2.5.1 Manual medicine, manipulative techniques, manual therapy/ mobilization include treatments performed by a physician or another appropriately licensed health care provider as defined by their scope of practice. 2.2.5.2 Other physical modalities Appropriateness level 3 Active treatments such as manual medicine/therapy may be combined with passive modalities, including but not limited to iontophoresis, phonophoresis, electrical stimulation, ultrasound, diathermy, traction, and other physical agents, during the first four weeks of treatment. These passive modalities should not be used as the sole form of treatment. They shall be combined with an active treatment program that emphasizes progressive exercises. 2.2.5.3 Frequency of physical treatment methods Appropriateness level 3 The frequency of the physical treatments listed above within the initial four weeks of treatment may be up to 12 visits in the first month. 2.2.5.4 Transcutaneous Electrical Nerve Stimulation (TENS) Appropriateness level 2 TENS may be useful for management of low back problems. If no functional and symptomatic benefit has been demonstrated after two weeks, treatment should be discontinued. 2.2.5.5 Acupuncture Appropriateness level 2 Acupuncture may be useful to relieve acute low back pain. The frequency of acupuncture treatments within the initial four weeks of treatment may be up to three times per week for four weeks, or up to twelve office visits. During this initial treatment, if there is not substantial improvement, in a maximum of 12 treatments, the patient is to be re-evaluated by a more extensive physical examination, laboratory testing, imaging or referral to another physician. 2.2.5.6 Epidural Steroid Injections Appropriateness level 2 An epidural steroid injection may be helpful for reducing tissue inflammation and short-term pain relief in a patient with an acute radicular low back problem who is unable to participate in an active treatment program because of severe leg pain and/or neuromotor deficit. If successful, a progressive active treatment program should be implemented with the goal of avoiding prolonged disability and possible surgical intervention. 2.2.5.7 Lumbar supports (e.g., corsets, support belts, braces) Appropriateness level 2 Immobilization with lumbar supports may provide symptomatic relief of pain and movement reduction in cases of severe acute low back problems. The injured worker should be advised of the potential harm from using a lumbar support for a greater period of time than that prescribed. 2.2.6 Hospitalization for non-surgical treatment Appropriateness level 2 Hospitalization is rarely necessary for the non-surgical management of severe low back pain. 2.2.7 Myofascial and trigger point injections Appropriateness level 2 Up to three trials of injection therapy within the first 30 days may be helpful for short term pain relief in patients with mechanical back conditions. Trigger point and myofascial injections are not for use as the exclusive method of treatment. 2.3 Case Management Appropriateness level 4 An adequate re-evaluation of the problem, with determination of treatment effectiveness and patient compliance, should be performed at appropriate intervals during the first 30 days of treatment. 2.4. Inappropriate Initial Treatments The following initial treatment methods are inappropriate in the initial treatment phase: (All are Appropriateness level 1.) 2.4.1 Surgical treatments Except for those further conditions cited earlier as 'red flags' relevant to intraspinal pathology such as cauda equina syndrome or radiculopathy, surgery for acute radicular pain within the first 30 days is usually not indicated. Surgical treatment is rarely, if ever, indicated for low back pain without radicular symptoms. 2.4.2 Exclusive use of physical modalities 2.4.3 Biofeedback 2.4.4 Implantable spinal techniques such as infusion pumps or stimulators 2.4.5 Back school A formal back school is usually not appropriate for an injured worker with acute low back problems. 2.4.6 Facet injections 3.0 Secondary Assessment of Low Back Problems 3.1 Purpose The purpose of secondary assessment is to determine the reason for delayed recovery in a patient who has not symptomatically or functionally improved after one month of appropriate treatment (i.e., progressed to a subacute low back problem). The first step in secondary assessment is a re-evaluation with assignment of the patient into one of the five clinical categories: 1) Conditions involving the bony spinovertebral axis such as cancer, infection or fracture; 2) Intraspinal pathology involving the neuraxis such as cauda equina syndrome or radiculopathy; 3) Arthritic or inflammatory conditions; 4) Mechanical conditions; or 5) Referred low back pain due to viscerogenic and/or other causes. Depending on the findings, diagnostic evaluation during the subacute phase (one to three months) may include diagnostic imaging, laboratory tests, bone scan, electrophysiologic tests, functional capacity testing, ergonomic evaluation and/or psychological testing. The clinical indications for each of these diagnostic methods is given below. Referral for consultation is appropriate for problems of delayed recovery or questions about diagnosis. Referral may be made to appropriate physician specialists. 3.2 Appropriate Secondary Assessment Methods 3.2.1 Plain film x-rays (AP and lateral views) Clinical indications: Persistent low back problems and/or suspicion of systemic disease, cancer, infection, inflammatory arthritis, fracture or spondylolisthesis. The routine use of oblique or special views on plain lumbar x-rays is not recommended in light of the increased radiation exposure. 3.2.2 Specialized imaging tests (CT, MRI) Clinical indications: 3.2.2.1 Findings that suggest lumbar nerve root compromise (radiculopathy from herniated disc and/or spinal stenosis) or a severe or progressive neurologic deficit has occurred. These studies are most suitable when surgery or epidural steroid injections are being considered and/or when the injured worker has failed an appropriate course of treatment. 3.2.2.2 Findings that suggest tumor or infection. 3.2.2.3 Findings that suggest a fracture and lumbar x-rays are inconclusive. 3.2.3 Other specialized imaging tests (myelography and CT- myelography) Clinical indications: When imaging tests (CT, MRI) are inconclusive, contradictory or contraindicated, other specialized imaging tests, such as myelography and CT-myelography, are warranted. These studies are invasive and should only be ordered in special situations. 3.2.4 Bone scan Clinical indications: Findings on history, exam, lab or other imaging studies are suggestive for but not limited to tumor, infection, fracture and arthritis. Bone scans demonstrate abnormal metabolic activity and are not diagnostic for these conditions. 3.2.5 Laboratory testing Clinical indications: As deemed appropriate by the reassessment. 3.2.6 Needle electromyography/nerve conduction study (EMG/NCS) Clinical indications: Diagnosis of lumbosacral radiculopathy can usually be made based upon the neurologic examination. EMG/NCS may occasionally be helpful for evaluating suspected nerve root dysfunction, peripheral neuropathy, or peripheral nerve entrapment when the findings on the exam are equivocal or confusing. They may be useful preoperatively to confirm a radiculopathy and may be of some assistance in determining the location and severity of nerve root injury. 3.2.7 Functional capacity testing Clinical indications: The injured worker's perception of his or her capabilities might be inaccurate, or there is an issue about ability to do a specific job. Comprehensive and objective measurements and tests that are specific to the patient's condition and the functional requirements for return to work may be performed. Functional capacity testing is performed to determine the injured worker's physical capacities. This in correlation with the physical findings may be used to determine the injured worker's ability to return to work. 3.2.8 Ergonomic evaluation Clinical indications: Work history, job analysis/description, or workplace inspection may be useful to identify physical work factors contributing to the development or exacerbation of low back problems that can prevent return to usual work. A worksite evaluation with the affected injured worker should be performed by a professional trained in these types of evaluations. 3.2.9 Psychiatric evaluation and/or appropriate psychological testing Clinical indications: Findings on history and exam that suggest that psychosocial factors (e.g. stress, job dissatisfaction, depression, substance abuse, symptom magnification) may be contributing to delayed recovery, noncompliance or lack of response to appropriate treatment in subacute and chronic low back problems. If an injured worker is at risk for delayed recovery, a psychiatric evaluation and/or appropriate psychological testing may be helpful for determining if significant psychological or personality factors are contributing to the disability. The presence of several "non organic" physical signs may also identify patients who need further psychological testing and evaluation. These patients may need specific behavioral or psychiatric treatment. Psychological and personality evaluations may be utilized preoperatively in a patient who is being considered for surgical treatment to assist in selection and planning whether behavioral intervention is necessary. 3.2.10 Somatosensory evoked potentials (SEP) Clinical indications: SEP may be helpful in evaluation of neurological involvement in conditions such as spinal stenosis or myelopathy. 3.3 Inappropriate Secondary Assessment Methods (All Appropriateness level 1) The following methods have been determined inappropriate for secondary assessment: 3.3.1 Discography 3.3.2 Surface EMG 3.3.3 Diagnostic blocks and injections including facet joint injections 3.3.4 Computerized strength and range of motion testing 4.0 Secondary Treatment of Low Back Problems 4.1 Purpose The purpose of secondary treatment is to provide appropriate symptomatic relief for the injured worker with low back problems while continuing to intensify efforts in active treatments, such as exercise. The aim of secondary treatment is to prevent progressive deconditioning and permanent disability, while promoting return to full work for those who are either off work or on modified duty. Treatment is based on the findings of the diagnostic re-evaluation at four weeks. This phase of treatment may be extended up to two months beyond the initial phase of treatment. 4.2 Appropriate Secondary Treatment Methods 4.2.1 Rehabilitative exercise recommendations Appropriateness level 4 A step-wise program using exercise goals that are gradually increased over time is appropriate in uncomplicated cases of most low back problems. Aerobic (walking, biking, swimming, or similar activities) and stretching exercises can begin early on to increase mobility. Progressive strengthening exercises for abdominal and back muscles may promote recovery and prevent prolonged disability due to deconditioning. Adequate instruction in exercises and positioning may require supervision by a provider. An active progressive exercise program designed to achieve or maintain an increase in range of motion and strength should be promoted as the best method of limiting recurrences of low back problems. The exercise program is recommended to be included in the treatment plan and/or referenced in the progress reports. Supervised exercise sessions should be limited to a maximum of four weeks,without re-establishing medical necessity. 4.2.2. Medication 4.2.2.1 Acetaminophen Appropriateness level 4 4.2.2.2 NSAID's Appropriateness level 4 4.2.2.3 Muscle relaxants Appropriateness level 2 4.2.2.4 Oral Corticosteroids Appropriateness level 2 4.2.2.5 Opioid Analgesics Appropriateness level 3 Opioids have significant adverse effects such as decreased reaction time, clouded judgment, drowsiness, habituation and potential for physical dependence. 4.2.2.6 Antidepressants Appropriateness level 3 4.2.3 Physical Treatment Appropriateness level 3 Treatment following the initial trial of four weeks generally should not exceed two times per week. The continuation of treatments is based on reported improvement in subjective complaints, objective factors/clinical findings, and functional capacity. Management may also include active care, education and therapeutic/rehabilitative exercise. Exacerbations may warrant a short course (up to two weeks) treatment of up to three times a week. 4.2.3.1 Traction - static/mechanical for up to two weeks in combination with other physical medicine Appropriateness level 2 4.2.4 Work conditioning Appropriateness level 3 Work conditioning programs which include general conditioning exercises and graduated performance of simulated job tasks may be useful in preparing the injured worker to return to a specific job or in determining work restrictions. The duration of the program should be guided by the documentation of objective functional improvement. The duration of the program may be up to a maximum of four weeks without re-establishing medical necessity. 4.2.5 Transcutaneous Electrical Nerve Stimulation (TENS) Appropriateness level 2 TENS may be useful for management of low back problems. If no functional and symptomatic benefit has been demonstrated after two weeks, this treatment should be discontinued. 4.2.6 Epidural steroid injections Appropriateness level 2 Clinical indications: For a patient with a subacute radicular low back problem who is unable to progress in an active treatment program because of severe leg symptoms and/or neuromotor deficit, an epidural steroid injection may be helpful for symptomatic relief. If successful, a progressive active treatment program should be continued with the goal of avoiding prolonged disability and possible surgical intervention. In general, more than three injections are not recommended. Epidural steroid injections are inappropriate for non-radicular back problems. They should not be used as the sole form of treatment for radicular pain. 4.2.7 Biofeedback Appropriateness level 3 Used occasionally to train the patient to control the symptoms by self regulation of somatic activity developed through instrumentation-enhanced proprioception. Particularly indicated if it reduces the medication usage and/or increases function. If there is no functional and symptomatic benefit after a three week trial, treatment should be discontinued. 4.2.8 Surgical treatment methods Clinical indications: Surgical treatment may be appropriate for injured workers with radicular or other neurological conditions in the following circumstances: 1) Their clinical exam demonstrates persistent symptoms and exam findings that prevent resumption of normal activities, and are unresponsive to an appropriate course of active non-surgical treatment; and 2) Diagnostic test findings objectively verify a surgically remediable condition that correlates with the clinical exam; and 3) There is no significant physical and/or psychological co-morbidity that is likely to lead to a poor surgical outcome for the injured worker. Surgical treatment for mechanical low back problems is rarely indicated. 4.2.8.1 Standard laminectomy with discectomy Appropriateness level 3 Standard laminectomy with discectomy is recommended using the clinical indications listed above. Includes decompression procedures such as standard laminectomy and/or microdiscectomy or variants thereof. 4.2.8.2 Spinal fusion Appropriateness level 2 Spinal fusion for low back problems such as herniated or painful discs is not recommended unless a specific anatomic site of lumbar instability has been identified. Potential sources of instability include degenerative spondylolisthesis, unstable fracture, and surgically induced instability. 4.2.9 Injection therapies 4.2.9.1 Trigger point injections Appropriateness level 2 Trigger point and myofascial injections are not for use as the exclusive treatment modality. When used, they should be limited to three trials of injection therapy. 4.2.9.2 Sacroiliac joint injections Appropriateness level 2 Sacroiliac joint injections should not be used as a sole treatment method. These should be limited to a maximum of three (3). 4.2.10 Acupuncture Appropriateness level 2 Acupuncture treatment is a physical treatment which may be useful following initial treatment to manage pain and to relieve the effects of injury and disease. After a maximum of 12 treatments, the patient is to be re-evaluated for subjective and objective evidence of improvement. If significant subjective and objective improvement is not demonstrated, treatment is to be discontinued. 4.3 Inappropriate Secondary Treatments The following treatments have been determined as inappropriate for secondary treatment: (All are Appropriateness level 1.) 4.3.1 Ligamentous injections (sclerotherapy/prolotherapy) 4.3.2 Laser discectomy 4.3.3 Bed rest 4.3.4 Chemonucleolysis 4.3.5 Percutaneous discectomy 5.0 Prophylactic Treatment 5.1 Purpose Injured workers whose low back problems have improved may benefit from the following measures to help maximize functioning for individuals with persistent mild low back symptoms and to prevent or reduce the impact of recurrent episodes. Appropriate back care strategies should be incorporated into all phases of the assessment and treatment process. 5.2 Appropriate Back Care Appropriateness level 4 5.2.1 Exercise 5.2.2 Back Education and Training 5.2.3 Workplace Modifications 5.2.4 Personal Risk Factor Reduction 6.0 Primary References Submitted and Reviewed in Developing the Treatment Guideline for Low Back Problems The complete list of 216 references considered and reviewed in developing this guideline are available upon request from the Executive Medical Director, Industrial Medical Council, P.O. Box 8888, San Francisco, CA 94128-8888, Telephone No. 1-800-794-6900. 7.0 APPENDICES Appendix 7.1 Visual Analog Scale and Pain Drawing (attached) Appendix 7.2 Appropriateness Levels (attached) Four levels of appropriateness are noted for these sections. These are based upon the extent of consensus documented and/or degree of evidence for the treatment. Appendix 7.3 The list of physicians and providers who assisted the Industrial Medical Council by serving on the General Consensus Panels and the Evidence Panel is available upon request from the Executive Medical Director, Industrial Medical Council, P.O. Box 8888, San Francisco, CA 94128- 8888, Telephone No. 1-800-794- 6900. Appendix 7.1. Pain Scale / Pain Drawing Example / Visual Analog Scale Attachment B: Pain Assesment Instruments B1. Visual analog scale Mark below on the scale from 0 to 100 your level of pain discomfort with 0 being None and 100 being unbearable. None Unbearable ---------------- 0 100 Acute Low Back Problems in Adults B2. Pain drawing Mark the areas on your body where you feel the described sensations. Use the appropriate symbol. Mark areas of radiation. Include all affected areas. NumbnTss -- INC Sensitivity 0000 .............. Constant XXX Sharp Twinge //// Throbbing Ache XXX Appendix 7.2 Appropriateness Levels Level 4 Level 3 Level 2 Level 1 Good Research Yes No No No Based Evidence Clinical Evidence Yes Yes Some No Consensus Of The Yes Yes Partial No Health Care Community Clinical Utility Approp- Accepta- Appropriate riate ble Of Appropriateness and or appr- in uncommon Inappropriate opria- te Level For Common recomm- in most individual cases. ended Low Back cases Document the case-specific Problems clinical factors circumstances or which make this procedure reasonable and necessary for this injured worker. Attachment B: Pain Assessment Instruments B1. Visual analog scale Mark below on the scale from 0 to 100 your level of pain discomfort with 0 being None and 100 being unbearable. Visual Analog Scale (VAS) None _______ Unbearable 0 100 Acute Low Back Problems in Adults B2. Pain drawing Mark the areas on your body where you feel the described sensations. Use the appropriate symbol. Mark areas of radiation. Include all affected areas. Numbness - INC Sensitivity 0000 Constant XXX Sharp Twinge //// Throbbing Ache XXX Appendix 7.3 The list of physicians and providers who assisted the Industrial Medical Council by serving on the General Consensus panels and the Evidence Panel is available upon request from the EXECUTIVE MEDICAL DIRECTOR INDUSTRIAL MEDICAL COUNCIL P.O. BOX 8888 SAN FRANCISCO, CA 94128- 8888 TELEPHONE NO. 1-800-794-6900. Note: Authority cited: Section 139(e)(8), Labor Code. Reference: Section 139(e)(8) Labor Code. s 71. Treatment Guideline for Industrial Neck Injuries. The method of treating industrial injury to the neck shall be as set forth below in the "Treatment Guideline for Industrial Neck Injuries" as adopted by the Industrial Medical Council on May 15, 1997. TREATMENT GUIDELINE FOR INDUSTRIAL NECK INJURY Introduction Neck injuries are common among workers. In the majority of injured workers with neck injuries recovery occurs within the first month of symptoms. Those who are not better at one month may need further diagnostic evaluation and consideration of other treatment options. The overall goal of the management of neck injuries in workers is to identify and correct both environmental and personal factors that may be causing or aggravating the injury, while providing appropriate management of disability so that it leads to a return to productive work. Scope of the Guideline This guideline deals with the assessment and treatment of common industrial neck injuries in working age adults. This guideline addresses injuries affecting the neuromusculoskeletal structures of the neck and associated region. Initial assessment to rule out serious neck injuries is discussed, but definite diagnosis and treatment of serious disorders is beyond the scope of this guideline. This guideline does not deal with issues of legal causation or work-relatedness. Treatment guidelines are designed to assist providers by providing an analytical framework for the evaluation and treatment of the more common problems of injured workers. These guidelines are educational and descriptive of generally accepted parameters for the assessment and treatment of neck injuries. The guidelines are intended to assure appropriate and necessary care for injured workers diagnosed with these types of industrial conditions. Due to the many factors which must be considered when providing quality care, health providers shall not be expected to always provide care within the stated guidelines. Treatment authorization, or payment for treatment, shall not be denied based solely on a health care provider's failure to adhere to the IMC guideline. The guidelines are not intended to be the basis for the imposition of civil liability or professional sanctions. They are not intended to either replace a treating provider's clinical judgment or to establish a protocol for all injured workers with a particular condition. It is understood that some injured workers, for example those with red flag conditions, will not fit the clinical conditions contemplated by a guideline. Symptom duration is classified as acute (< one month), subacute (one to three months), and chronic (> three months). If an injured worker experiences more than one recurrence of neck pain in a year, except in cases of a new injury, it should not be classified and treated as an acute neck problem. In this case, it is considered a recurrent or flare-up neck problem, and secondary assessment and treatment methods should be utilized along with an emphasis on active therapy and prevention strategies. This guideline does not address the evaluation and management of chronic neck problems including chronic pain syndrome. For the purpose of this document, a provider is defined as any health care provider acting within the scope of his/her practice, including those to whom an injured worker has been referred or whose treatment has been prescribed by a treating physician. All health care providers acting within the scope of their practice, including those to whom an injured worker has been referred or whose treatment has been prescribed by a treating physician, shall be allowed to bill and be reimbursed in accordance with usual practices. A provider may vary from these guidelines if, in his or her judgment, variance is warranted to meet the health care needs of the injured worker and that variance remains within the standards of practice generally accepted by the health care community, and the provider documents the need for the variance in the evaluation report or the medical treatment record in the manner that is generally accepted by the health care community. Not every medical situation can be addressed in this guideline and medical standards change constantly. The documentation required of the provider is necessary to monitor and explain the use of variances. In all cases, the provider shall document, no later than 6 months from the date of injury whether further treatment is warranted and whether the injured worker has significant subjective and objective findings of the condition not having plateaued. 1.0 Initial Assessment of Neck Injuries 1.1 Purpose The purpose of the initial assessment is to establish a working diagnosis and assign the injured worker into one of five initial clinical categories of neck problems: 1) Conditions involving the bony spinovertebral axis such as cancer, infection or fracture; 2) Intraspinal pathology involving neurological conditions such as radiculopathy or myelopathy; 3) Arthritic or inflammatory conditions; 4) Mechanical conditions; or 5) Referred neck pain due to viscerogenic and/or other causes. In addition, the initial assessment looks for (and documents for the chart) other factors which might have an impact upon a injured worker's symptoms and/or response to treatment (e.g., work, personal, psychosocial, and economic factors). 1.2 Appropriate Initial Assessment Methods 1.2.1 History and physical The history and physical examination are the basis upon which any assessment and treatment decisions are to be made. Decisions about diagnostic imaging, laboratory testing, and referral to a specialist should be guided by the clinical features of the history and examination. Only a minority of injured workers will require further diagnostic testing after the initial history and physical examination. In the history, document the characteristics of pain (type, location, duration, severity, radiation), associated symptoms, precipitating factors, positions and activities that aggravate or relieve the symptoms as well as its impact on function at home and work. Information concerning previous neck injuries, diagnostic and treatment procedures, and response to previous therapies (including home treatments and use of appliances) should be obtained. Document any history of prior or repetitive trauma to the neck. The use of a pain drawing and/or pain scale may assist in the evaluation of the location, characteristics, and severity of pain, and be utilized in the assessment of treatment response. The relationship of the symptoms to performance of specific activities should be sought (e.g. computer work, typing, overhead work, hobbies, recreational activities, etc.). In addition, ask key questions pertinent to serious spinal pathology or referred pain (see below). Specifically, ask about neurologic symptoms such as radiculopathy involving an upper extremity or myelopathy involving any extremity or bowel or bladder changes. The initial history should also document relevant past medical and surgical history, occupational history which should include a description of current job duties and the relationship of symptoms to performance of job tasks, and possibly social history which may include tobacco, alcohol and drug use, hobbies, recreational activities, and any pertinent psychosocial issues such as financial, family, or workplace difficulties. A thorough physical examination that is based upon the complete history and presentation of the injured worker is expected. The evaluation includes, but is not limited to, general appearance, visual inspection and palpation, manual testing of range of motion (after fracture and instability have been excluded), vascular and neurologic examination. A focused neurologic examination that includes reflexes with reinforcement, strength and sensation testing in the upper extremities should be performed. Although most injured workers have localized, non-radiating pain with tenderness on palpation and/or limited range of motion, these findings are non-specific for most neck problems. Limited spinal motion may be useful for planning and monitoring response to treatment and developing appropriate work restrictions. Examining physicians are frequently presented with the task of identifying the etiology of the pain generator in the upper extremity. Upper extremity pain may be caused by neurogenic problems, musculoskeletal problems, or referred pain related to visceral problems. For example, pain along the radial aspect of the forearm and hand poses a dilemma as to whether the etiology is focal, such as a de Quervain's tenosynovitis; local, such as a radial nerve entrapment syndrome; or a radiculopathy with referred pain down the C6 nerve root distribution. 1.2.1.1 Consider conditions involving the bony spinal vertebral axis Certain key findings from the medical history and physical examination may raise suspicion of a possible serious underlying condition of the spine which requires immediate diagnosis and prompt treatment, including possible referral for surgical evaluation. The following serious underlying conditions of the spine are suggested by the "Red Flags" listed below: For cancer especially in those people who are 50 years old or older: history of prior cancer, unexplained weight loss, neck pain not improved with rest, or unexplained fever. For infection: fever, immunosuppression, intravenous drug use, history of septicemia, or incapacitating pain. For spinal fracture: instability, history of significant trauma (e.g., motor vehicle accident or fall from height), prolonged use of corticosteroids, severe rheumatologic disease, or alcohol/substance abuse. 1.2.1.2 Consider intraspinal pathology For compromise of the neuraxis related to spinal cord and/or nerve root compromise: history of significant trauma with sphincter control disturbance, or motor, sensory and/or reflex changes involving the extremities. Injured workers with clinical findings that suggest underlying conditions of the spinal vertebral axis or intraspinal pathology may require further studies, such as laboratory tests, x-rays, or specialized tests to evaluate for these conditions. The provider should clearly document the need for any additional tests for other serious pathologies during the initial assessment. Management of serious spinal pathology is beyond the scope of this guideline. Injured workers with such problems should be promptly referred to an appropriate specialist for evaluation and management. 1.2.1.3 Consider arthritic or inflammatory conditions Inflammatory arthridites of the spine which can cause neck symptoms includes ankylosing spondylitis and other spondyloarthropathies. Work-up of these conditions is beyond the scope of this guideline, but should be guided by the clinical findings and suspicion of a systemic illness. 1.2.1.4 Consider mechanical conditions and distinguish from pathology. For the purposes of determining the appropriate management of neck problems and estimating prognosis, it is helpful to classify injured workers into diagnostic categories, as well as consider symptom duration. Most injured workers can be separated into diagnostic categories based on the location and characteristics of their symptoms and findings. 1.2.1.4.1 The symptoms of mechanical (or non-specific) neck problems are predominantly neck pain, with possible referral of pain to the shoulder or upper arm in a non-dermatomal pattern. 1.2.1.5 Consider radicular neck problems resulting from intraspinal pathology involving one or more nerve roots. Presenting symptoms are related to specific nerve root(s) and type of pathology and include pain, alteration in sensation, loss of strength, or altered reflexes in various combinations. 1.2.1.6 Consider cord compression syndromes as a manifestation of spinal pathology such as trauma, degenerative changes, tumors or infections. They are usually complex and beyond the scope of this guideline. However, the provider should be aware of their existence and consider prompt referral to a qualified specialist. 1.2.1.7 Consider referred pain from visceral diseases or other musculoskeletal disorders unrelated to the cervical spine. These conditions can usually be distinguished by a careful history and physical examination. There should be awareness of anginal equivalents. Examination of the shoulder and upper extremity may reveal findings consistent with a localized joint or muscle problem. 1.2.1.8 Consider other psychosocial factors Psychological work factors that are known to increase the reporting of a neck injury and lead to prolonged symptoms and disability include job dissatisfaction. If psychological distress is suspected from the history, pain drawing, and/or the physical examination such as the presence of several "nonorganic" physical signs, the injured worker may be at risk for a delayed recovery or poor response to any surgical procedure. The medical and social history may help the provider evaluate for other risks of delayed recovery and may help plan therapy accordingly. A history of previous neck injuries or surgery, failed previous treatments, prolonged or continuous litigation or disability claims, family or financial problems, or secondary gain may affect treatment response and prolong disability. Chronic pain, depression, and alcohol or substance abuse may prolong disability and influence the choices for therapy. Recreational and other non-work activities which might contribute to neck problems must also be considered in the evaluation and management of neck problems. 1.2.2 Laboratory studies Laboratory tests should not be ordered routinely in the initial assessment unless an underlying illness is suspected. (Mail Survey=4) (Consensus Panel=4) [4] If the injured worker's history, age, or examination suggests cancer, infection, inflammatory arthritis, metabolic or endocrine disorders, or visceral disease, then appropriate laboratory tests may be indicated. The physician must provide a clear rationale of the indications for the test ordered. 1.2.3 Diagnostic imaging Plain x-rays of the cervical spine are recommended for ruling out fractures in injured workers with acute neck problems when any of the following 'red flags' are present: recent significant trauma (any age), recent mild trauma (injured worker over age 50), suspected instability, history of prolonged steroid use, osteoporosis, or any other 'red flag' consideration. (Sec 1.2.1) (M=4) (C=4) [4] Plain x-rays may be required prior to manipulation, mobilization or traction of the cervical spine. (M=4) (C=4) [4] Additional views are not routinely needed but may be indicated on the basis of findings on AP/lateral films. Significant soft tissue injuries may be suspected by the presence of asymmetric spinous process spreading on lateral flexion-extension views. In the presence of 'red flags', as defined in 1.2.1.1, the use of other imaging studies such as bone scan, CT, or MRI may be clinically indicated even if plain x-rays are negative. 1.2.4. Needle electromyography/nerve conduction studies (EMG/NCS) may be appropriate as baseline evaluation in injured workers with a past history of radiculopathy or spine surgery. (C=4) [4] 1.3 Inappropriate Initial Assessment Methods All of the following assessment methods have been determined inappropriate during the initial phase of assessment. Routine use of: 1.3.1 Laboratory studies (M=1) (C=1) [1] 1.3.2 Plain x-rays for evaluation of injured workers with acute neck injuries except as indicated in 1.2.3 (M=1) (C=1)[1] 1.3.3 CT, MRI, myelography, CT-myelography, and bone scan. (M=1) (C=1) [1] 1.3.4 Discography (M=1) (C=1) [1] 1.3.5 Surface electromyography (EMG) (M=1) (C=1) [1] 1.3.6 Computerized strength and range of motion testing (M=1) (C =1) [1] 2.0 Initial Treatment of Neck Injuries 2.1 Purpose The purpose of the initial treatment of neck injuries is to relieve pain and suffering and to restore functional capacity. The goal is to allow the injured worker to resume necessary activities including return to modified or regular work. Injured workers with radicular neck problems and neurologic deficits may require more intensive management and closer monitoring for further neurologic deterioration that may require additional diagnostic testing with possible surgical treatment. Treatment may include: 1) education about neck problems; 2) activity and environmental modifications; 3) exercise; 4) medication; and/or 5) physical treatments as delineated later in this section. This guideline does not address treatment for certain types of conditions such as serious underlying spinal pathology or inflammatory arthritis of the cervical spine. 2.2 Appropriate Initial Treatment Methods in the first month. 2.2.1 Education 2.2.1.1 General information Accurate information concerning soft tissue injury and the usual, expected healing should be provided. (M=4) (C=4) [4] Patients should be given realistic information regarding recovery, and should be taught principles related to posture (e.g., avoid slumping) and daily activities including work and sports. Safe and effective methods of symptom control need to be presented. Patients should be told that, unless there is pending surgical care or question of a fracture, tumor, or infection, special investigations are not warranted. 2.2.2 Activity and environmental modifications 2.2.2.1 Work restrictions Modifications of activities including work specific restrictions which are based on the injured worker's work requirements and clinical findings are desirable if functional limitations do not allow continuation of regular work duties. (M=4) (C=4) [4] Complete work cessation should be avoided, if possible, through the use of modified duty. Written work restrictions should be as specific as possible, and it may be necessary to contact the employer to discuss alternative work within the prescribed restrictions. Injured workers with work restrictions should be re-evaluated within two weeks for determination of work status, response to treatment, and for making appropriate decisions concerning progression to full activities. 2.2.2.2 Environmental/job modification Environmental modifications including engineering (e.g., work station adjustment) and administrative controls (e.g., job rotation) to limit or eliminate work activities that might lead to or aggravate neck problems should be considered early on for symptomatic workers who have work-related risk factors for neck problems. (M=4) (C=4) [4] 2.2.3 Exercise 2.2.3.1 General exercise recommendations Exercise programs under the supervision of a qualified physician or physical therapist may be used for up to 6 visits. Rehabilitative exercise may be indicated to strengthen the neck muscles, for stabilization, to improve range of motion, to normalize posture, and to promote safe body biomechanics. (C=3) [3] There is evidence that one-on-one training in home exercises for cervical motion and extension postures will reduce the duration of pain, compared to rest and the use of a collar. Home programs need to be monitored and reinforced weekly for compliance and progress. 2.2.4 Medications 2.2.4.1 Acetaminophen Acetaminophen has commonly been regarded as having an analgesic effect, but little or no known antiinflammatory effect. (M=4) (C=4) [4] The therapeutic objective for its use in acute neck problems is pain relief. Acetaminophen is reasonably safe and is acceptable for treating injured workers with acute neck problems. 2.2.4.2 Non-steroidal antiinflammatory drugs (NSAID's) NSAID's and aspirin are acceptable for treating injured workers with acute neck problems but have a number of potential side effects. (M=4) (C=4) [4] 2.2.4.3 Muscle relaxants Muscle relaxants are an option in the treatment of injured workers with acute neck problems. (M=4) (C=4) [3] 2.2.4.4 Opioid Analgesics Opioids may be necessary if the pain is refractory to treatment with non-opioid analgesics. (M=3) (C=4) [3] Oral opioid analgesics commonly given to injured workers with cervical problems include morphine derivatives (opioids) and synthetic opioids. Their therapeutic objective in treating neck problems is temporary pain relief. The decision to use opioids should be guided by consideration of their potential complications relative to other treatment options. 2.2.4.5 Other Medications Other medications not mentioned above may also be beneficial with appropriate justification, including, but not limited to: (a) Antidepressants, (C=4) [3] (b) Other non narcotic analgesics (C=4) [3] (c) A short course of oral corticosteroids (C=4) [2] 2.2.5 Physical treatments 2.2.5.1 Manual medicine/manipulative techniques, as performed by a physician defined by the California Labor Code and the scope of practice for each group, may be helpful in injured workers with acute problems. (M=4) (C=4) [4] Neurologic deficits should be clinically investigated and instability resulting from fracture subluxation should be ruled out before manipulation is undertaken. Functional improvement should be demonstrable as well as symptomatic benefit. If this has not occurred after one month, the injured workers should be reevaluated. 2.2.5.2 Manual medicine/mobilization, as performed by a physician or another appropriately licensed health care provider as defined by their scope of practice, may be helpful in injured workers who have acute problems without radiculopathy when used within the first month of the symptoms. (M=4) (C=3) [3] Progressive neurologic deficits should be investigated and instability should be ruled out before aggressive mobilization is undertaken. Functional improvement should be demonstrable as well as symptomatic benefit. If this has not occurred after one month, the injured workers should be reevaluated. 2.2.5.3 Other physical modalities/treatments Manual medicine/therapy can be supplemented by passive modalities including but not limited to iontophoresis, phonophoresis, electrical stimulation, ultrasound, diathermy, and other physical agents during the first four weeks of treatment. (M=4) (C=3) [3] Passive modalities should not be used as the sole form of treatment. They may be combined with an active program which emphasizes progressive exercises. Use of thermal modalities in conjunction with physical treatment may be useful. 2.2.5.4 Frequency of treatment The total number of visits for physical treatments may be up to 12 within the first month. (M=4) (C=4) [4] 2.2.5.5 Transcutaneous Electrical Nerve Stimulation (TENS) Use is limited to 4 weeks in conjunction with other conservative measures. If no functional and symptomatic benefit has been demonstrated after two weeks, this treatment should be discontinued. (C=3) [3] 2.2.5.6 Traction Traction (either manual or mechanical) may be of benefit in the treatment of acute neck problems. (M=4) (C=4) [3] 2.2.5.7 Acupuncture Acupuncture has been reported as useful for acute pain and may be of benefit to facilitate exercises. The frequency of treatment may be up to three times per week for four weeks as long as the injured worker has documented improvement. (M=4) (C=4) [3] 2.2.5.8 Cervical Collars Collars that adequately stabilize the neck may be of benefit for up to a week for acute neck problems. Continual dependence on a cervical collar is not advisable. (M=4) (C=4) [3] 2.3 Case Management Management during the first 4 weeks of treatment will be determined by the clinician's evaluation of the injured worker's response to therapy. Generally, re-evaluation of the problem, determination of treatment effectiveness and work status should be performed every 1-2 weeks until return to modified or full work is achieved. At each visit, the initial diagnosis should be confirmed or modified and the treatment plan adjusted if necessary. If symptoms continue to increase despite adequate conservative therapy, or if there is significant disability due to pain, referral to a provider trained and experienced in the evaluation and treatment of occupational disorders is warranted in the initial treatment phase. Once the acute pain is controlled, the treatment should focus on progressive rehabilitative exercises to increase strength and endurance and activity modification. This approach minimizes the chance of recurrence once normal occupational duties are resumed. 2.4. Inappropriate Initial Treatments The following treatment methods are inappropriate as routine treatment in the initial 4 week symptom phase. 2.4.1 Bed rest (M=1) (C=1) [1] 2.4.2 Surgical treatments (M=1) (C=1) [1] Except for acute neurologic deterioration or structural disruption, surgery is unwarranted. 2.4.3 Exclusive use of passive physical modalities (M=1)(C=1)[1] 2.4.4 Biofeedback (M=1) (C=1) [1] 3.0 Secondary Assessment of Neck Injuries (from 1 - 3 months) 3.1 Purpose The purpose of reassessment is to determine the reason for delayed recovery in injured workers who remain symptomatic and have not functionally improved and returned to regular work after one month of conservative treatment. The first step of reassessment is a complete interval history and physical examination with assignment of the injured worker into one of the five clinical categories: 1) Conditions involving the bony spinovertebral axis such as cancer, infection or fracture; 2) Intraspinal pathology involving neurological conditions such as radiculopathy or myelopathy; 3) Arthritic or inflammatory conditions; 4) Mechanical conditions; or 5) Referred neck pain due to viscerogenic and/or other causes. Depending on the findings, diagnostic evaluation at this point may include spinal imaging tests, bone scan, electrophysiologic tests, lab tests, functional capacity tests, and/or ergonomic evaluation. The clinical indications for each of these diagnostic methods is given below. Physician assessment should be at least twice monthly. Results of all studies should be reviewed and reported within a week. 3.2 Appropriate Secondary Assessment Methods 3.2.1 Plain film x-rays (M=4) (C=4) [4] Clinical indications: Persistent cervical symptoms. 3.2.2 CT, MRI Clinical indications: Findings that suggest compromise of the neuraxis (radiculopathy from a herniated disc and/or spinal stenosis), or a neurologic deficit. These studies are most suitable when surgery is being considered and/or the injured worker has failed an appropriate course of treatment. (M=4) (C=4) [4] Findings are suggestive for tumor or infection, fracture or dislocation. (M=4) (C=4) [4] 3.2.3 Myelography, and CT myelography Clinical indications: Same indications as for CT/MRI, but should only be ordered in conjunction with a specialist referral. (M=4) (C=4) [4] 3.2.4 Bone scan Clinical indications: Findings on history, examination, laboratory or other imaging studies are suggestive for, but not limited to, tumor, infection, fracture, arthritis, and reflex sympathetic dystrophy. (M=4)(C=4)[4] 3.2.5 Laboratory testing Clinical indications: As deemed appropriate by the reassessment findings. (M=4) (C=4) [4] 3.2.6 Needle electromyography / nerve conduction study (EMG/NCS) Clinical indications: EMG/NCS may be helpful for evaluating suspected nerve root dysfunction, or neuropathy. (M=4) (C=4) [4] 3.2.7 Ergonomic evaluation Clinical indications: A worksite evaluation with the affected injured worker may be performed if clinically indicated. (M=4) (C=3) [3] The evaluation should be done by a professional trained in these types of evaluation. History, job description, and workplace inspection can be useful to identify physical work factors that may be contributing to the development or exacerbation of neck problems,which can prevent return to usual work. 3.2.8 Psychological Assessment Clinical indications: Focused psychological assessment may be indicated if factors (e.g., stress, job dissatisfaction, depression, substance abuse, symptom magnification) may be contributing to delayed recovery, noncompliance or lack of response to appropriate treatment in subacute and chronic neck problems. (M=4) (C=4) [4] In an injured worker manifesting signs of risk for delayed recovery, psychological assessment may be helpful for determining if significant psychological or personality factors are contributing to the injured worker's disability. The presence of several "nonorganic" physical signs may also identify injured workers who need further psychological testing and evaluation. These injured workers may need specific behavioral or psychological treatments early on. Psychological and personality evaluations may be utilized preoperatively in an injured worker who is being considered for surgical treatment to assist in selection and planning if a behavioral intervention is necessary. 3.2.9 Somatosensory evoked potentials (SEP) should only be performed after EMG and other diagnostic modalities have proven to be of no help and specific justification must be given. (M=4) (C=3) [3] 3.3 Inappropriate Secondary Assessment Methods The following methods have been determined inappropriate for secondary assessment. 3.3.1 Discography (M=1) (C=1) [1] 3.3.2 Surface EMG (M=1) (C=1) [1] 3.3.3 Diagnostic blocks and injections including facet joint injections are inappropriate at this phase of the treatment. (M=1) (C=1) [1] 3.3.4 Computerized strength and range of motion testing Computerized testing is only useful if it leads to a specific exercise program which allows measurable progress. Its routine use is not recommended. (M=1) (C=1) [1] 4.0 Secondary Treatment of Neck Injuries 4.1 Purpose The purpose of secondary treatment is to provide symptomatic relief for the injured worker with a cervical problem while continuing to intensify efforts in active treatments, such as exercise. The goal of secondary treatment is to prevent progressive deconditioning and permanent disability, while promoting return to full work for those who are either off work or on modified duty. Treatment is based on the findings of the diagnostic re-evaluation at four to six weeks. 4.2 Appropriate Secondary Treatment Methods 4.2.1 Physical treatments Treatment following the initial trial of four weeks generally should not exceed two times a week. (M=4) (C=3) [3] The continuation of treatments is based on reported improvement in subjective complaints, decreased objective factors/clinical findings, return to work, or decreased work restrictions. Active care, education and rehabilitative exercise may be indicated for strengthening of the neuromusculoskeletal structures of the neck and associated regions and for pain control. (M=4) (C=4) [4] 4.2.2 Work conditioning Work conditioning programs which include general conditioning exercises and graduated performance of simulated job tasks may be useful in preparing the injured worker to return to a specific job or in determining work restrictions. (M=4) (C=4) [4] 4.2.3 Epidural steroid injections Clinical indications: For a patient with a radicular neck problem, a trial of epidural steroid injections may be helpful for short-term pain relief and avoiding surgery. (M=4) (C=4) [3] 4.2.4 Surgical treatment methods Clinical indications: Surgical treatment may be appropriate for injured workers with radicular neck problems in the following circumstances: 1) the clinical evaluation demonstrates persistent symptoms and findings that prevent resumption of normal activities, and they are unresponsive to an appropriate six weeks of active non-surgical treatment; and 2) the diagnostic test findings objectively verify a surgically remediable condition that corresponds with the clinical exam; and 3) surgery is not contraindicated by significant physical or psychological comorbidity that might suggest a poor surgical outcome for the injured worker. (M=4) (C=4) [4] 4.2.5 Injection therapies 4.2.5.1 Trigger point injections Standard trigger point injections with saline or local anesthetic are only for occasional use, not standing alone as a sole treatment but as part of a multi-disciplinary approach. (M=4) (C=4) [3] 4.2.6 Acupuncture Acupuncture treatment is a physical treatment which may be useful following initial treatment to manage pain. Treatment may be up to 12 visits in 8 weeks as long as the injured worker is showing documented, incremental improvement. (M=4) (C=4) [3] 4.2.7 TENS Unit Use is limited to four weeks in conjunction with other conservative measures. (C=4) [3] 4.2.8 Appropriate medication as listed under 2.2.4 (M=4)(C=4) [4] 4.2.9 Biofeedback [3] 4.3 Inappropriate Secondary Treatments The following treatments have been determined as inappropriate for secondary treatment: 4.3.1 Ligamentous injections (sclerotherapy/prolotherapy) (M=1) (C=1) [1] 4.3.2 Bed rest (M=1) (C=1) [1] 4.4 Case management If the injured worker has not resumed near normal work duties after 8 weeks in the secondary treatment phase, including adherence to a graded exercise program, a referral to a physician or surgeon trained and experienced in the evaluation and treatment of occupational disorders is recommended. Consultation should include a complete evaluation and recommendations for treatment and return to appropriate work. If psychosocial issues are judged to contribute to delayed recovery or heightened disability, it may be appropriate to have a psychiatric evaluation. If the condition becomes chronic or disabling despite full conservative treatment including appropriate medical, rehabilitative, and ergonomic interventions (and surgery if indicated), the injured worker should be evaluated for permanent disability. 5.0 Tertiary Management of Neck Injuries Late rehabilitation after three months of disabling symptoms may require a multi-disciplinary approach focused on returning the injured worker to work. At this time, this guideline does not address the evaluation and management of chronic neck problems including chronic pain syndrome. 6.0 Primary References 1. Amlie E, Wever H, Holme I: Treatment of acute low-back pain with piroxicam: Results of a double-blind placebo-controlled trial. Spine 1987; 12(5):473-6. 2. Anderson R, Meeker WC, Wiriek BE, et at.: A meta-analysis of clinical trials of spinal manipulation. J Man Physiol Ther 1992;15(30):181-94. 3. Baratta RR: A double-blind study of cyclobenzaprine and placebo in the treatment of acute musculoskeletal conditions of the low back. Curr Ther Res 1982;32(5):646-52. 4. Basmajian JV: Acute back pain and spasm: A controlled multicenter trial of combined analgesic and antispasm agents. Spine 1989;14(4):438-9. 5. Bass MJ, Buck C, Turner L, et al.: The physician's actions and the outcome of illness in family practice. J Fam Pract 1986; 23(1):43-7. 6. Boden SD, Davis DO, Dina TS, et al.: Abnormal magnetic-resonance scans of the lumbar spine in asymptomatic subjects. J Bone JT Surg [Am] 1990;72(3):403- 8. 7. Boline PD, Meyer JJ: Chiropractic management of mechanical cervical spine syndrome and concomitant myofacial pain syndrome: a case study using time series descriptive design. Chiropractic Technique 1990; 2(4):176-81. 8. Boyles WF, Glassman JM, Soyka JP: Management of acute musculoskeletal conditions; thoracolumbar strain or sprain. A double-blind evaluation comparing the efficacy and safety of carisoprodol with diazepam. Today's Ther Tends 1983; 1(1):1-16. 9. Brewerton DA, Nichols PJ, Logue V, et al.: Pain in the neck and arm: a multicentre trial of the effects of physiotherapy. Brit Med J 1966;1:253-8. 10. Brooks PM, Day RD: Nonsteroidal anti-inflammatory drugs-differences and similarities. New Engl J Med 1991; 324:1716. 11. Bush C, Ditto B, Feuerstein M: A controlled evaluation of paraspinal EMG biofeedback in the treatment of chronic low back pain. Health Psychol 1985; 4(4):307-21. 12. Cassidy JD, Lopes AA, Yong-Hing K: The immediate effect of manipulation versus mobilization of pain and range of motion in the cervical spine: a randomized controlled trial. J Man Phys Ther 1992; 15(9):570-5. 13. Deyo RA, Diehl AK: Patient satisfaction with medical care for low-back pain. Spine 1986;11(1):28-30. 14. Fitz-Ritson D: The chiropractic management and rehabilitation of cervical trauma. J Man Phys Ther 1990;13(1):17-25. 15. Fowler PD: Aspirin, Paracetamol and non-steroidal anti-inflammatory drugs: A comparative review of side effects. Med Toxicol 1987; 2:338-66. 16. Garvey TA, Marks MR, Wiesel SW: A prospective, randomized, double-blind evaluation of trigger-point injection therapy for low-back pain. Spine 1989; 1499):962-4. 17. Greenfield J, Ilfeld FW: Acute cervical strain. Clin Orth Rel Res 1977; 122:196-200. 18. Haimovic IC, Beresford HR: Dexamethasone is not superior to placebo for treating lumbosacral radicular pain. Neurol 1986;36(12):1593-4. 19. Highland TR, Dreisinger TE, Vie LL, et al.: Changes in isometric strength and range of motion of the isolated cervical spine after eight weeks of clinical rehabilitation. Spine 1992;17. (6 Suppl.): 577-82. 20. Hoffman RM, Kent DL, Deyo RA: Diagnostic accuracy and clinical utility of thermography for lumbar radiculopathy. A meta analysis. Spine 1991;16(60): 623- 8. 21. Hopkinson JH, Bartlett FH, Steffens AO, et al.: Acetaminophen versus propoxyphene hydrochloride for relief of pain in episiotomy patients. J Clin Pharm 1973;13:251-63. 22. Klein R, Eek BC, DeLong WB, et al.: A randomized double-blind trial of dextrose-glycerin-phenol injections for chronic low back pain. J Spinal Dis 1992;6(1):23-33. 23. Koes BW, Bouter LM, Mameren HV, et al.: A randomised clinical trial of manual therapy and physiotherapy for persistent back and neck complaints: Subgroups analysis and relationship between outcome measures. J Man Physiol Ther 1993;(694):211-9. 24. Koes BW, Bouter LM, Mameren HV, et al.: A ramdomized clinical trial of manual therapy and physiotherapy for persistent back and neck complaints: results of one year follow up. Brit Med J 1992;304:601-5. 25. Koes BW, Bouter LM, Mameren HV, et al.: The effectiveness of manual therapy, physiotherapy and treatment by the general practitioner for nonspecific back and neck complaints. A randomized clinical trial. Spine 1992; 17(1):28-35. 26. Leggett SH, Graves JE, Pollock ML, et al.: Quantitative assessment and training of isometric cervical extension strength. Am J Sports Med 1991;19(6): 653-9. 27. Levoska S, Keinanen-Kiukaanniermi S: Active or passive physiotherapy for occupational cervicobrachial disorders' A comparison of two treatment methods with a 1 year follow-up. Arch Phys Med Rehabil 1993;74:425-30. 28. Mandell P, Lipton MH, Bernstein J, et al.: Low back pain. A historical and contemporary overview of the occupational, medical, and psychosocial issues of chronic back pain. New Jersey: SLACK, Inc., 1989. 219p. 29. Mckinney LA: Early mobilization and outcome in acute sprains of the neck. Brit Med J 1989;299:1006-8. 30. Mealy K, Brennan H, Fenelon GC: Early mobilisation of acute whiplash injuries. Brit Med J 1986;292:656-7. 31. Mills GH, Davies GK, Getty CJ, et al.: The evaluation of liquid crystal thermography in the investigation of nerve root compression due to lumbosacral lateral spinal stenosis. Spine 1986;11(5):427-32. 32. Pennie BH, Agambar LJ: Whiplash injuries. J Bone JT Surg 1990;72B(2):277-9. 33. Pollock ML, Graves JE, Bamman MM, et al.: Frequency and volume of resistance training: effect on cervical extension strength. Arch Phys Med Rehabil 1993;74:1080-6. 34. Sihvonen T, Pantanen J, Hanninen O, et al.: Electric behavior of low back muscles during lumbar pelvic rhythm in low back pain patients and healthy controls. Arch Phys Med Rehabil 1991;729130:1080-7. 35. Sloop PR, Smith DS, Goldenberg E, et al.: Manipulation for chronic neck pain: A double-blind controlled study. Spine 1982;7(6):532-5. 36. Stankovic R, Johnell O: Conservative treatment of acute low-back pain. A prospective randomized trial: McKenzie method of treatment versus patient education in "mini back school". Spine 1990;15(20120-3. 37. Taylor RS, Bonfiglio RP: Industrial rehabilitation medicine. 4. Assessment of the outcome of treatment in industrial medicine, program development, documentation, and testimony. Arch Phys Med Rehabil 1992;73:S369-73. 38. Thomas KB: General practice consultations--Is there any point in being positive' Br Med [Clin Res] 1987;294:1200-2. 39. Young A, Getty J, Jackson A, et al.: Variations in the pattern of muscle innervation by the L5 and S1 nerve roots. Spine 1983;8(6):616-24. Appendix 7.0. Description of IMC Appropriateness Levels Level 4 Level 3 Level 2 Level 1 Good Research Yes No No No Based Evidence Clinical Evidence Yes Yes Some No Consensus Of The Yes Yes Partial No Health Care Community Clinical Utility Approp- Accepta- Appropriate riate ble Of Appropriateness and or appr- in uncommon Inappropriate opria- te Level For Common recomm- in most individual cases. ended Neck cases Document the case-specific Injuries clinical factors circumstances or which make this procedure reasonable and necessary for this injured worker. Note: Authority cited: Section 139(e)(8), Labor Code. Reference: Section 139(e)(8), Labor Code. s 72. Treatment Guideline for Occupational Asthma. Note: Authority cited: Section 139(e)(8), Labor Code. Reference: Section 139(e)(8), Labor Code. s 73. Treatment Guideline for Contact Dermatitis. The method of treating contact dermatitis shall be as set forth below in the "Treatment Guideline for Contact Dermatitis" as adopted by the Industrial Medical Council on July 20, 1995. TREATMENT GUIDELINE FOR CONTACT DERMATITIS Contact dermatitis Contact dermatitis is a common problem among workers and constitutes approximately 5.7 million physician visits per year. All age groups are affected, and there is a slight female predominance as reflected in patients seen for diagnostic patch testing. The complex nature of the chemical environment (natural and synthetic) in which we live brings the skin into contact with many potential exposures which may or may not pose a hazard, depending on individual susceptibility. There are more than 100,000 chemicals in the environment today. Almost any substance can be an irritant, depending on the exposure circumstances. Further, over 2,800 substances have been alleged to be contact allergens. The potential for these substances to cause contact dermatitis varies greatly, and thus the severity of the dermatitis ranges from a mild, short-lived condition to a severe, persistent, job-threatening and sometimes life-threatening disease. Contact dermatitis is an altered state of skin reactivity induced by exposure to an external agent. Substances which produce this condition after single or multiple exposures may be irritant or allergic in nature and will often present as an inflammatory process. Direct tissue damage results from contact with irritants. Following contact with strong irritants the reaction is immediate with blistering and pain, resembling a burn. From contact with weak irritants, the reaction develops more slowly, over several days or weeks, with redness, pain and/or itching, and scaling. Tissue damage by allergic substances, however, is mediated through immunologic mechanisms; the reaction consists of redness, marked itching, slight thickening of the skin and/or small vesicles at the site(s) of contact. The generic term for both of these conditions is contact dermatitis. Tissue damage by allergic substances is mediated through immunologic mechanisms. The most common clinical expression of this induced inflammation is dermatitis (eczema). CAUTION: Exogenous dermatoses may morphologically and histologically mimic endogenous dermatoses, and vice versa, and may co-exist. Before considering a job change, or if chronicity is involved (more than 12 weeks), appropriate consultation is indicated. Scope of the guideline : This guideline deals with the assessment and treatment of contact dermatitis in working-age adults. Another contact elicited phenomenon, the contact urticaria syndrome, which in its immunologic form, has produced fatalities, is not discussed here. A physician may vary from these rules if in the judgment of the physician, variance is warranted to meet the health care needs of the patient and that variance remains within the standards of practice generally accepted by the health care community, and the physician documents the need for the variance in the evaluation report or the medical treatment record in the manner that is generally accepted by the health care community. Not every medical situation can be addressed in these regulations and medical standards change constantly. The documentation required of the physician is necessary to monitor and explain the use of variances. I. Initial Assessment A. Purpose Accurate diagnosis is the key to proper management of contact dermatitis. If the agent(s) causing the dermatitis can be found and successfully avoided, recovery can be anticipated; but if contact continues, the dermatitis may become chronic, disabling, and a serious threat to continued work and the activities of daily living. After prolonged and repeated episodes of dermatitis, a small number of individuals may not fully recover, even with adequate medical care and following avoidance of its causes. B. Appropriate assessment methods 1. History may include: a. General medical status b. Onset 1) Location 2) Symptoms -- itching, burning, sting 3) Description -- redness, blisters, scales, urtication (welts), dryness, rash 4) Home remedies used, including over-the-counter preparations. c. Progression 1) Relation between exposure and time interval of dermatitis 2) Relation to home and recreation 3) Relation to specific work activity 4) Relation to activity -- sweating, friction, pressure, heat, cold, etc. 5) Relation to sun/air exposure, season, and time of day d. Remissions 1) Relation to non-work related weekends and/or vacations 2) Response to treatment and rapidity of recurrence after discontinuing medication 3) Relation to stress and/or anxiety 4) Relation to water exposure e. Occupational history 1) Exact nature of work 2) Duration of present activity 3) Others similarly affected 4) Changes in procedure or chemical exposure 5) Protective measures -- type and effectiveness 6) Related symptomatology -- burning eyes, sneezing, wheezing, asthma, and anaphylaxis 7) Cleansing agents -- type and frequency of use 8) Hand washing frequency and agents used; protective creams -- type and use 9) Second job 10) Review of Material Safety Data Sheets in relation to patient's job 11) Moisturizers and over the counter topicals 12) Other factors f. Other exposure 1) Hobbies and non-work activities a) Gardening, house plants, lawn care, and other outdoor activities (e.g., poison ivy, oak, and sumac, chrysanthemums, primula, Peruvian lily) b) Knitting, sewing, macrame c) Painting, ceramics, jewelry d) Cooking, baking e) Wood working, carpentry, gluing f) Auto, motorcycle, truck repair g) Photography and photographic developing h) Sports i) Other 2) Animals and substances on their skin or fur a) Dogs and cats b) Birds and caged animals c) Farm animals, horses d) Other 3) Cosmetics, fragrances, and personal care products a) Soaps and detergents b) Shampoos and other scalp/hair products c) Creams and lotions d) Perfumes, colognes, deodorants e) Nail polishes, artificial nails, and nail/cuticle products f) Consort or other interpersonal contact/products g) Other 4) Household activities and products a) Dishwashing products b) Laundry detergents c) Furniture waxes, polishes, and dusting agents d) Bathroom cleaning agents e) Floor care products f) Use of gloves (type and frequency) g) Other g. Family history 1) Atopic background -- nature, prevalence and severity including relation to eczema 2) Ichthyosis, psoriasis, and hand eczema or other significant skin disorder 3) Family members with contact dermatitis a) Relationship b) Age of onset c) Type and severity of problems d) Results of therapy and/or testing procedures e) Other h. Past medical history 1) History of contact dermatitis -- nature, severity, and causative agent(s), if known 2) Previous treatment a) At onset b) Self treatment -- over the counter treatments -- relation to dermatitis c) By other physicians 3) Medications -- topical and systemic -- past and present -- relation to dermatitis as well as medication allergy 4) Other 2. Physical examination may include: a. Location 1) Symmetry 2) Involved vs. uninvolved skin a) Demarcation--sharp or unclear b) Evidence of protection by clothing c) Distribution suggestive of photo or air-borne pattern exposure (e.g., exposed or uncovered skin areas) b. Lesion type 1) Acute a) Dermatitis (eczema) b) Vesicular/bullous c) Urticarial d) Excoriations e) Crusts 2) Chronic a) Lichenification b) Pigmentary changes c) Atrophy d) Scarring e) Loss of hair c. Other 3. The patch test The patch test is the standardized diagnostic procedure of choice for allergic contact dermatitis. In general, practitioners who do such patch testing should adhere to the following guidelines when performing patch tests. It should be used only by primary care physicians with previous knowledge, training and skill in the application and interpretation of such testing. In the vast majority of cases, patients who require patch testing should be referred to a dermatologist or allergist who includes patch testing in his/her practice. a. Standardized test kits containing a number of allergens are available. In testing with substances brought from work, appropriate dilutions must be used to avoid irritant reactions which can be very severe. In general, testing with raw substances from the workplace should be done by a dermatologist or allergist experienced in patch testing. b. The most widely used patch test material consists of strips of paper tape onto which are fixed 8 mm diameter aluminum discs. A small amount of allergen is placed within these discs, discs, covering slightly more than one-half the diameter of the disc providing a dose approximately 17 ul. c. Apply the patch to the upper or mid back, which must be free of dermatitis and devoid of hair. If shaving is necessary, it should be done only with an electric razor. d. Leave the patch in place and keep dry for two days (48 hours) before removing unless symptoms of severe reaction occur. e. Read tests: 1) The same day that patches are removed from the skin, allowing 20-30 minutes for erythema to resolve before preliminary interpretation. 2) One additional reading at 72 or 96 hours, and occasionally at one week. Reading solely at 48 hours will miss up to 35% of positive reactions. 3) If two readings are impossible, a single reading three or four days (72-96 hours) after patches are initially applied. f. Grade test reactions according to intensity (International Contact Dermatitis Research Group Scale): [Color plates available] 1) 0 = no reaction. 2) ?(+ or - reaction) = weak erythema only. 3) 1+ = erythema with edema. 4) 2+ = erythema and papules. Tiny vesicles are present over the surface. 5) 3+ = vesicles or bullae. g. Interpret reactions cautiously: 1) 0 = no evidence of contact allergy. 2) ? = doubtful existence of contact allergy. 3) 1+ = possible contact allergy. (1+ is a common intensity of false positive reactions). 4) 2+ and 3+ = probably contact allergy. 5) If several questionable and 1+ reactions are present along with strong 2+ or 3+ reactions, the weaker reactions may mean that the "excited skin syndrome" is present, the weak reaction representing only irritation. 4. Additional tests of occasional value a. Skin biopsy to differentiate from other diseases. b. Open application of a suspected allergenic product to the antecubital fossa twice daily for up to one week (the PUT, Provocative Use Test or ROAT, repeat open application test). This is applicable to leave-on products intended for use on the skin, not wash-off products. c. Prick or scratch test in the evaluation of contact urticaria. Emergency resuscitation equipment should be available. Contact urticaria should first be evaluated with an open test on sites adjacent to active dermatitis. d. Chemical analysis of environmental materials to determine if they contain a substance to which the patient is patch-test positive. The most commonly employed of these is the dimethylglyoxime test for nickel. e. Potassium hydroxide (KOH) preparation, fungal and bacterial cultures and appropriate laboratory examinations as needed. C. Inappropriate initial assessment methods 1. Occlusive patch test with irritant concentrations of material or material where the irritant concentration is unknown. 2. A specific IgE (RAST) test is not helpful in the diagnosis of contact dermatitis (with the exception of contact urticaria when prick or scratch tests may be hazardous). 3. Sublingual allergen application with vital sign monitoring as an indicator of adverse reactions. D. Evolving diagnostic tests In vitro lymphocyte stimulation tests, migration inhibition factor, and other laboratory tests of lymphokine production remain investigational tools which at present are insufficiently standardized to allow clinical application. II. Initial Treatment A. Purpose The purpose of initial treatment is to prevent further exposure to the causative agent(s) and control itching and/or edema. B. Appropriate initial treatment methods 1. Topical treatment Topical treatment alone may be indicated for mild cases of contact dermatitis, limited site of involvement, acute contact dermatitis when the offending agent has been removed, or chronic contact dermatitis with limited symptoms. Topical therapy most commonly used includes but is not limited to: a. Cool compresses with saline, water, milk, aluminum subacetate, or other agents for acute, blistering dermatitis b. Shake lotions, such as calamine c. Topical corticosteroid cream, ointment, lotion, gel, or spray d. Colloidal oatmeal baths e. Antibiotic treatment, if required, should be systemic only (Many antibiotic creams and ointments are sensitizing.) f. Coal tar in low concentration (in chronic eruptions) g. Emollients, lubricants, moisturizers (in chronic eruptions) and for prevention of irritation h. Non-alkaline cleansers instead of soap 2. Systemic treatment Systemic treatment may be indicated for control of itching and/or edema even in cases of limited extent. Systemic treatment may also be indicated for moderate to severe acute and/or chronic contact dermatitis. Systemic therapy most commonly used includes but is not limited to: a. Antihistamine -- sedative types for nighttime sedation; non-sedating types for daytime use. b. Corticosteroids, oral or intramuscular (Intravenous corticosteroids may be useful in severe acute cases) c. Antibiotics, oral or parenteral (when secondary infection may be present) d. Other anti-inflammatory or immunologic agents 3. Other a. Ultraviolet B radiation (used only for chronic, resistant dermatitis, with treatment supervised by a dermatologist) b. Psoralen (topical or oral) and ultraviolet A radiation, supervised only by a dermatologist c. Mechanical protection against allergens and irritants (e.g., gloves, protective clothing, protective barrier creams) d. Removal or avoidance of causal allergens and/or irritants 4. Education Patient education about the nature of the dermatitis, triggering allergen or irritant factors, and suggestions for avoidance or substitution of these factors in the patient's environment may be helpful in management. Discussion should include proper selection and wearing of gloves and other protective clothing, personal cleanliness, use of hand creams, avoidance of home irritants, especially soaps, shampoos, solvents, etc. III. Secondary Assessment (Reassessment at One to Three Months) A. Purpose It is critical to obtain specialized consultation and possibly a complete diagnostic patch testing and possibly immediate type testing before considering a worker as being unfit for work for dermatologic reasons. For a simple case of irritant contact dermatitis, if there is no improvement after 2-3 weeks of treatment, and especially if the condition is becoming worse, referral to a dermatologist should be made. Referral should be made immediately, however, if there is uncertainty regarding the diagnosis. B. Appropriate secondary assessment methods In unclear diagnoses, other lab tests including KOH preparation, microbial cultures, and biopsy should be considered. IV. Secondary Treatment A. Purpose In unusual cases, specialized nonspecific therapies may be helpful. Consultation should be sought before initiating this. B. Appropriate secondary treatment methods This includes localized or systemic PUVA (Psoralen UVA). V. Prevention A. Purpose Minimizing exposure to allergens is essential. B. Appropriate preventive measures 1. Appropriate engineering steps to enclose the chemical and/or physical exposure 2. Appropriate hygiene including: a. Change of clothing b. Protective clothing c. Appropriate gloves 3. Appropriate dermatotoxicologic consultation to identify an alternative process or chemical to substitute for the agent causing a documented allergic contact dermatitis. 4. Appropriate skin care with the least irritating and sensitizing cleansing agents and moisturizers VI. Primary References 1. Adams, R.M., M.D., Occupational Skin Disease, 2nd Ed., W.B. Saunders, Philadelphia, 1990. 2. Cronin, E., FRCP, Contact Dermatitis, Churchill Livingstone, New York, 1980. 3. Office of Disease Prevention and Health Promotion, U.S. Public Health Service, Disease Prevention/Health Promotion: The Facts, Bull Publishing Co., Palo Alto 1988. 4. Fisher, A.A., Contact Dermatitis, 3rd Ed., Lea & Febiger, Philadelphia, 1986. 5. Foussereau, J., Benezra, C., Maibach, H. Occupational Contact Dermatitis: Clinical and Chemical Aspects, 1982, Munskgaard, Copenhagen and W.B. Saunders Co., Philadelphia, 1982. 6. Funk, J.O., Maibach, H.I., Horizons in Pharmacologic Intervention in Allergic Contact Dermatitis, Journal American Academy of Dermatology, 1994; 31(No. 6):999-1014. 7. Larsen, W.G., Adams, R.A., Maibach, H.I., Color Text of Contact Dermatitis. W.B. Saunders Co., Philadelphia, 1992. 8. Menne, T., M.D., Maibach, H.I., M.D., Exogenous Dermatoses: Environmental Dermatitis, CRC Press, Inc., Boca Raton, Fl. 1990. 9. Maibach, H.I., Occupational and Industrial Dermatology, 2nd Ed., Year Book Medical Publishers, Inc., Chicago, 1987. 10. Marzulli, F.N., Maibach, H.I., Dermatotoxicology 4th Ed., Hemisphere Publishing Corp. New York, 1991. 11. Melmstrom, G, Wahlberg, H, Maibach, H.I., Protective Gloves for Occupational Use, CRC Press, Boca Raton, FL, 1994. (ISBN 0-8493-7359-X) 12. Menne, T, Maibach, H.I, Hand Eczema, CRC Press, Boca Raton, FL, 1994. (ISBN 0-8493-7355-7) 13. Rycroft, R.J.G., Menne, T., Frosch, P.J., Benezra, C., Textbook of Contact Dermatitis. Springer, New York, 1992. Note: Authority cited: Section 139(e)(8), Labor Code. Reference: Section 139(e)(8), Labor Code. s 74. Treatment Guideline for Post-Traumatic Stress Disorder. The method for treating post-traumatic stress disorder shall be as set forth below in the "Treatment Guideline for Post-Traumatic Stress Disorder" as adopted by the Industrial Medical Council on December 17, 1996. TREATMENT GUIDELINE FOR POST-TRAUMATIC STRESS DISORDER I. Introduction: The Industrial Medical Council and supporting advisory committees were established in 1989 as part of workers' compensation reform. The Psychiatric Advisory Committee followed a legislative mandate to revise the disability evaluation protocols for psychiatric injury which were accepted into law by the Office of Administrative Law on December 7, 1993. The legislature also mandated the IMC to develop guidelines for common industrial injuries. Violent encounters and exposure to life threatening events are common occurrences in the workers' compensation system. According to the Bureau of Labor Statistics for the calendar year 1992, 1,004 homicides took place at the work site and 22, 400 attacks occurred in the national workforce. The IMC and the Psychiatric Advisory Committee have thus selected post-traumatic stress disorder (PTSD) as the focus for establishment of treatment guidelines. The California legislature made subsequent changes to the workers' compensation system including a higher threshold of compensability for psychiatric injuries. For injuries that occur after July 17, 1993, an injured worker must prove that the "actual events of employment" were the "predominant cause" (at least 51%) among all of the combined causes of the psychiatric injury. However, if the psychiatric injury results from a violent act, or from direct exposure to a significant violent act, the actual events of employment must have been a "substantial cause" (at least 35%) of the injury (Lab. Code s 3208.3). The Psychiatric Advisory Committee, composed of psychiatrists and psychologists from different geographic locations in California, developed these guidelines following committee deliberations, a review of the clinical literature of PATS, and input from national experts. Scope of this guideline : This guideline does not deal with legal issue of causation or work-relatedness. Treatment guidelines are designed to assist providers by providing an analytical framework for the evaluation and treatment of the more common problems of injured workers. The guidelines are intended to assure appropriate and necessary care for injured workers diagnosed in these types of industrial conditions. Due to the many factors which must be considered when providing quality care, health providers shall not be expected to always provide care within the stated guidelines. Treatment authorization, or payment for treatment, shall not be denied based solely on a health care provider's failure to adhere to the IMC guideline. The guidelines are not intended to be the basis for the imposition of civil liability or professional sanctions. They are not intended to either replace a treating provider's clinical judgment or to establish a protocol for all injured workers with a particular condition. It is understood that some injured workers will not fit the clinical conditions contemplated by a guideline. All health care providers acting within the scope of their practice, including those to whom an injured worker has been referred or whose treatment has been prescribed by a treating physician, shall be allowed to bill and be reimbursed in accordance with the Official Medical Fee Schedule. A provider may vary from these guidelines, if in his or her judgment, variance is warranted to meet the health care needs of the injured worker and that variance remains within the standards of practice generally accepted by the health care community, and the provider documents the need for the variance in the evaluation report or the medical treatment record in the manner that is generally accepted by the health care community. Not every medical situation can be addressed in these regulations and medical standards change constantly. The documentation required of the physician is necessary to monitor and explain the use of variances. The physician may wish to advise the parties of the availability of the Cal/OSHA guidelines for workplace security from the Division of Occupational Safety and Health. II. Background on the Concept of Post-Traumatic Stress Disorder (PTSD): The diagnosis of post-traumatic stress disorder was first established in the Diagnostic & Statistical Manual, 3rd Edition (DSM-III) by the American Psychiatric Association in 1980. The earlier DSM-I (1952) listed a diagnostic category entitled stressors resulted in a state of fearfulness. More recently DSM-IV (1994) has added the category called Acute Stress Disorder for individuals who experience a brief episode of symptoms that resemble those that occur in PTSD following exposure to an extreme stressor. The medical literature details the phenomenon of post-traumatic stress disorder dating back well before this century. DaCosta published a paper in the " American Journal of Medical Science" (1871) regarding "irritable heart" found in Civil War soldiers who complained of chest pain, palpitations and dizziness subsequent to exposure to battle scenes. "Shell shock" is a concept that came forth in the medical literature that relates to the description of front line soldiers' emotional states during World War I. In World War II a number of papers were published concerning the concept of "traumatic neurosis" again addressing the emotional response on the part of soldiers to witnessing and experiencing serious trauma. Over the past two decades, numerous publications have described similar post-traumatic stress reactions among civilians exposed to catastrophic violence, disaster and traumatic injury. This literature has also documented that the witnessing of life threat, injury or traumatic death to another may result in the full spectrum of post-traumatic symptoms. The anxious response in patients diagnosed as having PTSD may well relate to increased catecholamine excretion. Studies of Vietnam veterans have found increased levels of noradrenergic metabolites compared to the normal population. Psychological theories point toward the breakdown of the individual's normal defenses such as the use of denial in coping with anxiety related to one's own mortality. Mardi Horowitz (1986) described several stages that patients experience in treatment for PTSD including the traumatic event, outcry, denial, intrusive symptoms, working through and completion. Research involving psychological and biological factors is consistent with PTSD as a separate and distinct disorder from patients with a clinical depressions. It should be noted that not all those exposed to serious trauma develop symptoms of PTSD. Not all those diagnosed with PTSD go on to become disabled. Symptomatology should not be equated with functional impairment. The lifetime prevalence of PTSD is somewhere between 1.3 to 9% of the general population (Breslau, 1991) and 15% in psychiatric inpatients (Saxe, 1993). The majority of victims of the Buffalo Creek Flood and the Coconut Grove Fire were noted to have post-traumatic symptomatology. Fifteen percent of Vietnam Theater veterans twenty years after the war were diagnosed with PTSD according to the National Vietnam Veterans Readjustment Study (1990). Thus, the diagnosis is by no means uncommon. Studies to date indicate that the severity of exposure to direct life-threat and the witnessing of mutilating injury or death is strongly positively associated with severity of post-traumatic stress reaction. PTSD varies with type, intensity and duration of trauma. III. Diagnosis: Post-traumatic stress disorder and acute stress disorder fall within the anxiety disorders category according to the current Diagnostic and Statistical Manual (DSM-IV). [FN1] Certain criteria must be met for the diagnosis of PTSD to be made. It is essential that the individual experience, witness or be confronted by an event(s) that involve actual or threatened death, serious injury or threat to the physical integrity of oneself or others. The individual must respond by experiencing intense fear, helplessness or horror. There are three symptom categories of PTSD: reexperiencing, avoidance and arousal. The individual goes on to reexperience the event through such things as intrusive recollections and disturbing dreams. Prominent symptoms include avoidance and numbing. Increased arousal is manifest through disturbance of sleep, hypervigilance, exaggerated startle responses and other symptoms. For acute stress disorder the disturbance lasts at least two days and for a maximum of four weeks whereas for PTSD the diagnosis can be made where symptoms are present for more than one month. The disorder causes distress or impairment in social, occupational or other areas of functioning. If the duration of symptoms is less than three months the condition is deemed acute. If three months or longer, then the descriptor of chronic is appropriate. Delayed onset PTSD occurs when symptoms make their appearance six months or longer after the recognizable stressor. Examples of traumatic exposures provided in DSM-IV include but are not limited to exposure to combat, violent personal assault, kidnapping, hostage situations, terrorist attacks, torture, concentration camp incarceration, disaster situations, severe automobile accidents or diagnosis with a life-threatening illness. It should be noted that the stressors can be sudden, circumscribed and singular or they may be cumulative and repetitive. Either an individual can be responding to a single hold-up or a series of bank robberies, for example. Natural as well as man-made and intentional trauma can result in features of PTSD. Guilt amongst survivors of serious trauma situations may be a predominant theme. A pre-existing psychiatric disorder or a history of significant trauma, whether related to the current event or not, has been associated with risk of a more severe reaction to a current traumatic exposure. There is some debate about the extent to which PTSD symptoms overlap with those of depression, substance abuse and other anxiety disorders, which commonly occur with it. There is also some controversy about the type of traumatic events and required levels of intensity that qualify for meeting the diagnostic criteria. The change in the stressor criterion from DSM-III-R to DSM-IV was prompted by the recognition that many extremely traumatic experiences are common enough among the general population not to be deemed "outside the range of usual human experience." The stressor criterion now includes meeting criteria for both objective features, e.g., life-threat or witnessing injury, and subjective features, e.g. horror, terror, intense fear or helplessness. Whereas the inclusion of subjective reactions may appear to some clinicians to broaden the potential range of events that may qualify for the diagnosis, the objective features do not differ from those mentioned in DSM-III-R. Some clinicians may use diagnostic terms such as a typical PTSD or diagnose PTSD when only secondary symptomatic criteria are met without the initial stressor criteria. Some clinicians make reference to a psychologically "toxic work environment" as sufficient for the diagnosis for PTSD. There are also instances in which corroboration cannot be consistent with malingered or factitious presentations. Where all of the criteria are not met for PTSD or acute stress disorder, the differential diagnosis should include other considerations such as an adjustment disorder, other anxiety disorders, mood disorders, personality disorders, and even psychotic decompensation with this listing not being all-inclusive. In order to make a correct psychiatric diagnosis treating and evaluating clinicians need to take a thorough history, review all appropriate medical and administrative records, and consider other sources of corroborating data. In making an assessment of whether a patient meets the criteria for PTSD, inquiry should be made about the objective features of the referent traumatic event. The patient's subjective experience should be ascertained in such detail as to determine the patient's appraisal of the threat(s) and severity of subjective reactions. Just as in the assessment of other psychiatric disability situations, there is an appropriate role for psychometric testing that can add additional data concerning the veracity of the applicant's reporting, the severity of symptomatology experienced and the style of coping for that individual. IV. Treatment Considerations: Most clinicians and researchers agree that early intervention is called for in cases of acute stress disorder and in cases of post-traumatic stress disorder when later identified. Critical incident stress debriefing at times can be brought about at the worksite, allowing employees to discuss their joint experience of a workplace trauma such as a bank robbery. This type of group intervention can provide psychoeducation and reassurance about the range of normal expected reactions to serious traumatic situations. It also gives clinicians the opportunity to suggest ways of coping with secondary stresses, traumatic reminders and losses. It must be kept in mind that a group of employees may have a wide range of exposures to the same incident. For those employees with the most severe levels exposure, critical incident debriefing alone is likely to be insufficient. In the aftermath, individuals with more serious symptoms or those at greater risk need to be identified and provided with further symptomatic assessment and intervention. A. There are different models of psychotherapy for PTSD that are appropriate. Some take a supportive approach that is consoling. Others use a group approach allowing patients to develop a shared experience. Some clinicians use short-term individual treatment such as that developed by Horowitz and Marmar at UC San Francisco, or short-term group psychotherapy. Additional approaches involve a more long-term working through of the trauma. Recovery from PTSD may have a phasic course, in part, due to expected traumatic reminders such as physical rehabilitation, criminal proceedings, return to the worksite where violence or disaster occurred, and anniversary reactions, as well as unexpected reminders. Short-term psychotherapy, therefore, may need augmentation by periodic follow-up brief psychotherapy sessions in preparation for, during and after such occasions. Treatment should be targeted and focused on symptom removal rather than on uncovering pre-existing psychopathology and addressing personality change. Cognitive behavioral therapy employing exposure-related techniques to address painful memories of the original experience can be very effective in reducing the fear that often times accompanies the PTSD syndrome. Cognitive approaches may also be used to restructure the meaning attributed to the experience. These techniques can utilize the therapeutic assignments outside the office. In vivo exposure at the work site following discussion in the therapy setting can also be a powerful adjunct to treatment. More general behavioral interventions can also be useful, for example, the use of relaxation techniques to reduce reactivity to trauma-related cues or reminders, desensitization for phobic symptoms, and sleep induction. B. Psychotropic medication is a common component of treatment. Anti-anxiety medication, especially for acute stress disorder, and tricyclic antidepressants have been shown to assist with sleep induction and can suppress the REM component of sleep in which disturbing dreams can come forth. Imipramine can reduce intrusive symptomatology through action on noradrogernic receptor sites in the brain. Amitriptyline and selective serotonin re-uptake inhibitors (SSRI's) such as fluoxetine can reduce numbing and hyperarousal through serotonergic sites. The SSRI's tend to be well tolerated. There is also a rationale for other types of antidepressants such as the MAO inhibitors, mood stabilizing agents such as lithium and valproic acid, adrenergic blockers such as propanolol and clonidine, antipsychotic agents for agitation and paranoia, as well as other psychotropics depending on the severity of symptoms and their duration. The Advisory Committee recommends treatment be placed into three categories for establishing treatment based upon DSM-IV criteria. Certain general treatment principles apply. Early clinical intervention soon after the identified workplace trauma can reduce morbidity and disability. An increased frequency in sessions beyond weekly on a short term basis can be appropriate, particularly, early in treatment. Treatment may be appropriate and necessary that exceeds the following guidelines when complicating factors influencing the frequency and duration of treatment are present and documented. There are cases where maintenance treatment may be necessary, especially utilizing supportive psychotherapy and psychopharmacologic approaches for individuals who have experienced extreme trauma and/or present with ongoing symptoms that justify such measures. Psychopharmacologic management visits can be separate from the psychotherapeutic sessions and should not reduce the total number of psychotherapy sessions made available to PTSD patients. 1) Acute Stress Disorder. This condition is present when symptoms have a duration of up to one month subsequent to the traumatic event. The treatment should involve a brief psychoeducational approach lasting one to eight psychotherapy sessions. Positive outcome expectations should be fostered. The patient should be assured that his/her responses are a normal reaction and that they usually disappear in a short time. The use of illicit substances or alcohol as a means of coping should be discouraged. Psychotropic medication is generally restricted to the occasional use of anxiolytics, antidepressants, or hypnotics to assist sleep. The major goals of this treatment approach are normalization, positive expectation, catharsis and desensitization. 2) Acute PTSD. The duration of symptoms is from one to three months subsequent to the industrial trauma. Typically for this type of case where the individual responds to a recognizable stressor, short-term psychotherapeutic treatment, which may be accompanied by the use of medication, is provided for approximately 12 to 16 psychotherapy sessions. 3) Chronic or Delayed PTSD. (The committee suggests that this category be considered for cases of complicated or protracted PTSD.) The duration of symptoms is beyond a period of three months following the trauma. Persistent and significant symptomatology may continue in certain individuals who have received short-term treatment. Complicating factors may include the nature of the initial stressor, prior psychiatric treatment or prior history of trauma/abuse. In such instances treatment beyond the short-term intervention model is appropriate and necessary. Treatment may require 35 to 55 psychotherapy sessions in such instances with justification by the treating clinician. (More frequent therapy and the ongoing use of medication may be warranted.) There are cases where additional treatment may be necessary beyond a period of one year. When treatment is to extend beyond a period of one year, justification by the treating clinician is warranted. Reevaluations by non-treating clinicians at periodic intervals to address the efficacy of treatment can be useful. An opinion from a psychiatrist or psychologist is necessary to amend or discontinue treatment. That opinion must be based upon medical evidence in the case being reviewed. Factors influencing the frequency and duration of treatment in complicated PTSD. Risk factors which may complicate treatment and the course of the clinical presentation include: a childhood history of trauma, poor social supports, a history of alcohol and drug abuse, lasting physical injury, and disruption of marital and family functioning. As noted above, a history of prior psychiatric treatment can complicate the treatment for the more recent traumatic event. Furthermore, a co-morbid diagnosis with an additional psychiatric condition such as a major depression or a psychotic disorder can add to the complexity and prolong the course of treatment. Personality disorders can also result in resistance to treatment requiring more skill on the part of the treating clinician and at times more treatment resources. Some of the types of maladaptive traits that are intensified by traumatic exposure include paranoia, dependency and avoidance. While treatment for a pre-existing personality disorder or other pre-existing psychiatric condition may not be caused by the traumatic event, complicating maladaptive traits or symptoms may need to be recognized and treated to the extent necessary to provide maximum PTSD treatment efficacy. The influence of legal and administrative factors is significant for injured workers within the workers' compensation system. Symptom prolongation can come about as the result of an inability to resolve the applicant's claim, thus drawing out the need for supportive psychotherapy or counseling. Symptom exacerbation can also occur as a result of repeated examinations, depositions, and court testimony, at times related to other legal matters such as criminal proceedings. In extreme cases patients may present with concomitant syndromes such as major depression which can require inpatient treatment. While acknowledging complicating factors that can prolong treatment and disability, clinicians should be mindful for the potential for secondary gain. Reducing symptomatology, improving functional ability and returning the injured worker to the work force should be the achievable goal of treatment in most cases. V. Clinical Interventions/Recommendations Beyond Treatment: While not under the rubric of clinical treatment, other types of interventions can be extremely helpful in assisting the employee to return to a more functional status and ultimately to some type of employment whether with the employer of record or at an alternative worksite. In some cases of PTSD, treating or clinicians will issue recommendations for measures in addition to treatment. These include recommendations for accommodations at the worksite. For example, a bank teller may have to be taken off the teller line following a bank robbery for a period of time. Certain individuals can be accommodated by being placed in positions where they do not handle money subsequent to a robbery event. Clinicians may recommend improving security measures at the worksite. The treating doctor may indicate that it is appropriate for his/her patient to take a self-defense class as a means of empowering the individual in addition to teaching the person how to protect himself or herself in a potential similar situation in the future. Also during the treatment phase a treating doctor may collaborate with the vocational counselor about the worker taking incremental steps toward venturing out into the public, taking on the challenge of retraining or returning to the work site. Where appropriate the employer can facilitate the early return to work by the incremental resumption of duties, e. g. part time employment . Success in regard to the goals of returning the employee to work and increasing functionality can actually reduce the duration of treatment and at times the level of permanent disability. __________ 1 Diagnostic and Statistical Manual of Mental Disorders, Fourth Edition. Washington, D.C., American Psychiatric Press (Task Force on DSM-IV, A. Francis, chairperson), 1994. Note: Authority cited: Section 139(e)(8), Labor Code. Reference: Section 139 and 139.2, Labor Code. s 75. Treatment Guidelines for Shoulder Problems. The method of treating industrial injury to the shoulder shall be as set forth below in the "Treatment Guideline for Shoulder Problems" as adopted by the Industrial Medical Council on May 15, 1997. SHOULDER PROBLEMS Introduction Shoulder problems are common among workers. The overall goals of the management of shoulder problems in workers is to identify and correct both environmental and personal factors that may be causing or aggravating the problem, while providing appropriate management of disability so that it leads to a return to productive work. Scope of the Guideline This guideline deals with the assessment and treatment of work-related shoulder problems, including tendinitis, bursitis, impingement syndrome, rotator cuff deficits, muscle injuries affecting the shoulder girdle, shoulder instability (including labral damage and acromioclavicular (AC) separation) and pectoral girdle nerve syndrome. Initial assessment to rule out serious shoulder problems is discussed, but definite diagnosis and treatment of serious disorders is beyond the scope of this guideline. This guideline does not deal with issues of legal causation or work-relatedness. Treatment guidelines are designed to assist providers by providing an analytical framework for the evaluation and treatment of the more common problems of injured workers. These guidelines are educational and descriptive of generally accepted parameters for the assessment and treatment of shoulder injuries. The guidelines are intended to assure appropriate and necessary care for injured workers diagnosed with these types of industrial conditions. Due to the many factors which must be considered when providing quality care, health providers shall not be expected to always provide care within the stated guidelines. Treatment authorization, or payment for treatment, shall not be denied based solely on a health care provider's failure to adhere to the IMC guideline. The guidelines are not intended to be the basis for the imposition of civil liability or professional sanctions. They are not intended to either replace a treating provider's clinical judgment or to establish a protocol for all injured workers with a particular condition. It is understood that some injured workers will not fit the clinical conditions contemplated by a guideline. Symptom duration is defined as acute (< one month), subacute (one-three months) and chronic (> three months). For the purpose of this document, a provider is defined as any health care provider acting within the scope of his/her practice, including those to whom an injured worker has been referred or whose treatment has been prescribed by a treating physician. All health care providers acting within the scope of their practice, including those to whom an injured worker has been referred or whose treatment has been prescribed by a treating physician, shall be allowed to bill and be reimbursed in accordance with usual practices. A provider may vary from these guidelines, if in his or her judgment, variance is warranted to meet the health care needs of the injured worker and that variance remains within the standards of practice generally accepted by the health care community, and the provider documents the need for the variance in the evaluation report or the medical treatment record in the manner that is generally accepted by the health care community. Not every medical situation can be addressed in these regulations and medical standards change constantly. The documentation required of the provider is necessary to monitor and explain the use of variances. In all cases, the provider shall document no later than 6 months from the date of injury, whether further treatment is warranted and whether the injured worker has significant subjective and objective evidence of the condition not having plateaued. 1.0 Initial Assessment (First Month) 1.1 Purpose The purpose of the initial assessment is to differentiate occupational shoulder disorders secondary to chronic fatigue of neck and shoulder muscles from the specific overuse phenomena, such as tendinitis. It should also be noted that pain complaints in the neck, chest, cardiovascular system, liver, gallbladder or upper thoracic spine are frequently referred to the shoulder. Conditions considered in this guideline include, but are not limited to, the following examples: Sudden overload of a muscle tendon unit can create ruptures of various muscles about the shoulder. This is a relatively uncommon problem but disabling for varying periods when it occurs. The injury is usually defined within the first several days, largely based on physical examination. Instability of the shoulder may be associated with weakness and limited function. Specific definition of the problem, with early decision as to whether surgical reconstruction or specific rehabilitation is necessary, will hasten the return to normal function. The phrase "impingement syndrome" at times may replace less specific diagnoses such as bursitis or tendinitis. 1.2 Appropriate assessment methods 1.2.1 History and physical exam The history focuses on the nature of the injury, and the duration of the shoulder complaint. The work history may include awkward postures and/or a prolonged duration of similar work postures. Ask about a history of previous or contralateral shoulder problems. With pain complaint on the part of an individual claiming work injury, clear definition of the source of the injury should be made. Shoulder problems related to impingement syndrome, tendinitis and rotator cuff tears are usually the result of chronic overload over a long period of time yet they may occur on the basis of a single event. People with impingement syndrome will often complain of pain while sleeping on the affected side and inability to complete simple tasks. Visual inspection, range of motion, comparing the contralateral side, a manual test for shoulder strength, and palpation for joint tenderness or a possible defect should be performed on all injured workers. Musculotendinous injuries may be suspected by a history of weakness, joint tenderness and a palpable defect. Shoulder instability is often quite difficult to diagnose. Posterior subluxation of up to 50% and anterior subluxation of up to 33% may be a normal finding under general anesthesia. The tests to define instability include: apprehension tests drawer signs provocative tests such as the Sulcus sign, which is elicited by pulling downward the arm held at the side and noting the subacromial skin indentation. The impingement syndrome can be diagnosed by physical examination. Examination will often demonstrate an area of tenderness. This is especially noted when the arm is in 10 degrees of extension and internal rotation. This particular location allows the tuberosities to be palpable. Range of motion may be limited particularly in internal rotation and cross-body adduction. Passive motion through a 60 to 90 degree arc of flexion may be associated with crepitus as well as pain. Active elevation of the arm is usually more uncomfortable than passive elevation. 1.2.2 X-rays X-rays may be done on the initial medical evaluation if there is a specific history of injury, and/or the examining physician determines that x-rays are clinically necessary. (Mail Survey=4) (Consensus Panel=) [4] X-rays may suggest a history of instability. Plain x-rays may document an impression fracture in the posterior superior aspect of the humeral head (Hill-Sachs lesion). Stress x-rays may be useful to document occult instability. In individuals with impingement syndrome, plain x-rays which focus at the anterior acromion may note sclerosis and, in specific views such as the anterior scapula view, an increased "hooking" of the acromion. 1.2.3 Injections with local anesthetic to clarify or differentiate the diagnosis.(M=3) (C=4) [3] 1.3 Inappropriate initial assessment methods 1.3.1 Arthrography Plain arthrography for the evaluation of shoulder instability is inappropriate. CT/arthrography can be considered. [1] Plain arthrography may be appropriate for the evaluation of acute rotator cuff tears when the patient cannot undergo MRI. (M=1) (C=) [1] 1.3.2 Arthroscopy Arthroscopy is not routinely necessary for the detection of instability or rotator cuff status. (M=1)(C=)[1] 1.3.3 Specialized imaging tests Routine use of specialized imaging tests is not indicated. (M=1) (C=) [1] Chronic degenerative changes occur in the older age group in high frequency. Findings of degenerative changes on an imaging study may be incidental and not the reason for the injured worker's complaints. 2.0 Initial Treatment 2.1 Purpose The purpose of the initial treatment is to allow the injured worker to resume activities as soon as possible while not aggravating the shoulder symptoms. 2.2 Appropriate initial treatment methods 2.2.1 Education Appropriate education includes shoulder anatomy and the role of muscle weakness and fatigue in pain complaints. (M=4) (C=) [4] 2.2.2 Activity and environmental modifications Ergonomic modifications and changes of position are appropriate if possible and practical. (M=4)(C=)[4] Various EMG studies have documented a reduced muscle activity with ergonomic modification. Job modifications to avoid work activities such as overhead manual labor should be considered, especially for workers with repetitive-type injuries 2.2.3 Immobilization Primary shoulder dislocations, once relocated, should be treated immediately with immobilization for up to three to four weeks. (M=4) (C=4) [4] 2.2.4 Exercise 2.2.4.1 For occupational shoulder disorders, a strengthening and/or stretching program may be appropriate. 2.2.4.2 For individuals with shoulder instability, exercise programs to strengthen the muscles should be undertaken. (M=4) (C=) [4] Efficacy of various strengthening programs has not been documented by comparative studies except for cases of traumatic and non-traumatic subluxation. 2.2.4.3 For individuals with impingement syndrome, initial treatment should be in the form of isometric and/or resistive exercises (if tolerated by the injured worker), as well as mobilization exercises to the involved shoulder, focusing upon those muscles controlling the rotator cuff. (M=4) [4] 2.2.5 Medications (M=4) (C=) [3] Anti-inflammatory and pain medication may be indicated for shoulder injuries. Opioids may be necessary if the pain is refractory to treatment with non-opioid analgesics.(M=3)(C=4)[3] 2.2.6 Physical treatments Appropriate manual therapies include manipulation,or joint and soft tissue mobilization, supplemented by physical modalities and exercise. (M=4) (C=) [4] 2.2.7 Use of thermal modalities in conjunction with physical treatment may be useful. 2.2.8 Injections For impingement syndrome, bursitis and tendinitis specific local steroid injections (M=4) (C=4) [4] 2.2.9 Acupuncture (M=4) (C=2) [2] 2.2.10 Surgery Ruptures of major tendons should have surgical consideration for primary as should a significant tear of the rotator cuff or AC dislocation. (M=4) (C=) [4] 2.2.11 Shoulder girdle trigger point injections for specific indications may be useful, and, if so, should be for a trial of up to 3 sessions. (M=)(C=)[2] 2.3 Inappropriate initial treatments 2.3.1 Surgical treatments for tendinitis, bursitis, acromial clavicular subluxation (M=1) (C=) [1] 2.3.2 Proximal biceps ruptures often need not be repaired surgically. Function is often just as good with or without repair.M=1)(C=)[1] 2.3.3 Total immobilization after 1 week is inappropriate for most shoulder injuries. (M=1) (C=) [1] 2.3.4 Steroids for shoulder instability (M=1) (C=) [1] 2.3.5 Arthroscopic stabilization of the shoulder has not been confirmed to give greater stability than open shoulder stabilization surgery.(M=1)(C=)[1] 2.3.6 Trigger point injections unless a specific rationale can be presented. (M=1) (C=) [1] 2.4 Case management Management during the first 4 weeks of treatment will be determined by the clinician's evaluation of the injured worker's response to therapy. Generally, re-evaluation of the problem, determination of treatment effectiveness and work status should be performed every 1-2 weeks until return to modified or full work is achieved. At each visit, the initial diagnosis should be confirmed or modified and the treatment plan adjusted if necessary. If symptoms continue to increase despite adequate conservative therapy, or if there is significant disability due to pain, referral to a provider trained and experienced in the evaluation and treatment of occupational disorders is warranted in the initial treatment phase. Once the acute pain is controlled, the treatment should focus on progressive rehabilitative exercises to increase strength and endurance, and activity modification. This approach minimizes the chance of recurrence once normal occupational duties are resumed. 3.0 Secondary Assessment (after first month) 3.1 Purpose The purpose of reassessment is to determine the reason for delayed recovery in injured workers who have not experienced functional improvement after appropriate initial treatment. 3.2 Appropriate secondary assessment methods (for clinical indications as noted) 3.2.1 Objective testing (strength and range of motion) of status of rehabilitation may be indicated for individuals with findings of impingement syndrome. (M=4) (C=) [4] 3.2.2 Injections with local anesthetic to clarify pain issues (M =4) (C=) [4] 3.2.3 Specialized imaging tests A shoulder arthrogram may be useful when an MRI is inconclusive or contraindicated. (M=4) (C=) [3] 3.2.4 If an arthrogram is contraindicated, an MRI may be appropriate. (M=4) (C=) [4] 3.2.5 Ergonomic evaluation may be indicated if findings suggest that physical work factors may be contributing to delayed recovery or frequent exacerbation of the patient's condition. (M=4) (C=) [4] 3.3 Inappropriate secondary assessment methods 3.3.1 Psychological evaluation (M=1) (C=) [1] 4.0 Secondary Treatment 4.1 Purpose The purpose of secondary treatment is to cure or relieve the effects of the injury of the worker who remains refractory to primary treatment efforts. 4.2 Appropriate secondary treatment methods (for the specific clinical indications as noted) 4.2.1 Progressive active strengthening and stretching programs with documentation of functional progress. (M=4) (C=) [4] 4.2.2 Up to a maximum of three steroid injections into the subacromial space for individuals with the diagnosis of impingement. (M=4) (C=) [4] 4.2.3 Manual medicine techniques Manipulation/mobilization and myofascial release may be appropriate if subjective and objective evidence of improvement can be documented on a monthly basis. (M=4) (C=) [4] 4.2.4 Surgical treatment methods 4.2.4.1 For individuals with objective findings of impingement syndrome on physical examination, subacromial injection, steroid injection, and imaging studies and who have failed conservative treatment including steroid injections and an exercise program, surgery may be appropriate after 3 to 6 months. (M=4) (C=) [4] 4.2.4.2 Recurrent subluxation or dislocation on a traumatic basis is best treated by surgical reconstruction.(M=4)(C=)[4] 4.2.5 Shoulder girdle trigger point injections for specific indications may be useful for a trial of up to 3 sessions (or 6 sessions, if not done in the initial treatment phase). (M=) (C=) [3] 4.3 Inappropriate secondary treatments 4.3.1 Frequent steroid injections (> 2 ) (M=1) (C=) [1] 4.3.2 Surgery for tendinitis (M=1) (C=) [1] 4.3.3 Biofeedback (M =1) (C=) [1] 4.3.4 Pain clinic (M=1) (C=) [1] 4.3.5 Prolonged time off work (M =) (C=1) [1] 4.4 Case management If the injured worker has not resumed near normal work duties after 8 weeks of full conservative therapy including adherence to a graded exercise program, a referral to a physician trained and experienced in the evaluation and treatment of occupational disorders or an orthopedic surgeon is recommended. Consultation should include a complete evaluation and recommendations for treatment and return to appropriate work. If psychosocial issues are judged to contribute to delayed recovery or heightened disability, it may be appropriate to have a psychiatric evaluation. If the condition becomes chronic or disabling despite full conservative treatment including appropriate medical, rehabilitative, and ergonomic interventions (and surgery if indicated), the injured worker should be evaluated for permanent disability. 5.0 Prevention 5.1 Purpose The purpose of prevention is to avoid reoccurrence of shoulder pain complaints. 5.2 Appropriate preventive measures 5.2.1 Exercises to maintain/improve strength, range, and endurance. (M=4) (C=) [4] 5.2.2 Ergonomic modifications (M=) (C=) [4] 6.0 Primary References 1. Bannister GC, Wallace WA, Stabbleforth PG, et al.: The management of acute acromioclavicular dislocation. J Bone Jt Surg 1989;71B(5):848-50. 2. Brox JI, Staff PH, Ljunggren AE, et al.: Arthroscopic surgery compared with supervised exercises in patients with rotator cuff disease. Br Med J 1993; 307:899-903. 3. Bunker TD, Wallace WA: Assessment of the shoulder in Shoulder Arthroscopy, Eds. TD Bunker, WA Wallace. Mosby-Year Book, Inc., St. Louis, 1991; 25-39. 4. Burkhead WZ, Rockwood CA: Treatment of instability of the shoulder with an exercise program. J Bone Jt Surg 1992;74A:890-6. 5. Caughey MA, Welsh P: Muscle ruptures about the shoulder in Surgery of the Shoulder, Eds. M Post, et al. Mosby-Year Book, Inc., St. Louis, 1990; 317-20. 6. Caughey MA, Welsh P: Muscle ruptures affecting the shoulder girdle in The Shoulder, Eds. CA Rockwood, FA Matsen. W.B. Saunders Co., Philadelphia, 1990; 863-73. 7. Ellman H, Gartsman GM, Hengst TC: Nonoperative and postoperative rehabilitation of shoulder instability in Arthroscopic Shoulder Surgery and Related Procedures, Ed. DB Cooke, et al. Lea and Febiger, Malvern PA, 1993; 447-52. 8. Frymoyer JW, Mooney V: Current concepts review: occupational orthopaedics. J Bone Jt Surg 1986;68A(3):469-74. 9. Gartsman GM: Arthroscopic acromioplasty for lesions of the rotator cuff. J Bone Jt Surg 1990;72A(2):169-80. 10. Gazielly DF: Preoperative management and rehabilitation of rotator cuff tears in Surgery of the Shoulder, Ed. M Post, et al. Mosby-Year Book, Inc., St. Louis, 1990; 234-7. 11. Gross ML, Seeger LL, Smith JB, et al.: Magnetic resonance imaging of the glenoid labrum. Am J Sports Med 1990;18(3):229-34. 12. Gschwend N, Rubeli M, Pidermann M: Rotator cuff tears: relationship between clinical picture, operative findings, and results in Surgery of the Shoulder, Eds. M Post, et al. Mosby-Year Book, Inc., St. Louis, 1990; 238-42. 13. Hawkins RJ, Bokor DJ: Clinical evaluation of shoulder problems in The Shoulder, Eds. CA Rockwood, FA Matsen. W.B. Saunders Co., Philadelphia, 1990; 149-77. 14. Heckman JD, Levine MI: Traumatic closed transection of the biceps brachii in the military parachutist. J Bone Jt Surg 1978;60A(3):369-72. 15. Herberts P, Kadefors R, Hogfors C, et al.: Shoulder pain and heavy manual labor. Clin Orthop Rel Res 1984;191:166-78. 16. Leahy, MP; Mock LE: Myofascial Release Technique and Mechanical Compromise of Peripheral Nerves of the Upper Extremity. Chiropractic Sports Medicine Vol. 6 No. 4, 1992 pp. 139 - 150. 17. Luck JV, Andersson GB: Occupational shoulder disorders in The Shoulder, Eds. CA Rockwood, FA Matsen. W.B. Saunders Co., Philadelphia, 1990; 1088-108. 18. Neer CS: Anterior acromioplasty for the chronic impingement syndrome in the shoulder. J Bone Jt Surg 1972;54A(1):41-50. 19. Paulos LE, Franklin JL: Arthroscopic shoulder decompression development and application. Am J Sports Med 1990;18(3):235-44. 20. Rockwood CA, Lyons FR: Shoulder impingement syndrome: diagnosis, radiographic evaluation, and treatment with a modified Neer acromioplasty. J Bone Jt Surg 1993;75A(3):409-24. (Adopted by May 15, 1997) 21. Schneider G: Restricted shoulder movement: capsular contracture or cervical referral- a clinical study. Aust J Physio 1989;35(2):97-100. Appendix 7.0 Description of IMC Appropriateness Levels Level 4 Level 3 Level 2 Level 1 Good Research Yes No No No Based Evidence Clinical Evidence Yes Yes Some No Consensus Of The Yes Yes Partial No Health Care Community Clinical Utility Approp- Accepta- Appropriate riate ble Of Appropriateness and or appr- in uncommon Inappropriate opria- te Level For Common recomm- in most individual cases. ended Shoulder cases Document the case-specific Problems clinical factors circumstances or which make this procedure reasonable and necessary for this injured worker. Note: Authority cited: Section 139(e)(8), Labor Code. Reference: Section 139(e)(8), Labor Code. s 76. Treatment Guideline for Knee Problems. The method of treating industrial injury to the knee shall be as set forth below in the "Treatment Guideline for Knee Problems" as adopted by the Industrial Medical Council on March 20, 1997. KNEE PROBLEMS Introduction Management of knee problems in injured workers includes consideration of environmental and personal factors which may be causing or aggravating the problem, as well as providing treatment that leads to a return to productive work. Scope of the guideline: This guideline deals with the assessment and treatment of knee problems, including 1) articular surface damage, 2) bone damage, 3) synovial and capsular damage 4) ligament injuries, 5) patellofemoral tracking (chondromalacia), 6) meniscal injuries and 7) loose bodies in the knee. Knee problems can be acute (< 4 weeks), subacute (1 to 3 months), or chronic (> 3 months). Initial assessment to rule out serious knee problems is discussed, but definite diagnosis and treatment of serious disorders is beyond the scope of this guideline. This guideline does not deal with issues of legal causation or work-relatedness. Treatment guidelines are designed to assist providers by providing an analytical framework for the evaluation and treatment of the more common problems of injured workers. These guidelines are educational and descriptive of generally accepted parameters for the assessment and treatment of knee injuries. The guidelines are intended to assure appropriate and necessary care for injured workers diagnosed with these types of industrial conditions. Due to the many factors which must be considered when providing quality care, health providers shall not be expected to always provide care within the stated guidelines. Treatment authorization, or payment for treatment, shall not be denied based solely on a health care provider's failure to adhere to the IMC guideline. The guidelines are not intended to be the basis for the imposition of civil liability or professional sanctions. They are not intended to either replace a treating provider's clinical judgment or to establish a protocol for all injured workers with a particular condition. It is understood that some injured workers will not fit the clinical conditions contemplated by a guideline. For the purpose of this document, a provider is defined as any health care provider acting within the scope of his/her practice, including those to whom an injured worker has been referred or whose treatment has been prescribed by a treating physician. All health care providers acting within the scope of their practice, including those to whom an injured worker has been referred or whose treatment has been prescribed by a treating physician, shall be allowed to bill and be reimbursed in accordance with the Official Medical Fee Schedule. A provider may vary from these guidelines, if in his or her judgment, variance is warranted to meet the health care needs of the injured worker and that variance remains within the standards of practice generally accepted by the health care community, and the provider documents the need for the variance in the evaluation report or the medical treatment record in the manner that is generally accepted by the health care community. Not every medical situation can be addressed in these regulations and medical standards change constantly. The documentation required of the provider is necessary to monitor and explain the use of variances. In all cases, the provider shall document no later than 6 months from the date of injury, whether further treatment is warranted and whether the injured worker has significant subjective and objective evidence of the condition not having reached maximum medical improvement (i.e. Permanent and Stationary status). 1.0 Initial Assessment 1.1 Purpose The purpose of the initial assessment is to define the structural abnormality, in particular knee stability and intra articular abnormalities. Initial evaluation of an acute knee injury focuses on avoiding missed diagnoses. Early diagnoses of repairable abnormalities will speed return to work. 1.2 Appropriate initial assessment methods 1.2.1 History and physical The history focuses on defining the nature of the injury, the duration of the knee complaint, and the past history of effusion. A history of previous knee injuries or other workplace injuries is important. Pain in the knee may be from the hip, the back, the thigh or the lower leg. Clinical diagnosis of knee problems can usually be made on history and physical examination with the help of x-rays. The presence of hemarthrosis suggests a more serious injury. Aspiration of a tense knee effusion may reduce pain and allow a more appropriate evaluation on physical examination. Injection of a local anesthetic may also be indicated. The usual complaint of individuals with ligament insufficiencies is 'giving away'. Definition of the problem by physical examination is the first step in appropriate care. Appropriate tests should be used to identify ligamentous incompetence, disruption of a meniscus, articular surface irregularity and other soft tissue injury. Many injuries such as meniscus and ligament damage can be established by physical examination and may not require further tests. 1.2.2 X-rays (Mail Survey =4) (Consensus Panel=) [4] Appropriate indications for radiography in acute knee injuries include: Tenderness at the head of fibula Isolated tenderness of the patella (no other bone tenderness of the knee) Inability to fully extend the knee Inability to weight bear both immediately and in the provider's office (four steps regardless of limping) Tense effusion Acute direct trauma to the knee Inability to flex beyond 90 degrees 1.2.3 Diagnostic arthroscopic examination Arthroscopic examination may be necessary on very rare occasions when clinical evaluation is not diagnostic. (M=4) (C=) [2] Arthroscopy allows examination of the under surface of the patella, meniscus tears, cruciate ligament status, synovitis, loose bodies, and the status of the tibial and femoral articular surfaces. 1.2.4 Vascular studies Vascular studies are indicated if the injury is associated with vascular disruption/damage, a secondary vascular complication, or a dislocation of the knee.(M=4) (C=4) [4] 1.3 Inappropriate initial assessment methods 1.3.1 MRI/CT MRI/CT is not usually appropriate at the initial evaluation or within the first month. (M=1) (C=) [1] Exceptions include suspected subarticular stress fracture or bone bruise, any evidence of a mass, a tear of the patellar tendon or a locked knee. 1.3.2 Arthrogram An Arthrogram is not usually appropriate at the initial evaluation or within the first month. (M=1) (C=) [1] 2.0 Initial Treatment 2.1 Purpose The purpose of the initial treatment is to return the worker to their pre-injury status and to facilitate sustained return to work. 2.2 Appropriate initial treatment methods may include: 2.2.1 Aspiration of a tense, painful effusion. (M=4) (C=) [4] 2.2.2 Ice, compression and elevation of a painful knee. Immobilization of an unstable knee, including functional bracing. (M =4) (C=) [4] 2.2.3 Initial treatment for primary patellofemoral dislocation includes immobilization. (M=4) (C=4) [4] 2.2.4 Medications 2.2.4.1 Anti-inflammatory and non-narcotic analgesic medications (M=4) (C=) [3] 2.2.4.2 Narcotic analgesics are usually not required. (M=1) (C=) [2] 2.2.5 Physical medicine modalities may enhance early rehabilitation (M=4) (C=) [4] 2.2.6 Progressive exercise program (M=4) (C=4) [4] Progressive exercises should be performed to prevent weakness, stiffness and other forms of deconditioning. 2.2.7 Manual medicine/modalities (M=4) (C=) [4] 2.2.8 Surgery (M=4) (C=) [4] Surgery may be needed to remove loose bodies or to correct major soft tissue or bony disruption. 2.2.9 Ligament injuries Immediate repair of anterior cruciate ligaments in many situations is not necessary. (M=1) (C=) [1] Primary, multiple structural repairs require additional documentation because of a less predictable outcome. (M=1) (C=) [1] Isolated tears of the medial collateral and/or lateral collateral ligament usually do not require surgical repair. (M=1) (C =) [1] Although the prognosis is not good, combined repair of cruciate and lateral collateral ligaments may be needed. (M=1) (C=) [1] 2.3 Inappropriate initial treatments 2.3.1 A TENS unit is inappropriate in the initial phase. (M=1) (C =) [1] 2.3.2 Psychotropic medications are seldom needed. (M=1) (C=) [1] 2.4 Case management Management during the first 4 weeks of treatment will be determined by the clinician's evaluation of the injured worker's response to therapy. Generally, re-evaluation of the problem, determination of treatment effectiveness and work status should be performed every 1-2 weeks until return to modified or full work is achieved. At each visit, the initial diagnosis should be confirmed or modified and the treatment plan adjusted if necessary. If symptoms continue to increase despite adequate conservative therapy, or if there is significant disability due to pain, referral to a provider trained and experienced in the evaluation and treatment of occupational disorders is warranted in the initial treatment phase. Once the acute pain is controlled, the treatment should focus on progressive rehabilitative exercises to increase strength and endurance, and activity modification. This approach minimizes the chance of recurrence once normal occupational duties are resumed. 3.0 Secondary Assessment 3.1 Purpose The purpose of reassessment is to determine the reason for delayed recovery in patients who have not functionally improved. It is often difficult initially to assess the severity of the damage and/or instability. Therefore, reassess any individual who remains symptomatic after a trial of rehabilitation. 3.2 Appropriate secondary assessment methods, if clinically indicated, include: 3.2.1 Use of mechanical devices to test strength and stability. Appropriate tests may be performed with initiation of the rehabilitation process and particularly post operatively and may be necessary to be repeated upon conclusion of rehabilitation. (M=4) (C =) [3] Special equipment which isolates the knee and measures strength may be helpful. 3.2.2 Diagnostic imaging testing may be appropriate if the worker remains symptomatic, the diagnosis elusive and/or surgery is planned. (M=4) (C=) [4] Testing may include an x-rays, MRI, CT, and arthrogram. Clinical indications: Joint instability or obvious ligamentous damage determined by the physical exam that is not responsive to conservative treatment and the decision to do arthroscopy has not yet been made. Post-traumatic hemarthrosis or persistent effusion (over 4 weeks). Acute trauma with unexplained persistent pain of over four weeks that is not responsive to conservative treatment and the decision to do arthroscopy has not yet been made. Findings suggestive of a defect in the alignment of the patella. Indications previously mentioned under initial evaluation (suspected subarticular stress fracture or bone bruise, any evidence of a mass, or tear of the patellar tendon). 3.2.3 Functional capacity evaluation may be indicated in situations of ligament reconstruction or other major knee surgery. [3] 3.3 Inappropriate secondary assessment methods 3.3.1 EMG unless muscle weakness is thought to be secondary to nerve damage. (M=1) (C=) [1] 3.3.2 Vascular studies are not indicated unless there is associated vascular disruption/damage or a secondary vascular complication. (M=1) (C=) [1] 3.3.3 Bone scan (M=1) (C=) [1] 4.0 Secondary Treatment 4.1 Purpose The purpose of secondary treatment is to help the injured worker who is slow to recover. 4.2 Appropriate secondary treatment methods (for the specific clinical indications as noted) 4.2.1 Progressive physical exercise program 4.2.1.1 Individuals without full range of motion and strength can benefit from a progressive exercise program. (M=4) (C=) [4] 4.2.1.2 Rehabilitation therapy is important following surgery. (M =4) (C=) [4] 4.2.1.3 Functional bracing for unstable knees under non-surgical care. (M=) (C=4) [4] 4.2.2 Surgery 4.2.2.1 Arthroscopic surgery may be indicated if a clinically significant, surgically correctable abnormality is documented. (M=4) (C=) [4] 4.2.2.2 Reconstruction of ligaments is best done after appropriate rehabilitation to restore range of motion. (M=) (C=4) [4] 4.3 Inappropriate secondary treatments 4.3.1 Surgery 4.3.1.1 Total removal of the meniscus (M=1)(C=) [1] The meniscus is an important component of knee mechanism. Even a mild degenerative meniscus is more useful than an absent meniscus. Excision of the total meniscus leads to a significant amount of problems. The modern approach is to remove as little as possible and try for repair in the younger individual. 4.3.1.2 Multiple ligament repairs performed at the same time as repairs to the meniscus (M=1) [1] Multiple ligament repairs performed at the same time meniscus repairs may lead to a stiff joint. 4.3.1.3 Collateral ligament repair for injuries without instability (M=1) (C=) [1] 4.3.2 Prolonged immobilization (M=1) (C=) [1] 4.3.3 Multiple steroid injections into the knee joint (> 3), or into the ligament or tendon is rarely indicated. Direct steroid injections in the ligament or tendons of the knee is rarely indicated. Steroid injections of the bursae of the knee may be indicated. (M=1) (C=) [1] 4.3.4 Routine prescription of pain or sedative medication is not recommended and when prescribed for severe pain, should be limited in duration and quantity. (M=1) (C=) [1] 4.4 Case management If the injured worker has not resumed near normal work duties after 8 weeks of full conservative therapy including adherence to a graded exercise program, a referral to a physician trained and experienced in the evaluation and treatment of occupational disorders or an orthopedic surgeon is recommended. Consultation should include a complete evaluation and recommendations for treatment and return to appropriate work. If the condition becomes chronic or disabling despite full conservative treatment including appropriate medical, rehabilitative, and ergonomic interventions (and surgery if indicated), the injured worker should be rated for permanent disability. If psychosocial issues are judged to contribute delayed recovery heightened disability, it may be appropriate to have a psychiatric evaluation. 5.0 Prevention 5.1 Purpose The purpose of preventive measures is to avoid reoccurrence of the knee problems. 5.2 Appropriate preventive measures 5.2.1 Exercises which maintain/improve strength, range, and endurance (M=4) (C=) [4] 5.2.2 Functional bracing for ACL/PCL unstable knees (M=) (C=4) [4] 5.3 Inappropriate preventive measures 5.3.1 Prolonged total immobilization. (M=4) (C=) [1] 6.0 Primary References 1. Bonamo JJ et al.: The conservative treatment of the anterior cruciate deficient knee. Am J Sports Med 1990;18:618-23. 2. Casscells SW: Arthroscopy: Diagnostic and Surgical Practice, Ed. by SW Casscells. Lee & Febiger, Philadelphia, 1984;59-63. 3. Daniel DM, Stone ML: KT-1000 Anterior-posterior displacement measurements in Knee Ligaments: Structure, Function, Injury and Repair. Eds. DM Daniel, et al., Raven Press, New York, 1990. 4. Fischer SP, et al.: Accuracy of diagnosis from magnetic resonance imaging of the knee. J Bone Jt Surg 1991;71A:2-10. 5. Griffin LY: The Patellofemoral Joint, Eds. JM Fox, WD Pizzo, McGraw-Hill, New York, 1993;279-290. 6. Indelicato PA, Hermansdorfer J, Huegel M: Non-operative management of complete tears of the medial collateral ligament of the knee in intercollegiate football players. Clin Orthop 1990;256:174-7. 7. Jones RE, Henley MB, Francis P: Non-operative management of isolated grade III collateral ligament injury in high school football players. Clin Orthop 1986;213:137-40. 8. Kannus P: Long-term results of conservatively treated medial collateral ligament injuries of the knee joint. Clin Orthop 1988;226:103-12. 9. Kannus P: Non-operative treatment of grade II and III sprains of the lateral ligament compartment of the knee. Am J Sports Med 1989;17:83-6. 10. Paulos LE, Payne FC, Rosenberg TD: Rehabilitation after ACL surgery in The Anterior Cruciate Deficient Knee. Eds. DW Jackson, D Drez. C.V. Mosby Co., St Louis, 1987;291-313. 11. Polly DW, et al.: The accuracy of selective magnetic resonance imaging compared with the findings of arthroscopy of the knee. J Bone Jt Surg 1988; 70A(2):192-8. 12. Schutzer SF, Rasmby GR, Fulkerson JP: The evaluation of patellofemoral pain using computerized tomography. Clin Orthop 1986;204:286-93. 13. Scott WN: Arthroscopic diagnosis and treatment of patellofemoral disorders in Arthroscopy of the Knee. Ed. EH Wickland W.B. Saunders Co., Philadelphia, 1990;163-73. 14. Scuderi G, Cuomo F, Scott WN: Lateral release and proximal realignment for patellar subluxation and dislocation. J Bone Jt Surg 1988;70A(60:856-61. 15. Simpson LA, Barrett JP: Factors associated with poor results following arthroscopic subcutaneous lateral retinacular release. Clin Orthop Rel Res 1984;186:165-71. 16. Wilcox PG, Jackson DW: Factors affecting choices of anterior cruciate ligament surgery in The Anterior Cruciate Deficient Knee. Eds. DW Jackson, D Drez. C.V. Mosby Co., St Louis, 1987;27-141. 17. Wilson WJ, et al.: Combined reconstruction of the anterior cruciate ligament in competitive athletes. J Bone Jt Surg 1990;72A;742-7. 18. Davis JM. Rehabilitation of knee injuries in Techniques in Sports Medicine. Eds. WE Prentice, et al. C.V. Mosby Co., St Louis, 1990;294-315. Appendix 7.0 Description of IMC Appropriateness Levels Level 4 Level 3 Level 2 Level 1 Good Research Yes No No No Based Evidence Clinical Evidence Yes Yes Some No Consensus Of The Yes Yes Partial No Health Care Community Clinical Utility Approp- Accepta- Appropriate riate ble Of Appropriateness and or appr- in uncommon Inappropriate opria- te Level For Common recomm- in most individual cases. ended Shoulder cases Document the case-specific Problems clinical factors circumstances or which make this procedure reasonable and necessary for this injured worker. Note: Authority cited: Section 139(e)(8), Labor Code. Reference: Section 139(e)(8), Labor Code. s 76.5. Treatment Guideline for Elbow Problems. The method of treating industrial injury to the elbow shall be as set forth below in the "Treatment Guideline for Elbow Problems" as adopted by the Industrial Medical Council on May 15, 1997. ELBOW PROBLEMS Introduction Elbow problems are a common musculoskeletal disorder. Acute 'strain' or blunt trauma may precipitate elbow problems such as medial and lateral epicondylitis, bursitis, nerve entrapment, and tendinitis. Scope of this guideline: This guideline is intended for use in the diagnosis and management of working aged people with a primary complaint of elbow or extensor forearm pain and whose occupational activities put them at risk for elbow problems. The condition of lateral epicondylitis will be used throughout this guideline as an example. Treatment guidelines are designed to assist providers by providing an analytical framework for the evaluation and treatment of the more common problems of injured workers. These guidelines are educational and descriptive of generally accepted parameters for the assessment and treatment of elbow problems. The guidelines are intended to assure appropriate and necessary care for injured workers diagnosed with these types of industrial conditions. Due to the many factors which must be considered when providing quality care, health providers shall not be expected to always provide care within the stated guidelines. Treatment authorization, or payment for treatment, shall not be denied based solely on a health care provider's failure to adhere to the IMC guideline. The guidelines are not intended to be the basis for the imposition of civil liability or professional sanctions. They are not intended to either replace a treating provider's clinical judgment or to establish a protocol for all injured workers with a particular condition. It is understood that some injured workers will not fit the clinical conditions contemplated by a guideline. Symptom duration is defined as acute (< one month), subacute (one - three months) and chronic (> three months). For the purpose of this document, a provider is defined as any health care provider acting within the scope of his/her practice, including those to whom an injured worker has been referred or whose treatment has been prescribed by a treating physician. This guideline does not address the evaluation and management of chronic elbow problems including chronic pain syndrome. All health care providers acting within the scope of their practice, including those to whom an injured worker has been referred or whose treatment has been prescribed by a treating physician, shall be allowed to bill and be reimbursed in accordance with the usual practices. A provider may vary from these guidelines, if in his or her judgment, variance is warranted to meet the health care needs of the injured worker and that variance remains within the standards of practice generally accepted by the health care community, and the provider documents the need for the variance in the evaluation report or the medical treatment record in the manner that is generally accepted by the health care community. Not every medical situation can be addressed in these regulations and medical standards change constantly. The documentation required of the provider is necessary to monitor and explain the use of variances. In all cases, the provider shall document no later than 6 months from the date of injury, whether further treatment is warranted and whether the injured worker has significant subjective and objective evidence of the condition not having plateaued. 1.0 Initial Assessments (First Month) 1.1 Purpose The purpose of the initial assessment is to establish a specific diagnosis. For the diagnosis of occupational elbow problems, a work-related etiology should be established, and relevant non-occupational home, hobby and sports activities should be ruled out as contributing or causative factors. When considering diagnoses other than those involving the elbow, the provider should refer to the appropriate treatment guideline. 1.2 Appropriate initial assessment methods 1.2.1 History and physical examination A detailed history addressing all pertinent complaints should be obtained including the characteristics of the pain, its onset and location, radiation, provocative and relieving factors. Hand dominance should be recorded. Any antecedent symptoms, trauma, fall, or new activities should be documented. Typical symptoms of lateral epicondylitis include pain in the lateral aspect of the elbow with pain or burning radiating to the forearm (and occasionally proximal radiation). There may be loss of grip strength due to forearm pain with hand grip. Pain is usually insidious in onset but may be provoked by an acute trauma or strain. Initial complaints may be vague, such as a dull forearm ache. Any history of similar symptoms in the past, including diagnosis and treatment strategies should be recorded. Documentation of probable work-relatedness should be made, including the injured worker's job title and occupational tasks. Specific attention should be directed towards confirming occupational risk factors such as repetitive, sustained or forceful wrist dorsiflexion, power grip, exposure to vibration, repetitive extended elbow reach with forceful pulling, and repetitive pronation and supination of the forearm against resistance. Record any recent changes in work duties, overtime, and work station or process design. Document any relationship of the symptoms to the work day, work week, particular task, and the use of any specific tools and equipment. A history of lost work days due to these symptoms, and other work-related musculoskeletal diagnoses should be recorded. Any functional impairment or current activity or work modifications should be noted. Rule out non occupational activities that could be causing or aggravating the condition, such as activities that require gripping or hyperextending the wrist. Olecranon bursitis may be secondary to systemic illness. Past medical history and current health status should be documented. Routine screening questions for cervical or shoulder pain or injury should be asked. A physical examination should be performed with documentation of the following findings: Inspection for: deformity, swelling or erythema. Provocative maneuvers: such as the presence or absence of pain with resisted dorsiflexion of the wrist, passive wrist flexion with the elbow in full extension, resisted supination of the forearm, and Tinel's sign. Range of motion: elbow flexion and extension, pronation and supination, wrist flexion and extension. Note any flexion contracture deformity of the elbow. Palpation: Document the presence or absence of the following: elbow deformity, tenderness, heat or crepitus (including olecranon process and medial epicondyle). Also check the forearm for deformity, heat or tenderness. Muscle strength testing of the entire upper extremity should be performed as relevant. Appropriate distal extremity exam should include neurological testing. A routine examination of the shoulder, neck, and wrist, and hand (palpation, range of motion, strength testing) should be performed. A differential diagnosis should be considered at this point: such as radiculopathy, or shoulder pathology with referred pain. 1.2.2 Diagnostic imaging (M=4) [4] Radiographic studies of the elbow and forearm should be obtained when clinically indicated. As a rule, the diagnosis of elbow problems does not require an imaging study. 1.2.3 Laboratory studies Appropriate laboratory studies should be considered if there is evidence of an infectious or diffuse inflammatory process as a contributing or causative factor. (M=4) [4] 1.2.4 Electromyography/Nerve conduction studies (EMG/NCS) Nerve conduction studies may be indicated for elbow problems associated with neurological deficits. (M=4) [4] 1.2.5 Aspiration of the olecranon bursa is not routinely indicated unless there is suspicion of infection or metabolic disease. 1.3 Inappropriate initial assessment methods 1.3.1 Routine diagnostic imaging (M=2) (C=1) [1] 1.3.2 Routine laboratory studies (M=2) (C=1) [1] 1.3.3 Routine nerve conduction studies (M=2) (C=1) [1] 1.3.4 Arthroscopy, arthrogram (M=1) [1] 1.3.5 Ultrasound (M=1) [1] 1.3.6 MRI scan (M=1) [1] 2.0 Initial Treatment 2.1 Purpose The purpose of the initial treatment is to reduce, symptoms, optimize healing/function and increase work with appropriate modifications to minimize the risk factors that contributed to the injury. 2.2 Appropriate initial treatments 2.2.1 Education (M=4) [4] All injured workers should receive instruction concerning the nature of their condition, its risk factors, preventive measures and goals of initial therapy. This information should be provided by the physician or by a Physical or Occupational Therapist as part of a referral for treatment (see Physical Treatments and Passive Modalities section). The injured worker should be instructed on how to eliminate or modify any aggravating non-occupational activities and sports during treatment. 2.2.2 Ergonomic modification (M=4) [4] Work restrictions or modifications which reduce the injured worker's exposure to the etiologic or aggravating activity are of central importance. Examples of such restrictions include preclusion from or reduction in time performing tasks requiring repetitive, sustained or repetitive forceful wrist or hand activities, repetitive elbow motion, prolonged elbow positioning or prolonged exposure to vibration. Be specific about work preclusions and avoid terms such as "light duty". The physician should discuss with the employer appropriate tasks for the injured worker to perform while undergoing treatment, and to discuss task modification once the injured worker resumes full and unrestricted employment, in order to reduce the chance of recurrence. Initial treatment of elbow problems need not involve lost work time. A job evaluation by an experienced specialist trained in ergonomics may be considered in order to identify appropriate modifications to the tasks, tools, or workstation. 2.2.3 Medications a. Nonsteroidal antiinflammatory agents can be used. (M=3) (C=4) [3] The choice of specific drug is discretionary. The injured worker should be screened for contraindications to their use and warned of the common potential side-effects. b. Acetaminophen is an analgesic which may be used as an adjunct or alternative to NSAIDs. (M=3) (C=4) [3] c. Opioids may be necessary if the pain is refractory to treatment with non-opioid analgesics. (M=3) (C=4) [3] 2.2.4 Physical treatments and passive modalities If there is no improvement after 2 weeks the treatment should be modified. a. Use of thermal modalities in conjunction with physical treatment may be useful. b. Physical treatments for pain management splinting and/or functional retraining and instruction in a graded exercise program. (M=4) [4] Appropriate exercises may include, but are not limited to,: 1) gentle muscle stretching; 2) flexibility; and 3) graduated strengthening. Care should be taken while incrementing exercises so that the condition is not aggravated. c. Appropriate manual therapies may include manipulation, or joint or soft tissue mobilization, supplemented by physical modalities and exercise.[3] d. Acupuncture Use of acupuncture in the first 4 weeks of treatment as a part of an overall treatment plan. (C=3) [2] 2.2.5 Protective devices The use of an elbow and/or wrist support for immobilization may be indicated for a brief period. (M=4) [4] The use of a splint at work must be carefully considered as it may put the injured worker at risk for further musculoskeletal injury by forcing the adoption of awkward compensatory postures. A forearm strap can be aggravating in the acute stage so its use should be individualized. It is contraindicated in the presence of nerve compression symptoms. Night splinting may be indicated for nerve entrapment syndromes. 2.2.6 Local corticosteroid injection Local corticosteroid injections of the myofascial areas or bursae may be appropriate, especially if the pain is moderate to severe. (M =4) [4] Before the injection, it is important to be aware that the olecranon bursa may be the site of infection. In such an instance, an steroid injection would be contraindicated. 2.3 Inappropriate initial treatments 1. Medications-Systemic corticosteroids, and/or muscle relaxant. (M=1) [1] 2. Exclusive use of passive modalities (M=1) (C= 1) [1] 3. Surgery is rarely indicated (M=1) [1] 2.4 Case management Management during the first 4 weeks of treatment will be determined by the clinician's evaluation of the injured worker's response to therapy. Generally, re-evaluation of the problem, determination of treatment effectiveness and work status should be performed every 1-2 weeks until return to modified or full work is achieved. At each visit, the initial diagnosis should be confirmed or modified and the treatment plan adjusted if necessary. If symptoms continue to increase despite adequate conservative therapy, or if there is significant disability due to pain, referral to a provider trained and experienced in the evaluation and treatment of occupational disorders is warranted in the initial treatment phase. Once the acute pain is controlled, the treatment should focus on progressive rehabilitative exercises to increase strength and endurance, and activity modification. This approach minimizes the chance of recurrence once normal occupational duties are resumed. 3.0 Secondary Assessment 3.1 Purpose Most workers with elbow injuries will respond to initial treatment with reduction of pain and near or full return to occupational duties. The purpose of secondary assessment after conservative treatment is to determine the cause of delayed recovery. This may be due to misdiagnosis, non-compliance with the treatment regimen, inappropriate work modifications or other perpetuating factors. A reconsideration of the initial diagnosis is necessary at this stage and a differential diagnosis should be reviewed: cervical radiculopathy, shoulder pathology with referred pain and nerve entrapment. Work status and disability should be determined. 3.2. Appropriate secondary assessment methods 3.2.1 History and physical examination An interval history and physical examination should be performed. Particular attention should be paid to compliance with and response to therapy. The development of any new symptoms should be documented as well as side effects of treatment modalities. The appropriateness of the prescribed work restrictions should be reviewed, including how they were accommodated by the employer. 3.2.2 Diagnostic imaging Radiographic studies of the elbow and forearm may be considered if, on re-evaluation, the physician suspects morphologic pathology. (M=4) [4] The use of MRI and arthrography is rarely indicated except for the evaluation of intraarticular pathology. 3.2.3 Laboratory studies Laboratory studies may be performed if there is evidence of an infectious or diffuse inflammatory process as a contributing pathology. (M=4) [4] 3.2.4 EMG/NCS Electrodiagnostic studies should be considered if there is clinical evidence of nerve entrapment or cervical radiculopathy as alternative diagnoses. (M=4) [4] 3.3 Inappropriate secondary assessment methods 3.3.1 Arthroscopy or arthrogram (M=1) [1] 3.3.2 Ultrasound (M=1) [1] 4.0 Secondary Treatment 4.1 Purpose Secondary treatment options should be selected on the basis of the injured worker's response to initial conservative treatment for 4 weeks. If specific causes of delayed recovery are determined, they may be addressed in this phase. The purpose of secondary treatment is to reduce symptoms and optimize the return to normal arm function and a graded resumption of full and unrestricted employment. 4.2 Appropriate secondary treatments 4.2.1 Continued conservative management a. Occupational activities should be advanced and modifications to the work environment reviewed to prevent exacerbation of symptoms. (M=4) [4] An ergonomic assessment of the workstation may be necessary to facilitate this. b. The injured worker's progress in the progressive exercise program should be reviewed. (M=4) [4] c. Medication NSAID's or acetaminophen may be used periodically. Non steroidal anti-inflammatory agents should be discontinued as soon as possible. (M=4) [4] A trial of 6-8 weeks maximum is recommended. They may be re-instituted briefly for symptom flare. Periodic acetaminophen may be used also. Opioids may be necessary if the pain is refractory to treatment with non-opioid analgesics. (M=3) (C=4) [3] Use of thermal modalities in conjunction with physical treatment may be useful. d. Bracing or supports may be continued if beneficial. (M=4) [4] It may be uncomfortable and exacerbate symptoms, especially if worn inappropriately (i.e. overlying the trigger point). e. Various manual and/or passive modalities may be used but, not standing alone as a sole treatment. [3] f. Acupuncture (M=3) (C=3) [3] g. Biofeedback [3] 4.2.2 Local injection including corticosteroids during the secondary phase may be indicated. If there is partial or transient relief with the first injection, local injections may be repeated (up to a total of three). (M=3) (C=4) [3] Complications of injection include local infection, hematoma, skin discoloration and subcutaneous fat atrophy. Injection must be accompanied by the activity and workplace modifications discussed above. 4.2.3 Surgical referral Surgical consultation is recommended if any of the following criteria are met: (C=4) [4] a. Failure of conservative treatment and indication of a surgically correctable condition. 4.3 Inappropriate secondary treatments 4.3.1 Medications. Systemic corticosteroids and/or delivery of medications by ionto or phonophoresis. (C=1) [1] 4.4 Case management If the injured worker has not resumed near normal work duties after 8 weeks of full conservative therapy including adherence to a graded exercise program, a referral to a physician trained and experienced in the evaluation and treatment of occupational disorders or an Orthopedic or Hand Surgeon is recommended. Consultation should include a complete evaluation and recommendations for treatment and return to appropriate work. If psychosocial issues are judged to contribute to the disability, it may be appropriate to have a psychologic evaluation. If the condition becomes chronic or disabling despite full conservative treatment including appropriate medical, rehabilitative, and ergonomic interventions (and surgery if indicated), the injured worker should be evaluated for permanent disability. 5.0 Primary References 1. American Academy of Orthopedic Surgeons: Clinical policies - lateral epicondylitis of the elbow. AAOS 1-3, 1992. 2. Day, DE: Preventive and return to work aspects of cumulative trauma disorders in the workplace. Sem in Occ Med 2(1):57-63, 1987. 3. Dijs J, Mortier G, Driessens M, DeRidder A, Willems J, De Vroey T: A retrospective study of the conservative treatment of tennis elbow. Medica Physica 13:73-77, 1990. 4. Fillion PL: Treatment of lateral epicondylitis. Am J Occ Ther 45:340-343, 1991. 5. Kasdan ML: Occupational hand and upper extremity injuries and diseases. Hanley and Belfus Inc., 1991. 6. Kurppa K, Pekka W, Rokkanen P: Tennis elbow; lateral elbow pain syndrome. Scand J Work Environ Health 5(suppl3):15-18, 1979. 7. Nirschl RP: Elbow tendinosis/tennis elbow. Clin Sports Med 11(4):851-870, 1992. 8. Rempel DM, Harrison RJ, Barnhart S: Work-related cumulative trauma disorders of the upper extremity. JAMA 267(6):838-842, 1992. 9. Thorson EP, Szabo RM: Tendonitis of the wrist and elbow. Occ Med State of the Art Rev 4(3):419-431, 1989. 10. Wadsworth CT, Nielsen DH, Burns LT, Krull JD, Thompson CG: Effect of the counterforce armband on wrist extension and grip strength and pain in subjects with tennis elbow. JOSPT 11(5):192-197, 1989. Appendix 7.0 Description of IMC Appropriateness Levels Level 4 Level 3 Level 2 Level 1 Good Research Yes No No No Based Evidence Clinical Evidence Yes Yes Some No Consensus Of The Yes Yes Partial No Health Care Community Clinical Utility Approp- Accepta- Appropriate riate ble Of Appropriateness and or appr- in uncommon Inappropriate opria- te Level For Common recomm- in most individual cases. ended Knee cases Document the case-specific Problems clinical factors circumstances or which make this procedure reasonable and necessary for this injured worker. Note: Authority cited: Section 139(e)(8), Labor Code. Reference: Section 139(e)(8), Labor Code. s 77. Treatment Guideline for Problems of the Hand and Wrist. The method of treating industrial injury to the hand and wrist shall be set forth below in the "Treatment Guideline for Problems of the Hand & Wrist" as adopted by the Industrial Medical Council on May 15, 1997. PROBLEMS OF THE HAND AND WRIST Introduction Conditions affecting the hand and wrist are common among workers with tasks requiring intensive use of the upper extremity. Evaluation can be difficult, given the anatomical and functional complexity of the region. However, a systematic assessment of upper extremity symptoms contributes to accurate, timely and cost-effective diagnosis and treatment. Scope of this guideline This guideline is intended for use in the diagnosis and management of hand and wrist tendinitis, de Quervain's tenosynovitis, nerve entrapment syndromes and wrist pain in working aged adults whose occupational activities put them at risk for these problems. Guidelines for initial assessment (first 4 weeks) and subsequent secondary assessment (1 to 3 months) are presented here. This guideline does not address all conditions causing hand & wrist symptoms such as fractures. This guideline does not deal with legal issue of causation or work relatedness. Treatment guidelines are designed to assist providers by providing an analytical framework for the evaluation and treatment of the more common problems of injured workers. These guidelines are educational and descriptive of generally accepted practices for the assessment and treatment of wrist pain, nerve entrapment syndromes, de Quervain's tenosynovitis and hand and wrist tendinitis. Due to the many factors which must be considered when providing quality care, health providers shall not be expected to always provide care within the stated guidelines. Treatment authorization, or payment for treatment, shall not be denied based solely on a health care provider's failure to adhere to the IMC guideline. The guidelines are not intended to be the basis for the imposition of civil liability or professional sanctions. They are not intended to either replace a treating provider's clinical judgment or to establish a protocol for all injured workers with a particular condition. It is understood that some injured workers will not fit the clinical conditions contemplated by a guideline. Symptom duration is defined as acute (< one month), subacute (one - three months) and chronic (> three months). For the purpose of this document, a provider is defined as any health care provider acting within the scope of his/her practice, including those to whom an injured worker has been referred or whose treatment has been prescribed by a treating physician. All health care providers acting within the scope of their practice, including those to whom an injured worker has been referred or whose treatment has been prescribed by a treating physician, shall be allowed to bill and be reimbursed in accordance with usual practices. A provider may vary from these guidelines, if in his or her judgment, variance is warranted to meet the health care needs of the injured worker and that variance remains within the standards of practice generally accepted by the health care community, and the provider documents the need for the variance in the evaluation report or the medical treatment record in the manner that is generally accepted by the health care community. Not every medical situation can be addressed in these regulations and medical standards change constantly. The documentation required of the provider is necessary to monitor and explain the use of variances. In all cases, the provider shall document no later than 6 months from the date of injury, whether further treatment is warranted and whether the injured worker has significant subjective and objective evidence of the condition not having plateaued. 1.0 Initial Assessment (First month) 1.1 Purpose The purpose of the initial assessment of hand and wrist is to establish specific diagnosis(es). These may include hand and wrist tendinitis/ tenosynovitis, and nerve entrapment syndromes. An additional purpose of the initial assessment is to identify and document any medical, mechanical or psychosocial factors which are contributing to the symptoms and/or may influence the response to treatment. At the discretion of the physician, a shorter, less detailed evaluation may be acceptable. 1.2 Appropriate Initial Assessment Methods 1.2.1 History As appropriate, the initial history should contain the following basic information for the medical record: the injured worker's age, hand dominance, job description, pre-injury limb function, daily physical activities, previous limb injuries and relevant medical/surgical history. A detailed symptom history may be documented, including characteristics of pain (type, location, duration, severity, radiation), associated symptoms, exacerbating and relieving movements and other factors, and the impact on function at home or work. Information concerning recent trauma and previous diagnostic or treatment procedures (including home treatments) may be obtained. The initial evaluation must address the possible presence of mechanical factors which are causing, aggravating, or precipitating the painful condition, including occupational and nonoccupational physical activities. The relationship of the symptoms to the performance of specific activities may be sought and recorded (e.g. symptoms experienced during work tasks, time off, hobbies, sports or other activities). Inquiry into any history of similar symptoms, previous diagnoses and treatments should be made. The initial history may also note any psychosocial factors which are potentially relevant to the clinical course of the condition, including work status, economic or psychological effects of the condition, and unresolved litigation or workers' compensation issues. If tendinitis/tenosynovitis is suspected, ask about the typical symptom of localized pain aggravated by direct pressure over or use of the affected muscle-tendon unit. The discomfort may radiate in a proximal or distal direction when force is applied to the tendon. Initially intermittent discomfort may be experienced, but can progress to become a persistent burning or sharp pain. Associated symptoms descriptive of triggering, crepitus, weakness and/or limited motion may be present. An example of a common tenosynovitis is de Quervain's tenosynovitis. The classic presentation of this condition is pain over the radial styloid; local swelling may also be present. The injured worker may describe symptoms of proximal and distal radiation of pain from this site and/or weakness of pinch or grip strength. The discomfort is exacerbated by ulnar wrist deviation and thumb flexion and adduction. Triggering may be present if the condition is chronic. If Nerve Entrapment Syndromes are suspected, inquire about the typical symptoms - insidious onset of hand paresthesias in the thumb, index, middle and/or radial aspect of ring fingers (median nerve inervation). Many injured workers will describe paresthesias more diffusely, in all fingers. Nocturnal paresthesias, if present, are particularly characteristic. Dull aching hand pain, subjective grip stiffness, weakness of grip or pinch, hand clumsiness and impaired manual dexterity are other presenting complaints. Symptoms may be vague or atypical, and non-specific wrist and hand symptoms in a manual worker should prompt consideration of CTS in the differential diagnosis. Self-administered hand symptom diagrams have been developed and may be useful in obtaining a detailed description of the distribution and severity of hand symptoms. They may serve as an aid in the history and physical examination. Documentation of activities as they relate to hand should be made, including the injured worker's job title and a description of tasks performed Note the use of each hand in work tasks. Record any recent changes in work duties, overtime, tool design and patterns of tool use or any loss of function, lost work time, or limitation of activity or modification of work due to symptoms. Work station design and adjustability, as well as any prior ergonomic assessment or recent modifications should be noted. Record the onset of symptoms in relation to the work day, work week and specific work tasks or equipment. Any history of previous work related musculoskeletal diagnose be recorded. Consider non-occupational activities and medical conditions that could cause or aggravate the presenting symptoms, i.e. hobbies, child handling, sports, and musical pursuits. When the clinical picture is confusing, screening questions should be asked about neck or other upper extremity injury or symptoms. In the case of an atypical presentation of nerve entrapment syndromes, other pathologies may be considered. These include: a. Cervical radiculopathy (especially C-6 or C-7) b. Neurovascular compression syndromes such as: Thoracic outlet syndrome Anterior scalene syndrome Costoclavicular syndrome Hyperabduction syndrome c. Other nerve compression syndromes: Radial nerve entrapment: Posterior interosseus entrapment, radial tunnel syndrome Ulnar nerve entrapment: At the elbow or in the Canal of Guyon Median nerve entrapment: Pronator teres syndrome, anterior interosseus syndrome d. Other conditions: Reflex sympathetic dystrophy, Raynaud's syndrome inflammatory, or degenerative joint diseases. Past medical history and current health status may be elicited and should be evaluated for possible clinical significance. These may include, but are not limited to: 1. Pregnancy 2. Diabetes mellitus 3. Hypothyroidism 4. Fluid retention / edema 5. Rheumatoid arthritis/degenerative joint disease of the wrist and hand 6. Gout 1.2.2 The initial physical examination will be focused upon the affected part but may also include a basic examination of both upper extremities, including the cervical spine, shoulder, upper arm, elbow, forearm and hand. General physical signs of underlying medical diseases may also be sought. This approach can identify more distant causes of pain such as cervical radiculopathy and/or non-work related disorders contributing to or causing the symptoms (e.g. myxedema). Examination of the contralateral extremity is useful for comparison and to identify any bilateral abnormalities. Basic elements of the wrist and hand examination may include: Inspection for swelling, erythema, thenar muscle atrophy, nodules, signs of trauma, surgical scars, arthritic bony changes, soft tissue masses, hyper/hypohydrosis, altered hair pattern, edema, cyanosis, guarding, abnormal posture or other deformities of joints or soft tissues. Palpation of osseous and soft tissue structures for tenderness, swelling, skin temperature asymmetry, abnormal sweating, synovial thickening, masses, ganglion cysts, nodules, bony deformity, pulses, muscle spasm, myofascial trigger points, or crepitus. Range of motion testing as appropriate of neck, shoulders, elbows, forearm, wrist and fingers for pain, range limitation, crepitus at joint or tendon sheath, tendon triggering or locking. On range of motion testing of tendinitis/tenosynovitis, the focal discomfort is typically increased by passive stretching of the affected tendon, especially with composite range of motion testing. Associated symptoms descriptive of triggering, crepitus weakness and/or limited motion may be present. Muscle strength testing may include such specific areas as the abductor pollicis brevis, resisted palmar abduction of the thumb for nerve entrapment syndromes. Serial grip strength measurements with a dynamometer may be useful in following clinical progress of tendinitis/tenosynovitis. Provocative maneuvers for tendinitis, muscle strain, tendon subluxation, joint/ligament instability, nerve entrapment, and if warranted, thoracic outlet syndrome. Consider more specific tests such as: Tinel's - performed by percussing lightly along the projection of the given nerve, Phalen's - sustained wrist flexion for 60 seconds, and Finkelstein's - pain over the radial styloid is augmented by gentle passive ulnar deviation of the wrist with the thumb held adducted in the palm. It should be remembered that positive results from Finkelstein's test may also be obtained not only in de Quervain's tenosynovitis, but also in the presence of the following conditions: inflammation of the wrist extensor tendons (intersection syndrome), and entrapment of the superficial dorsal radial sensory nerve (Wartenberg's syndrome). Neurologic testing including reflexes: biceps, triceps and brachioradialis; sharp/dull, light touch, two-point, or vibratory sensory testing; strength testing by resisted movement and grip strength dynamometer, if available. Circulatory evaluation of radial and ulnar arterial sufficiency. 1.2.3 Diagnostic imaging 1.2.3.1 Plain films of the forearm, wrist or hand may be done after taking a medical history, performing a physical examination, and determining that this study is medically relevant. [4] 1.2.3.2 CT, MRI, isotope, or similar scans of the wrist are not warranted unless there is a specific, suspected, clinical entity appropriate for the study. The examiner requesting this study should plainly state the reason for requesting the study and the treatment plan related to the results. [4] 1.2.4 Laboratory Testing a. Tendinitis/tenosynovitis or wrist pain: Certain blood tests can be useful in establishing the diagnosis of an underlying metabolic or rheumatologic disease if such a condition is suspected on the basis of the history and physical examination during the evaluation of probable tendinitis/tenosynovitis or wrist pain. [4] b. Nerve entrapment syndromes: During the evaluation of probable, entrapment syndromes, laboratory tests should be done if a contributing systemic diagnosis such as joint disease, diabetes mellitus, or thyroid disease is suspected. [4] 1.2.5 Diagnostic Injections Diagnostic injection of local anesthetic by the experienced, may be useful for diagnosis in the case of atypical presentations such as referred pain or the presence of multiple disorder. [3] 1.2.6 Electromyography and Nerve Conduction Tests. Nerve entrapment syndromes: The initial history and physical exam are the most important assessment tools and the working diagnosis may be made without confirmation by nerve conduction studies. [4] 1.3 Inappropriate initial assessment methods 1.3.1 Thermography [1] 1.3.2 Vibrometry [1] 1.3.3 Portable neurometer [1] 1.3.4 Electrodiagnostic testing to establish the diagnosis of de Quervain's tenosynovitis [1] 2.0 Initial Treatment 2.1 Purpose The purpose of initial treatment is to promote healing, optimize function and allow continued productive employment with appropriate modifications, as indicated, to avoid adverse effects. The initial treatment of nerve entrapment syndromes, tendinitis, tenosynovitis, and wrist pain is nonsurgical. Application of the conservative therapy described below will result in significant improvement in a majority of cases. Effective workplace intervention may be crucial. The period of initial (conservative) treatment should be 4 weeks with re-evaluation at least every two weeks to ascertain improvement. 2.2 Appropriate initial treatment methods 2.2.1 Education a. All injured workers with these conditions should receive instruction concerning the anatomy and nature of their condition, risk factors, preventive measures, appropriate exercises and goals of the initial treatment methods including time frame for expected improvement. [4] The responsibilities of the injured worker in implementing the treatment plan should be emphasized. Education should be provided by the treating physician and may be supplemented by a physical or occupational therapist in the context of referral for the instruction on gentle flexibility and range of motion exercises, joint protection, work simulation and conditioning. Educational literature, if provided, should be reviewed with the injured worker. Home hobby, craft, sport and avocational activities should be curtailed, as appropriate, if they are considered to be potentially aggravating or causative factors. 2.2.2 Activity and Environmental Modifications a. If occupational factors cause or aggravate the condition, appropriate work restrictions and/or ergonomic workplace changes may be advised by the provider. These should protect the involved tissues while allowing the injured worker to perform some of the specific elements of the job. [4] b. Modified work is strongly encouraged since initial treatment need not require time lost from work. [4] Prescribed modified work guidelines should be as specific as possible, avoiding generic terms such as "light duty." Examples of restrictions are a reduction in daily hours, complete restriction from aggravating or high risk tasks, or specific job rotation to promote varied hand position and activities. Other examples of such modifications include work station adjustment, tool redesign, protective equipment and other engineering controls. It may be necessary to contact the company directly to discuss alternative productive work within the scope of the prescribed restrictions. 2.2.3 Immobilization/Stabilization a. Nerve entrapment syndromes: Immobilization/stabilization of the wrist in a neutral position may be used and is most effective when worn in the night. [4] The splint should prevent wrist flexion and extension without constriction. If not properly fitted, it can lead to further nerve entrapment, muscle atrophy, vascular compression, discomfort and chafing. If a pre-formed splint does not fit properly a custom-made splint may be fabricated. [4] b. Severe de Quervain's tenosynovitis: Immobilization of the wrist and thumb interphalangeal joint with a spica thumb splint or other similar device can be considered for up to 3 to 4 weeks. [4] Splinting may not be necessary in milder cases and the functional restriction on thumb and hand use imposed by spica splinting is considerable. c. Tendinitis/tenosynovitis: Immobilization with appropriate splints should also be considered in case of moderate and severe tendinitis/tenosynovitis or for short-term(up to 4 weeks) care of wrist pain. [4] d. Splints must fit properly and should be prescribed by the provider. [4] The injured worker should be instructed in proper use of the splint, including the practice of range of motion exercises throughout the day. Careful monitoring of clinical progress is necessary during splinting to avoid the complications of muscle atrophy and joint stiffening. 2.2.4 Physical Treatments a. Appropriate manual/manipulative therapies, including joint and soft tissue mobilization may by used up to a maximum of 12 treatment visits. Referral to an appropriate provider should be considered." [3] b. Various manual and/or passive modalities should not be utilized as the sole treatment. A graduated exercise program to promote strength, flexibility, and normal function should also be utilized. [3] c. Acupuncture may be prescribed up to a maximum of 12 treatments in 4 weeks. [3] 2.2.5 Passive Modalities a. Active physical treatments can be supplemented by selected passive modalities (heat, cold, ultrasound, electrical stimulation, iontophoresis, phonophoresis, aquatic therapy) at the discretion of the provider for the first 4 weeks of treatment. [4] b. Ice treatment periods should not exceed twenty minutes. Application of appropriate modalities at home may also be useful during and following the acute inflammatory phase. [3] 2.2.6 Medications 2.2.6.1 A physician may prescribe appropriate analgesic and/or anti-inflammatory medications. [4] 2.2.6.2 Local injection of steroid medication (with or without accompanying local anesthetic can be used as an initial treatment modality for cases of (1) moderate to severe inflammation or (2) stenosing tenosynovitis which affects function, after consideration of the risks of this procedure. [4] 2.2.7 Surgical Referral for Nerve Entrapment Syndromes Surgical consultation should be made in the initial treatment phase if there is: 1) thenar muscle weakness or atrophy; 2) unremitting sensory loss or paresthesia 3) significant hand dysfunction; 4) evidence of a space occupying lesion or history of acute or traumatic onset. In these instances, an EMG/nerve conduction study may be performed to confirm the diagnosis. [4] 2.3 Inappropriate Initial Treatments 2.3.1 Surgical Treatments a. Surgical treatment of de Quervain's tenosynovitis or hand and wrist tendinitis/tenosynovitis without a trial of therapy, including a work evaluation, is generally not indicated. [1] 2.3.2 Medication a. Pyridoxine / Vitamin B6 b. Oral corticosteroids 2.3.3 Tendinitis/tenosynovitis or wrist pain: Prolonged application of passive modalities (beyond 4 weeks) [1] 2.4 Case Management During the first month of evaluation and treatment, the case management decisions must be made by the treating physician(s), based on the injured worker's clinical progress. Re-evaluation of the diagnosis, treatment effectiveness and work status should be performed by the physician at least every 2 weeks. Referral to an appropriate provider during the initial phase of treatment may be indicated for patient education, pain reduction and the implementation of a graduated program of flexibility and conditioning exercises. Referral should be considered for all patients with moderate to severe symptoms, those assigned total temporary disability and those undergoing surgical treatment. The goal is to promote healing and maximize function for a gradual return to occupational and non-occupational activities. Referral to a surgeon competent in the treatment of hand and wrist disorders is appropriate after failure of conservative treatment. 3.0 Secondary Assessment (Reassessment at 4 weeks) 3.1 Purpose The purpose of the secondary assessment is to identify the reason(s) for delayed recovery from wrist/hand symptoms and/or functional impairment after initial evaluation and treatment. This requires review of both the working diagnosis and differential diagnosis, as well as the contributing factors and the treatment approach. 3.2. Appropriate Secondary Assessment Methods 3.2.1. History The interval history should document the treatment measures prescribed and implemented, and the evolution of symptoms during this treatment. The previously recommended modifications of occupational and nonoccupational activities should also be reviewed. Current work status should be noted. If there has been no significant improvement, or worsening of symptoms, the history should be carefully reviewed to address other co-existing or contributing musculoskeletal pathologies and systemic illnesses as per the Initial Assessment section. 3.2.2 Physical Examination A reexamination should assess any changes in the upper extremity, especially tenderness, atrophy, range of motion, serial grip strength, and response to provocative maneuvers. Attention should be paid to any changes in the provocative and sensibility tests. If symptoms have worsened or remain unimproved, the physical exam should include an evaluation for undiagnosed proximal upper extremity and neck pathology. 3.2.3 Diagnostic Imaging 3.2.3.1 If not previously performed or unavailable, plain films of the forearm, wrist or hand may be considered after the medical history and physical examination indicate that this study is medically relevant. [4] 3.2.3.2 CT, MRI, isotope, or similar scans of the wrist are not warranted unless there is a specific, suspected, clinical entity which may be diagnosed by the study. The examiner requesting this study should justify the rationale for requesting the study and for supporting the treatment plan. [4] 3.2.4 Laboratory Studies Certain laboratory studies may be useful in establishing the diagnosis of an underlying metabolic or rheumatologic disease if such a condition is suspected. [4] 3.2.5 Diagnostic Injections Diagnostic injection of local anesthetic may be useful for diagnosis in the case of atypical presentations (e.g. referred pain, presence of multiple disorders). [3] 3.2.6 Electromyography and Nerve Conduction Tests 3.2.6.1 Wrist pain and tendinitis/tenosynovitis Electrodiagnostic studies are appropriate if neuropathy is suspected from the history and physical examination. [4] 3.2.6.2 Nerve Entrapment Syndromes: [4] Nerve conduction studies may be useful in the re-evaluation phase and should be reserved for: 1) cases of persistent or worsening symptoms and clinical signs despite a trial of conservative treatment; 2) cases where the diagnosis remains in question and the history and physical exam are suggestive of another type or location of nerve pathology. Electrophysiologic studies can be falsely negative in 10-20% of individuals with clinical CTS and false-positives in asymptomatic people do occur rarely. Therefore the results must be considered in the context of the history, physical exam and presence of occupational risk factors. A complete evaluation should include distal median and ulnar nerve sensory and motor nerve conduction studies under controlled limb temperature conditions. The laboratory standards for an abnormal test should be consistent with published values and stated in the report. Nerve conduction studies are also useful to determine the site of nerve impingement if a more proximal location is suspected, and can be helpful in the detection of a generalized polyneuropathy. 3.2.7 Ergonomic Evaluation If continued occupational exposure to exacerbating factors is contributing to delayed recovery a worksite evaluation by a specialist trained in ergonomics may be necessary. [4] 3.2.8 Psychological evaluation A psychological evaluation with justification may be appropriate in cases where little clinical improvement is noted. [3] 3.3 Inappropriate secondary assessment methods 3.3.1 Vibrometry [1] 3.3.2 Portable neurometer [1] 4.0 Secondary Treatment 4.1 Purpose 4.1.1 Nerve entrapment syndromes: The goal of secondary treatment is the symptom-free return to full employment (in a graded manner) with the provision of appropriate immediate and long-term work and activity modifications to prevent recurrence. Continuance of conservative treatment is warranted if symptoms are improving. If there has been no improvement, or clinical progression despite the injured worker's compliance with the initial treatment protocol (including adherence to work restrictions) further treatment strategies are recommended. These should also be considered in the injured worker who has initial improvement but plateaus with persistent symptoms during the continuation of conservative care. If there has been documented consistent improvement of symptoms and physical findings with adherence to the Initial Treatment Protocol outlined above, continued conservative treatment is warranted for up to 2-4 more months (for a total of approximately 6 months), with re-evaluation every 2-4 weeks. If there has been documented, consistent improvement of symptoms and physical findings with adherence to the Initial Treatment Protocol outlined above, continued conservative treatment is warranted. 4.1.2 Hand and wrist tendinitis/tenosynovitis: The purpose of secondary treatment of hand and wrist tendinitis/tenosynovitis is to optimize recovery from persistent symptoms. Most cases will respond to continued nonsurgical therapy. Secondary treatment for wrist pain will be diagnosis specific and designed to optimize recovery from persistent wrist pain causing conditions. 4.2 Appropriate secondary treatment methods 4.2.1 Education As part of the continuing medical and physical treatment programs, all patients should receive instruction reviewing their clinical progress, time frame for expected improvements, risk factor, preventive measures, appropriate exercises and treatment options. [4] Such instruction should be provided by the treating physician and may be supplemented by a physical or occupational therapist as part of an appropriate referral for flexibility and strengthening training. 4.2.2 Activity and environmental modifications 4.2.2.1 Restriction of occupational and nonoccupational activities which stress the affected area (via direct pressure, forceful or repetitive motion or static tension) should be continued or gradually relaxed based upon the clinical status. [4] Prescribed modified work guidelines should be as specific as possible, avoiding generic terms such as "light duty." Further direct communication with the employer can facilitate the permanent implementation of job task, tool, and workstation modifications to speed recovery and prevent recurrence. 4.2.3 Immobilization a. de Quervain's: Immobilization/stabilization for de Quervain's tenosynovitis of the wrist and thumb joint with a spica thumb splint or other device should usually not be continued for more than 4 weeks. [4] b. Hand and Wrist Tendinitis: Immobilization/stabilization with appropriate splints should be reduced as soon as the symptoms improve (e.g. use limited to performing exacerbating tasks), and discontinued when the symptoms are mild. [4] Continuous splinting should not exceed 4 weeks duration; intermittent or nocturnal splint use may be applied for longer periods. [4] Institution of splinting can be considered as a secondary treatment for persistent or worsening cases. [4] c. Nerve entrapment syndromes: If splinting has been on a continuous basis, it may be reduced to nighttime use only or PRN use for aggravating activities. [4] 4.2.4 Physical Treatments a. Graduated exercises as described in initial treatment may be continued during the rehabilitative process. [4] b. Manipulation/mobilization for joint dysfunction (not for nerve entrapment): After 6 treatment visits, an evaluation should be made to determine subjective and objective improvement. If there is no documented subjective and objective improvement, this modality should be discontinued. [3] c. Referral to an appropriate provider for training in flexibility and strengthening exercises can be considered for tendinitis/tenosynovitis. The duration of secondary physical treatment referral should not exceed 4 to 6 weeks. [4] d. Acupuncture [3] e. Biofeedback [3] 4.2.5 Passive Modalities Use of thermal modalities in conjunction with physical treatment may be useful in the treatment of tendinitis, tenosynovitis, de Quervain's, and wrist pain. 4.2.6 Medications a. Tendinitis/tenosynovitis/wrist pain: Oral nonsteroidal antiinflammatory medications (NSAIDs) may be continued judiciously after consideration of their cumulative adverse effects risk. Opioids should be reserved for pain refractory to other medications. [4] b. Nerve entrapment syndromes: If anti-inflammatory agents have been used continuously in the initial 6-8 weeks of treatment, they should be discontinued as the risk of side-effects outweighs potential benefits. [4] They may be re-instituted for brief trials in the event of symptom flare. Acetaminophen may be used periodically. [4] 4.2.7 Injection 4.2.7.1 Tendinitis/Tenosynovitis a. If not used during the first month, local injection of steroid medication (with or without accompanying local anesthetic medication)can be used for cases of persistent symptoms after consideration of the risks of this procedure. [4] b. Repeat corticosteroid injections can be given at intervals, to a maximum of 3 injections during the course of the second and third months. [4] c. The suspected presence of focal infection (e.g. tuberculous tendinitis) is a contraindication to steroid injection. Extra caution is warranted in the injection of steroids around the extensor pollicis longus tendon at or distal to Lister's tubercle given the elevated risk of tendon rupture. [4] d. Steroid injection therapy must be accompanied by the activity modifications discussed above. 4.2.7.2 Nerve Entrapment Nerve Entrapment corticosteroid injection (with or without local anaesthetic) can be considered if significant symptoms (especially paresthesias) persist. [4] Injections are only occasionally curative, usually in the injured worker who has been symptomatic for less than three months. A significant percentage of people have attenuation of their symptoms with injection, a good prognostic sign if surgery is eventually necessary. Symptoms frequently return within weeks to months. If there is improvement in symptoms, the injection serves as a diagnostic aid. If relief is prolonged (weeks to months), repeat injections can be given, to a maximum of three, at intervals not less than 6-8 weeks apart. Contraindications - drug allergy, bleeding disorder, space-occupying lesion. Potential complications - local hematoma, infection, tendon rupture, reflex sympathetic dystrophy, and inadvertent injection of the median nerve with worsening symptoms. Transient median nerve symptoms occur frequently. 4.2.8 Surgical Treatments 4.2.8.1 Tendinitis/Tenosynovitis a. Surgical intervention can be considered for cases showing little or no improvement after failure of conservative therapy. [4] b. Many cases of refractory tendinitis/tenosynovitis are due to the presence of conditions which are not amenable to nonsurgical treatment (e.g. anomalous tendon slips, strictures, large calcifications, tendon subluxation. [4] 4.2.8.2 Nerve entrapment syndromes: Surgical consultation in the re-assessment phase is indicated if: [4] a. the diagnosis of Nerve Entrapment Syndromes has been reasonably established and other pathologies excluded; and b. atrophy or weakness is present; or c. there is unremitting sensory loss or paresthesias or markedly abnormal nerve conduction studies; or d. the injured worker has failed a 3-6 month course of adequate conservative therapy; or e. the symptoms and physical signs continue to progress during conservative therapy. Surgery should be performed only by a Hand, Orthopedic, Plastic, or Neuro Surgeon with extensive experience in the selection of candidates for surgical intervention and in the procedure itself. Surgical aftercare should be managed by the surgeon. 4.2.8.3 Surgical procedures are indicated for an appropriately diagnosed, surgically correctable lesions. 4.3 Inappropriate Secondary Treatment Methods 4.3.1 Medications a. Use of oral corticosteroids is rarely indicated. [1] b. Pyridoxine / Vitamin B6 [1] c. Muscle relaxants [1] 4.4 Case management If the injured worker has not resumed near normal work duties after 8 weeks of full conservative therapy including adherence to a graded exercise program, a referral to a physician trained and experienced in the evaluation and treatment of occupational disorders or an orthopedic surgeon is recommended. Consultation should include a complete evaluation and recommendations for treatment and return to appropriate work. If psychosocial issues are judged to contribute to delayed recovery or heightened disability, it may be appropriate to have a psychiatric evaluation. If the condition becomes chronic or disabling despite full conservative treatment including appropriate medical, rehabilitative, and ergonomic interventions (and surgery if indicated), the injured worker should be evaluated for permanent disability. 5.0 Primary References 1. Amadio PC: Carpal tunnel syndrome, pyridoxine, and the workplace. J Hand Surg:12A(5p2):875-880,1987. 2. American Academy of Neurology: Practice parameters: carpal tunnel syndrome (summary statement) 2/22/93. 3. American Academy of Orthopaedic Surgeons (1991). Clinical Policies: De Quervain's Stenosing Tenosynovitis; pp. 1-2. 4. Anderson BC, Manthey R, Brouns MC (1991). Treatment of de Quervain's tenosynovitis with corticosteroids: A prospective study of the response to local injection. Arthritis and Rheumatism 34(7); 793-798. 5. Arons MS (1987). De Quervain's release in working women: A report of failures, complications, and associated diagnoses. Journal of Hand Surgery 12A; 540-544. 6. Baker EL, Ehrenberg RL: Preventing the work-related carpal tunnel syndrome: physician reporting and diagnostic criteria. Ann Int Med 112(5):317-319,1990. 7. Birkbech MQ, Beer TC: Occupation in relation to the carpal tunnel syndrome. Rheum and Rehab 14:218-221,1975. 8. Chidgey LK (1992): Chronic wrist pain. Orthopedic Clinics of North America 23(1); 49-64. 9. Clark DD, Ricker JH, MacCollum MS (1973). The efficacy of local steroid injection in the treatment of stenosing tenovaginitis. Plastic and Reconstructive Surgery 49; 179-180. 10. Crow RS: Treatment of the carpal tunnel syndrome. B Med J 1: 1611- 1615,1960. 11. deKrom MC, Kester ADM, Knipschild PG, Spaans F: Risk factors for carpal tunnel syndrome. Am J Epi 132(6):1102-1109,1990. 12. deKrom MC, Knipschild PG, Kester ADM, Spaans F: Efficacy of provocative tests for diagnosis of carpal tunnel syndrome. Lancet 335:393-395,1990. 13. Dellon AL: Clinical use of vibratory stimuli to evaluate peripheral nerve injury and compression neuropathy. Plas Recon Surg 65(4):466-476,1980. 14. Duncan KH, Lewis RC, Foreman KA, Nordyke MD: Treatment of carpal tunnel syndrome by members of the American Society for Surgery of the Hand: results of a questionnaire. J Hand Surg 12A(3):384-391,1987. 15. Elliot BG (1992). Finkelstein's test: A descriptive error that can produce a false result. Journal of Hand Surgery 17B; 481-482. 16. Faithfull DK, Lamb DW (1971). De Quervain's disease - A clinical review. The Hand 3(1); 23-30. 17. Feldman RG, Goldman R, Keyserling WM: Peripheral nerve entrapment syndromes and ergonomic factors. Am J Ind Med 4:661-681,1983. 18. Franklin GM, Haug J, Heyer N, Checkoway H, Peck N: Occupational carpal tunnel syndrome in Washington State 1984-1988. Am J Pub Health 81:741-746,1991. 19. Franzblau A, Flaschner D, Albers JW, Blitz S, Werner R, Armstrong T: Medical screening of office workers for upper extremity cumulative trauma disorders. Arch Environ Health 48(3):164-170,1993. 20. Franzblau A, Werner R, Valle J, Johnston E: Workplace surveillance for carpal tunnel syndrome: a comparison of methods. J Occ Rehab 3(1):1-14,1993. 21. Gelberman RH, Aronson D, Weisman MG: Carpal tunnel syndrome, results of a prospective trial of steroid injection and splinting. J Bone Joint Surg (Am)62:1181-1184,1980. 22. Gelberman RH, Rydevik BL, Pess GM, Szabo RM, Lundborg G: Carpal tunnel syndrome, a scientific basis for clinical care. Orth Clinics of N Am 19(1):115- 124,1988. 23. Gelberman RH, Szabo RM, Williamson RV, Dimick MP: Sensibility testing in peripheral-nerve compression syndromes, an experimental study in humans. J Bone Joint Surg 65A(5):632-638,1983. 24. Gieck JH, Saliba EN (1987). Application of modalities in overuse syndromes. Clinics in Sports Medicine 6(2); 427-466. 25. Gilula LA, Destouet JM, Weeks PM, Young LV, Wray RC. (1984) Roentgenographic diagnosis of the painful wrist. Clinical Orthopedics and Related Research 187; 52-64. 26. Goodman HV, Gilliatt RW: The effect of treatment on median nerve conduction in patients with the carpal tunnel syndrome. Ann Phys Med 6(4):137-154,1961. 27. Gray RG, Kiem IM, Gottlieb NL (1978). Intratendon sheath corticosteroid treatment of rheumatoid arthritis-associated and idiopathic hand flexor tenosynovitis. Arthritis and Rheumatism 21(1); 92-96. 28. Green, DP: Diagnostic and therapeutic value of carpal tunnel injection. J Hand Surg 9A(6):850-854,1984. 29. Gupta A, Kleinert HE (1993): Evaluating the injured hand. Hand Clinics 9(2); 195-212. 30. Harvey FJ, Harvey PM, Horsely MW (1990). De Quervain's disease: Surgical or nonsurgical treatment. Journal of Hand Surgery 15A; 83-87. 31. Jablecki CK, Andary MY, So YT, Wildins DE, Williams FH: Literature review of the usefulness of nerve conduction studies and electromyography for the evaluation of patient injured workers with carpal tunnel syndrome. Muscle and Nerve 16:1392-1414,1993. 32. Kasdan ML: Medical and surgical management of cumulative trauma disorders of the wrist and hand. Trends in Ergonomics/Human Factors IV, Elsevier Science Publishers B.V., 1987. 33. Katz JN, Stirrat CR, Larson MG, Fossel AH, Eaton HM, Liang MH: A self-administered hand symptom diagram for the diagnosis and epidemiologic study of carpal tunnel syndrome. J Rheum 17(11):1495-1498,1990. 34. Kibler WB, Chandler TJ, Pace BK (1992). Principles of rehabilitation after chronic tendon injuries. Clinics in Sports Medicine 11(3); 661-671. 35. Kimura J: Electrodiagnosis in diseases of nerve and muscle: principles and practice. FA Davis Company 1983. 36. Kulick MI, Gordillo G, Javidi T, Kilgore ES, Newmeyer WL: Long-term analysis of patient injured workers having surgical treatment for carpal tunnel syndrome. J Hand Surg 11A(1):59-66,1986. RETROSPECT 37. Leadbetter WB, Pekka AM, Lane GJ, Lee SJ (1992). The surgical treatment of tendinitis: Clinical rationale and biologic basis. Clinics in Sports Medicine 11(4); 679-711. 38. Linn MR, Mann FA, Gilula LA (1990). Imaging the symptomatic wrist. Orthopedic Clinics of North America 21(3); 515-543. 39. McKenzie JMM (1972). Conservative treatment of de Quervain's disease. British Medical Journal 4; 659-660. 40. Minamikawa Y, Peimer C, Cox WL, Sherwin FS (1991). De Quervain's syndrome: Surgical and Anatomical Studies of the Fibroosseous canal. Orthopedics 14(5); 545-549. 41. Newport ML, Lane LB, Stuchin SA (1990). Treatment of trigger finger by steroid injection. Journal of Hand Surgery 15A; 748-750. 42. Otto N, Wehbe MA (1986). Steroid injections for tenosynovitis of the hand. Orthopaedic Review 15(5); 290-293. 43. Phalen GS: Reflections of 21 years' experience with the carpal tunnel syndrome. JAMA 212(8):1365-1367,1970. 44. Pin PG, Young VL, Gilula LA, Weeks PM (1990) Wrist pain: a systematic approach to diagnosis. Plastic and Reconstructive Surgery 85(1); 42-46. 45. Quinnell RC (1980). Conservative management of trigger finger. The Practitioner 224; 187-190. 46. Ranney D (1993): Work-related chronic injuries of the forearm and hand: their specific diagnosis and management. Ergonomics 36(8); 871-880. 47. Rempel DM, Harrison RJ, Barnhart S (1992): Work-related cumulative trauma disorders of the upper extremity. JAMA 267(6); 838-842. 48. Rempel DM, Harrison R, Barnhart S: Work-related cumulative trauma disorders of the upper extremity. JAMA 267(6):838-842,1992. 49. Rivenburgh DW (1992). Physical modalities in the treatment of tendon injuries. Clinics in Sports Medicine 11(3); 645-659. 50. Rhoades CE, Gelberman RH, Manjarris JF (1984). Stenosing tenosynovitis of the fingers and thumb. Clinical Orthopaedics and Related Research 190; 236-238. 51. Seror P: Nerve conduction studies after treatment for carpal tunnel syndrome. J Hand Surg (Br) 17B:641-645,1992. 52. Silverstein BA, Fine LJ, Armstrong TJ: Carpal tunnel syndrome: causes and a preventive strategy. Sem Occ Med 1(3):213-221,1986. 53. So YT, Olney RK, Aminoff MJ: Evaluation of thermography in the diagnosis of selected entrapment neuropathies. Neurol 39:1-5,1989. 54. Spinner RJ, Bachman JW, Amadio P: The many faces of carpal tunnel syndrome. Mayo Clin Proc 64:829-836,1989. 55. Steinberg DR, Gelberman RH, Rydevic B, Lundborg G: The utility of portable nerve conduction testing for patient injured workers with carpal tunnel syndrome: a prospective clinical study. J of Hand Surg 17A(1):77-81,1992. 56. Stevens JC: AAEE minimonograph #26: the electrodiagnosis of carpal tunnel syndrome. Muscle and Nerve 10:99-113,1987. 57. Stransky M, Rubin A, Lava NS, Lazaro RP: Treatment of carpal tunnel syndrome with vitamin B6: a double blind study. S Med J 82(7):841-842,1989. 58. Terrono AL, Millender LH (1992): Evaluation and management of occupational wrist disorders. In: Occupational Disorders of the Upper Extremity. Millender LH, Louis DS, Simmons BP, editors. Churchill Livingstone, New York; pp. 117- 143. 59. Thompson AR, Plewes LW, Shaw EG (1951). Peritendinitis crepitans and simple tenosynovitis: A clinical study of 544 cases in industry. British Journal of Industrial Medicine 8; 150-160. 60. Thorpe AP (1988). Results of surgery for trigger finger. Journal of Hand Surgery 13B(2); 199-201. 61. Thorson E, Szabo RM (1992). Common tendinitis problems in the hand and forearm. Orthopedic Clinics of North America 23(1); 65-74. 62. Thorson EP, Szabo RM (1989). Tendinitis of the wrist and elbow. Occupational Medicine State of the Art Reviews 4(3); 419-431. 63. Williams JGP, Royal F (1977). Surgical management of traumatic non-infective tenosynovitis of the wrist extensors. Journal of Bone and Joint Surgery 59B(4); 408-410. 64. Witt J, Pess G, Gelberman RH (1991). Treatment of de Quervain tenosynovitis: A prospective study of the results of injection of steroids and immobilization in a splint. Journal of Bone and Joint Surgery 73A(2); 219-222. 65. Witczak JW, Masear VR, Meyer RD (1990). Triggering of the thumb with de Quervain's stenosing tendovaginitis. Journal of Hand Surgery 15A; 265-268. Appendix 6.0 Extensor and Flexor Tendon Compartments Extensor compartments 1. Abductor pollicis longus and extensor pollicis brevis (de Quervain's tenosynovitis) 2. Extensor carpi radialis longus & brevis (Intersection syndrome) 3. Extensor pollicis longus 4. Extensor indicis proprius, extensor digitorum communis 5. Extensor digiti minimi 6. Extensor carpi ulnaris Flexor compartments 1. Flexor carpi radialis 2. Flexor carpi ulnaris 3. Flexor digitorum superficialis &profundus 4. Flexor pollicis longus Appendix 6.0: Wrist Pain - Differential Diagnosis (adapted from Chidgey article) Bone/Joint Fracture (occult/nonunion/malunion) Avascular necrosis: scaphoid, lunate Joint subluxation: distal radioulnar joint Carpal instabilities (static/dynamic): scapho-lunate dissociation, etc/ Arthritis/Arthrosis Post-traumatic, osteoarthritis, rheumatoid, gout, pseudogout, infection, etc. Osteomyelitis Bone cyst Ganglion cyst (intraosseous/extraosseous) Tumor (benign/malignant): enchondroma, osteoid osteoma, etc. Other: carpal boss, os styloideum Ligament Tear/avulsion ((no/) static/dynamic instability): triangular fibrocartilage, intercarpal ligament tears/ruptures etc. Sprain Tendon Subluxation: extensor carpi ulnaris Tendinitis: six extensor and three flexor wrist compartments (noncalcific/calcific) Muscle Muscle strain Chronic compartment syndrome Nerve Neuroma Neuropathy: median, ulnar, posterior interosseous, cutaneous sensory nerves, proximal source Compression/entrapment, toxic/metabolic, inflammatory, etc. Circulatory Ischemia Thrombosis Aneurysm Other Appendix 7.0 Description of IMC Appropriateness Levels Level 4 Level 3 Level 2 Level 1 Good Research Yes No No No Based Evidence Clinical Evidence Yes Yes Some No Consensus Of The Yes Yes Partial No Health Care Community Clinical Utility Approp- Accepta- Appropriate riate ble Of Appropriateness and or appr- in uncommon Inappropriate opria- te Level For Common recomm- in most individual cases. ended Knee cases Document the case-specific Problems clinical factors circumstances or which make this procedure reasonable and necessary for this injured worker. Note: Authority cited: Section 139(e)(8), Labor Code. Reference: Section 139(e)(8), Labor Code. s 100. The Application for Appointment as Qualified Medical Evaluator Form. QME FORM 100 (Rev. 1/2006) QME FORM 100 (Rev. 1/2006) QME FORM 100 (Rev. 1/2006) QME FORM 100 (Rev. 1/2006) For Use on the QME Reappointment Application Form IMPORTANT: PLEASE USE THREE LETTER SPECIALTY CODE WHEN COMPLETING BLOCK 8 OF APPLICATION FORM Attachment to Form 100 (Rev. 1/2006) s 101. The Alien Application Form. Form 101 Rev. 3/01/00 Form 101 Rev. 3/01/00 Form 101 Rev. 3/01/00 (IMC 101). IMC 101 (IMC 101) (IMC 101 IMC 101 s 102. The Application for QME Competency Examination Form. STATE OF CALIFORNIA ARNOLD SCHWARZENEGGER, GOVERNOR DEPARTMENT OF INDUSTRIAL RELATIONS DIVISION OF WORKERS'COMP-MEDICAL UNIT 1515 Clay Street, 17th Floor ADDRESS REPLY TO: Oakland, CA 94612 P.O. Box 420603 Tel: (510) 286-3700 or (800)794-6900San Francisco, CA 94142-0603 REGISTRATION FOR QME COMPETENCY EXAMINATION (DATE) PLEASE COMPLETE THIS REGISTRATION FORM AND RETURN POSTMARKED NO LATER THAN (Date). THE DIVISION OF WORKERS' COMPENSATION (DWC) IS NOT RESPONSIBLE FOR LATE OR LOST APPLICATIONS. PLEASE SEND YOUR REGISTRATION AND APPLICATION FORMS TO: DIVISION OF WORKERS' COMPENSATION - ATTN: EXAM UNIT MAILING ADDRESS: STREET ADDRESS FOR EXPRESS DELIVERY: P.O. BOX 42060 31515 CLAY STREET 17th FLR. SAN FRANCISCO, CA 94142-0603 OAKLAND, CA 94612 NAME: __________, __________, __________, __________ LAST FIRST M.I. JR/SR. ADDRESS: (street address) __________ __________ (city) __________, CA (ZIP) __________(+4) __________ PHONE NUMBER: ( ____ ) _____- _______ FAX NUMBER: ( ____ ) _____- _______ PHYSICIAN'S LICENSE NUMBER: __________-______________ Prefix Number EXAM DATE & TIME: (Date) Registration begins at 9:30 a.m. Examination begins at 10:00 a.m.MP21PREFERRED EXAM LOCATION:(TEST SITE WILL BE INDICATED ON YOUR CONFIRMATION LETTER FROM CPS.) [ ] Northern California [ ] Southern California DO YOU HAVE ANY NEED FOR ACCOMMODATIONS DUE TO A DISABILITY OR RELIGIOUS CONFLICT? [ ] No [ ] Yes (Please see the Special Administration Procedures at the back of this page.) AFFIRMATIONS and VERIFICATION I have used all reasonable diligence in preparing and completing this application. I have reviewed this completed application and to the best of my knowledge the information contained herein and in the attached supporting documentation is true, correct and complete. I declare under penalty of perjury under the laws of the State of California that the foregoing is true and correct. I understand that I must keep my license to practice active and that it currently is active. I certify that I am not currently on probation with my licensing board nor on any court-ordered probation. I certify I will notify the DWC of any of the following events: a) change in my license status; b) any past or future conviction related to the conduct of my practice or for any crime of moral turpitude; and c) upon being placed on probation by my licensing board or by any court-ordered probation. I certify that all the information and supporting documentation which I have previously submitted to the DWC with earlier QME application(s) is bona fide, true and correct. Executed on: __________ at ____________________ ________________________ mm/dd/yy County & State Applicant's Signature (OVER) Registering for Special Administration Procedures Examinee with a Disabling Condition or Religious Conflict Special administration arrangements can be provided for examinees who, due to a disability or religious conflict, would not be able to take the test under standard conditions. Requests for special arrangements must be made by the REGULAR REGISTRATION DEADLINE. It may not be possible to honor requests for special testing arrangements received after the regular registration deadline. Individuals whose religious convictions prohibit them from taking tests on Saturdays or religious holidays may request a special test administration. All of the following must be submitted if special arrangements are needed due to a disability: a letter from you describing the condition and the specific special arrangements requested, and a completed registration form. YOUR PROFESSIONAL LICENSE NUMBER AND TELEPHONE NUMBER MUST APPEAR ON ALL CORRESPONDENCE. If you need special facilities (e.g. wheelchair accessible building or restrooms), please notify by letter to Cooperative Personnel Services (CPS) at 241 Lathrop Way, Sacramento, CA 95815. In this case, it is not necessary to submit any medical documentation. Special arrangements for the following conditions can be accommodated at ALL test sites: special seating (e.g., due to pregnancy) wheelchair accessible facilities use of magnifying devices or large-print tests (e.g., for those with visual impairments). Arrangements that require SUBSTANTIAL CHANGES IN TESTING CONDITIONS may be accommodated only at selected test sites. If it is necessary to relocate you to accommodate any other type of request, you will be contacted directly to discuss the arrangement. QME Form 102 Rev. 1/2006 s 103. The QME Fee Assessment Form. STATE OF CALIFORNIA GRAY DAVIS, GOVERNOR DEPARTMENT OF INDUSTRIAL RELATIONS INDUSTRIAL MEDICAL COUNCIL 395 Oyster Point Blvd., Ste. 102 South San Francisco, CA 94080 ADDRESS REPLY TO: P.O. Box 8888 San Francisco, CA 94128-8888 Tel: (650) 737-2700 (1-800) 794-6900 Fax: (650) 737-2711 Fee Period: - License Number: Dear Dr.: Pursuant to Labor Code s 139.2(n) and 8 CCR, s 18, the Industrial Medical Council requires all physicians appointed or reappointed as Qualified Medical Evaluators (QMEs) to pay an annual fee. The QME fee is non-refundable. $250 FEE QMEs who have conducted 25 or more comprehensive medical - legal evaluations in the twelve months prior to assessment of the fee. All evaluations performed as a Qualified Medical Evaluator, Agreed Medical Evaluator, and Independent Medical Evaluator must be counted for the purpose of fee assessment (8 CCR ss 16, 17). $125 FEE QMEs who have conducted 11-24 comprehensive medical legal evaluations in the twelve months prior to assessment of the fee. All evaluations performed as a Qualified Medical Evaluator, Agreed Medical Evaluator, and Independent Medical Evaluator must be counted for the purpose of fee assessment (8 CCR ss 16, 17). $110 FEE QMEs who have conducted 0-10 comprehensive medical legal evaluations in the twelve months prior to assessment of the fee. All evaluations performed as a Qualified Medical Evaluator, Agreed Medical Evaluator, and Independent Medical Evaluator must be counted for the purpose of fee assessment (8 CCR ss 16, 17). ADDITIONAL LOCATIONS QMEs who perform evaluations at more than one medical office location are required to pay an additional $100 per location (8 CCR s 17). Misrepresentation of the number of evaluations performed or the number of additional locations shall constitute grounds for disciplinary proceedings (8 CCR s 60). Department of Industrial Relations Industrial Medical Council Location Fee Calculation Worksheet License Number: Street, City, State, Zip Code, Phone No. [ ] [ ] [ ] Enter total Number of ALL location boxes checked - -> __________ ________________________________________________________________ THIS SECTION MUST BE COMPLETED BY THE PHYSICAN. ____ $250 Primary fee for those physicans who have done 25 or more medical/legal evaluations. ____ $125 Primary fee for those physicans who have done 11-24 medical/legal evaluations. ____ $110 Primary fee for those physicans who have done 0-10 medical/legal evaluations. Based on the amount of primary fee I have paid. I hereby declare under penalty of perjury under laws of the State of California that the foregoing is true and correct. Physican's Signature___________________________ Date ___________ ________________________________________________________________ IMC Form 103 Rev. 5/05/00 s 104. The Reappointment Application as Qualified Medical Evaluator Form. REAPPOINTMENT APPLICATION AS QUALIFIED MEDICAL EVALUATOR For the Department of Industrial Relations Industrial Medical Council P.O. Box 8888 San Francisico, CA 94128-8888 ________________________________________________________________ BLOCK 1 (FOR ALL APPLICANTS) PLEASE TYPE OR PRINT LEGIBLY Please list your primary location. DO NOT USE P.O. BOX. Additional locations may be added when your fee assessment is paid. LAST NAME FIRST NAME MI JR/SR ------------------------------------------------------------------------------- BUSINESS ADDRESS FOR QME CITY ZIP + 4 EVALUAITONS ------------------------------------------------------------------------------- MAILING ADDRESS FOR CITY ZIP + 4 CORRESPONDENCE ------------------------------------------------------------------------------- CAL. PROFESSIONAL EXPIRATION (AREA CODE) PHONE NO. LICENSE NUMBER (MM/YY) ________________________________________________________________ BLOCK 2 (FOR MDs AND DOs ONLY) NOTE: APPLICANT MUST MEET ONE OF THE FOLLOWING REQUIREMENTS Yes No 1) I am board certified in the specialty for which I am applying to ( ) ( ) become a QME by a board recognized by the Council and the Medical Board of California or the Osteopathic Medical Board of California. Date board certification expires, if applicable___________________, (If you became board certified after your last QME application, you must attach a copy of the certificate of board certification). 2) I have completed the minimum requirements as definied by a ( ) ( ) specialty board recongnized by the Council for postgraduate training in the specialty at an institution recognized by the ACGME or the American Osteopathic Assocation on _____________________. (Date Completed) 3) I was an active qualified medical evaluator on June 30, 2000. ( ) ( ) 4) I have qualifications that the Council and the Medical Board of ( ) ( ) California or the Osteopathic Medical Board of California both deem to be equivalent to board certification in a specialty. (Please submit documenation). PROCEDD TO BLOCK 3 ________________________________________________________________ BLOCK 3 (FOR ALL APPLICANTS) NOTE: APPLICANT MUST MEET ONE OFTHE FOLLOWING REQUIREMENTS 1) I devote at least one-third of my total practice time to ( ) ( ) providing direct medical treatment ('Direct Medical Treatment' is the special phase of the health care provider-patient relationship which (a) attempts to clinically diagnose and alter or modify the expression of a non-industrial illness, injury or pathological condition; or (b) attempts to cure or relieve the effects of an industrial injury.) 2) I have served as an Agreed Medical Evaluator (AME) on eight (8) ( ) ( ) or more occasions in the 12 months prior to submitting this application. (Submit documentation of 8 AME's, i.e. AME cover letters, first page of report or a sworn statement made under peralty of perjury.) 3) I am currently a salaried faculty member at an accredited ( ) ( ) university or college. I have a current license to practice as a physican and have been engaged in teaching, lecturing, published writing or medical research at that university or college in my area of specialty for not less than one-third of my professional time. My practice in the three consecutive years immediatley preceding the time of application was not devoted solely to the forensic evaluation of disability. (Please submit evidence of your faculty appointment.) 4) I am retired from active practice. I have a minimlum of 25 ( ) ( ) years' experience in practice as a physician and currently I practice fewer than 10 hours per week on direct medical treatment as a physician. My practice in the three consecutive years immediately preceding the time of reappointment was not devoted solely to the forensic evaluation of disability. 5) I am retired from active practice due to a documented medical or ( ) ( ) physican disability as defined pursuant to Gov't Code s 12926 and currently practicing in my specialty fewer then 10 hours per week. I have 10 years' experience in workers' compensation medical issues as a physican. My pracitce in the three consecutive years immediately preceding the time of application was not devoted solely to the forensic evaluation of disability. (Please submit medical documentation of you disability.) PROCEED TO BLOCK 4 ________________________________________________________________ BLOCK 4 (FOR ALL APPLICANTS) PLEASE INDICATE SPECICALTY(IES) FOR WHICH YOU ARE APPLYING TO DO OME EXAMS (USE ENCLOSED SPECIALTY CODE LIST) Professional practice specialty code: (______) Professional practice specialty code: (______) Professional practice specialty code: (______) PROCEED TO BLOCK 4 ________________________________________________________________ BLOCK 5 (FOR ALL APPLICANTS) INITIAL EACH BOX AFFIRMATIONS Initialing each box affirms that you have read and agree to each of the statments. A. License Statues My license to practice is currently active and unrestricted. I ( ) certify that I will notify the IMC of any of the following events: a) change in my license status; b) any past or future conviction related to the conduct of my practice or for any crime of moral turpitude; and c) upon being placed on probation by my licensing board or by any court-ordered probation. I understand that in suce cases I am subject to disciplinary action by the IMC. B. Probationary Status I certify that I am not currently on probation with my licensing ( ) board nor on any court-orderd probation. I certify that I have not committed a misdemeanor or felony related to my practice. I further cerify that my licensing board has not taken anu action against me and my license to practice is unrestricted. (Do not initial if your statement is untrue; attach explanation on separate piece of paper. I understand that in such cases I am subject to disceplinary action by the IMC.) C. Financial Interest I have read and understand Labor Code Sections 139.3 and 139.31. I ( ) agree that I shall abide by all their provisions. I will not refer patients to facilities in which I or my family members have a financial interest, except a permitted by law. I agree I shall not offer, deliver, recieve or accept any rebate, refund, commission, preference, patronage, dividend, discount or other consideration, whether in the form money or otherwise, as compensation or inducement for any referred evaluation or consultation. I agree not to solicit to provide medical treatment to an injured employee for any injury for which I have done a QME evaluation. I have not perfomed a QME evaluation while not certified by the IMC as a QME. D. Continuing Education Courses List the continuning education courses you have completed within the last 24 months: Name of Provider Name of Course Date(s) Number of Credits ---------------- -------------- ------- ----------------- ---------------- -------------- ------- ----------------- ---------------- -------------- ------- ----------------- ---------------- -------------- ------- ----------------- ________________________________________________________________ VERIFICATION I have used all reasonable diligence in preparing and completing this application. I have reviewed this completed application and to the best of my knowledge the information contained herein and in the attached supporting documentation is true, correct and complete. Failure to provide truthful information shall result in denial of applicant's reappointment and/or discipinary procedures. I declare under penalty or perjury under the State of California that the foregoing is true and correct. ___________ ______ _______________________ Executed on (MM/DD/YY) at County CA Applicant's Signature IMC FORM 104 Rev. 8/30/01 A PUBLIC DOCUMENT PRIVACY NOTICE - The Information Practices Act of 1977 and the Federal Privacy Act require the Industrial Medical Council (IMC) to provide the following notice to individuals who are asked by a governmental entity to supply information for appointment as a Qualified Medical Evaluator (QME). The principal purpose for requesting information from QMEs is to administer the QME program within the California workers' compensation system. Additional information may be requested if your application is denied and/or a disciplinary action is taken. The California Labor Code requires every QME physician to meet certain statutory requirements. Physicians are required by the Labor Code to provide: name; business address/addresses; professional education; training; license number; year entered practice and other requirements deemed necessary by the IMC. It is mandatory to furnish all the appropriate information requested by the IMC. Failure to provide all of the requested information may result in the denial of the application. As authorized by law, information furnished on this form may be given to: you, upon request; the public, pursuant to the Public Records Act; a governmental entity, when required by state or federal law; to any person, pursuant to a subpoena or court order or pursuant to any other exception in Civil Code s 1798.24. An individual has a right of access to records containing his/her personal information that are maintained by the IMC. An individual may also amend, correct, or dispute information in such personal records (Civil Code s 1798.34-1798.37). Requests should be sent to: The Industrial Medical Council P.O. BOX 8888 SAN FRANCISCO, CA 94128-8888 (650) 737-2700 www.dir.ca.gov You may request a copy of the IMC policy and procedures for inspection of records at the above address. Copies of the procedures and all records are twenty-five cents ($0.25) per page, payable in advance. (Civil Code s 1798.33). IMC Form 104 Rev. 8/30/01 For Use on the QME Reappointment Application Form MD/DO Specialty Codes Non-MD/DO Specialty Codes MAI Allergy and Immunology *denotes a doctor of chiropractic MAA Anesthesiology who has completed a chiropractic MRS Colon & Rectal Surgery post-graduate specialty program MDE Dermatology MEM Emergency Medicine ACA Acupuncture MFP Family Practice - MD DCH Chiropractic - OFP Family Practice - DO DCN Chiropractic-Neurology* OFM Family Practice - DO - DCO Chiropractic Including Osteopathic -Orthopaedic* Manipulation MPM General Preventive Medicine DCR Chiropractic - Radiology* MOH Hand-Orthopaedic Surgery DCS Chiropractic - Sports Medicine* MPH Hand-Plastic Surgery DCT Chiropractic - Rehabilitation* MSH Hand-Surgery DEN Dentistry MMM Internal Medicine OPT Optometry MMV Internal Medicine- POD Podiatry Cardiovascular Disease PSY Psychology MME Internal Medicine-Endocrinology PSN Psychology-Clinical Diabetes and Metabolism Neuropsychology MMG Internal Medicine- Gastroenterology MMH Internal Medicine-Hematology MMI Internal Medicine-Infectious Disease MMO Internal Medicine-Medical Oncology MMN Internal Medicine-Nephrology MMP Internal Medicine-Pulmonary Disease MMR Internal Medicine-Rheumatology MOQ Medicine - Otherwise Qualified MPB Neurological Surgery-Including Back MPN Neurology MNS Neurological Surgery MNM Nuclear Medicine MOG Obstetrics and Gynecology MPO Occupational Medicine MOP Ophthalmology MOS Orthopaedic Surgery MOB Orthopaedic Surgery- Including Back MTO Otolaryngology MAP Pain Management-Anesthesiology MPP Pain Management-Pain Medicine MHA Pathology MEP Pediatrics MPR Physical Medicine & Rehabilitation MPS Plastic Surgery MPD Psychiatry MRY Radiology MSY Surgery MSG Surgery-General Vascular MTS Thoracic Surgery MPT Toxicology-Occupational Medicine MET Toxicology-Emergency Medicine MUU Urology Attachment to Form 104 Rev. 8/30/01 s 105. The Request for Qualified Medical Evaluator Instruction Form. STATE OF CALIFORNIA GRAY DAVIS, GOVERNOR ---------------------------------------------------------------- DEPARTMENT OF INDUSTRIAL RELATIONS INDUSTRIAL MEDICAL COUNCIL ADDRESS REPLY TO: 395 OYSTER POINT BLVD., STE. 102 P.O. Box 8888 SOUTH SAN FRANCISCO, CA 94080 San Francisco, CA 94128-8888 TEL: (650) 737-2700 (800) 794-6900 Fax: (650) 737-2911 HOW TO REQUEST A QUALIFIED MEDICAL EVALUATOR IF YOU DO NOT HAVE A LAWYER Since you do not have a lawyer, you may ask the Industrial Medical Council for help in getting a Qualified Medical Evaluator (QME). The QME will look at your injury and answer medical questions about it. To ask for a QME, please fill out the attached form and return immediately. You may ask for help from your treating doctor to determine the specialty appropriate for your injury. If the request form is incomplete or improperly completed, the form will be returned to you to correct the problem. After our office processes your request, you will receive, in the mail, a list of three QMEs. These QMEs are selected at random and should have an office close to you. Only you may select the specialty of the QME who performs the evaluation. You must make your appointment with one of the QMEs on the list. If the QME cannot make an appointment for an evaluation within 60 days of your call, your may either wait to see that QME of your choice or you may call us to get a replacement QME for your list. After completing the evaluation, the QME must send you a report within: (a) 30 days of your appointment - if date of injury is on or after 1/1/94 or, (b) 45 days of your appointment - if date of injury is between 1/1/91 and 12/31/93. Please call the Industrial Medical Council at 1-800-794-6900, or the Information and Assistance officer from the Division of Workers' Compensation at 1-800-736-7401, if you have any questions relating to your workers' compensation claim. Attachment to: IMC Form 106 IMC Form 105 Rev. 3/01/00 s 106. The Request for Qualified Medical Evaluator Form. For Use with the QME Panel Request Form [Note: The following TABLE/FORM is too wide to be displayed on one screen. You must print it for a meaningful review of its contents. The table has been divided into multiple pieces with each piece containing information to help you assemble a printout of the table. The information for each piece includes: (1) a three line message preceding the tabular data showing by line # and character # the position of the upper left-hand corner of the piece and the position of the piece within the entire table; and (2) a numeric scale following the tabular data displaying the character positions.] ******************************************************************************* ******** This is piece 1. -- It begins at character 1 of table line 1. ******** ******************************************************************************* MAI Allergy and Immunology MAA Anesthesiology MRS Colon & Rectal Surgery MDE MEM Emergency Medicine MFP Family Practice - MD OFP Family Practice - DO OFM Family Practice - DO - Including Osteopathic Manipulation MPM General Preventive Medicine MOH Hand-Orthopaedic Surgery MPH Hand-Plastic Surgery MSH Hand-Surgery MMM Internal Medicine MMV Internal Medicine- Cardiovascular Disease PSY MME Internal Medicine-Endocrinology Diabetes and Metabolism MMG Internal Medicine- Gastroenterology MMH MMI Disease MMO Internal Medicine-Medical Oncology MMN Internal Medicine-Nephrology MMP Internal Medicine-Pulmonary Disease MMR Internal Medicine-Rheumatology MOQ Medicine - Otherwise Qualified MPB Neurological Surgery-Including Back MPN Neurology MNS Neurological Surgery MNM Nuclear Medicine MOG Obstetrics and Gynecology MPO Occupational Medicine MOP Ophthalmology MOS Orthopaedic Surgery MOB Orthopaedic Surgery- Including Back MTO Otolaryngology MAP Pain Management-Anesthesiology MPP Pain Management-Pain Medicine MHA Pathology MEP Pediatrics MPR Physical Medicine & Rehabilitation MPS Plastic Surgery MPD Psychiatry MRY Radiology MSY Surgery MSG Surgery-General Vascular MTS Thoracic Surgery MPT Toxicology-Occupational Medicine MET Toxicology-Emergency Medicine MUU Urology Attachment to Form 106 Rev. 4/14/00(A) 1...+...10....+...20....+...30....+...40....+...50....+...60 ******************************************************************************* ******* This is piece 2. -- It begins at character 61 of table line 1. ******** ******************************************************************************* MD/DO Specialty Codes Non-MD/DO Specialty Codes Dermatology ACA Acupuncture DCH Chiropractic DCN Chiropractic-Neurology [FNa1] DCO Chiropractic -Orthopaedic [FNa1] DCR Chiropractic - Radiology [FNa1] DCS Chiropractic - Sports Medicine [FNa1] DCT Chiropractic - Rehabilitiation [FNa1] DEN Dentistry OPT Optometry POD Podiatry Psychology PSN Psychology-Clinical Neuropsychology Internal Medicine-Hematology Internal Medicine-Infectious MD/DO Specialty Codes 61..+...70....+...80....+...90....+....0....+...10....+...20.. s 107. The Qualified Medical Evaluator Panel Selection Form. STATE OF CALIFORNIA GRAY DAVIS, GOVERNOR ---------------------------------------------------------------- DEPARTMENT OF INDUSTRIAL RELATIONS INDUSTRIAL MEDICAL COUNCIL ADDRESS REPLY TO: 395 OYSTER POINT BLVD., STE. 102 P.O. Box 8888 SOUTH SAN FRANCISCO, CA 94080 San Francisco, CA 94128-8888 TEL: (650) 737-2700 (800) 794-6900 Fax: (650) 737-2911 INJURED WORKER INFORMATION Panel # __________ Date of Request: ___________ Date of Issue: __________ Claim No.: _________________ Date of Injury: _________ Claims Administrator: ________________________________ To: ________________________________ ________________________________ ________________________________ ---------------------------------------------------------------- SELECTED QUALIFIED MEDICAL EVALUATOR PANEL: ( ) PHYSICIAN'S NAME ADDRESS Tel. No.: SPECIALTY YEARS IN PRACTICE PHYSICIAN'S EDUCATION PHYSICIAN'S TRAINING ( ) PHYSICIAN'S NAME ADDRESS Tel. No.: SPECIALTY YEARS IN PRACTICE PHYSICIAN'S EDUCATION PHYSICIAN'S TRAINING ( ) PHYSICIAN'S NAME ADDRESS Tel. No.: SPECIALTY YEARS IN PRACTICE PHYSICIAN'S EDUCATION PHYSICIAN'S TRAINING. IMC FORM 107 Rev. 3/01/00 Note: Authority cited: Sections 139.2, 4061 and 4062, Labor Code. Reference: Section 139.2, Labor Code. s 108. The Request for Qualified Medical Evaluator Panel Selection Instruction Form. STATE OF CALIFORNIA GRAY DAVIS, GOVERNOR ---------------------------------------------------------------- DEPARTMENT OF INDUSTRIAL RELATIONS INDUSTRIAL MEDICAL COUNCIL ADDRESS REPLY TO: 395 OYSTER POINT BLVD., STE. 102 P.O. Box 8888 SOUTH SAN FRANCISCO, CA 94080 San Francisco, CA 94128-8888 TEL: (650) 737-2700 (800) 794-6900 Fax: (650) 737-2911 To: Injured Worker This list of Qualified Medical Evaluator (QME) physicians is being issued to you because a "Request for a Qualified Medical Evaluator" form was received in our office. These physicians were randomly selected by a computer. The QME you choose will evaluate or make determinations on medical questions about your work injury. For injuries prior to 1/1/94, the QME performs the final permanent disability evaluation once your treating physician determines that you condition is permanent and stationary. For injuries as of 1/1/94, a QME is only used when there is a dispute over the primary treating physicians report. Please take the following steps: 1) Select one QME physician off the list Your claims administrator (or if none, employer) should not select the QME or influence you on which physician to pick. You may consult with an Information and Assistance Officer in your area by calling 1-800-736-7401 before making a selection. You may also consult with an attorney. If you decide to become represented by an attorney, you should not select a QME from the list. For injuries on or after 1/1/94, if your primary treating physician or an other physician(s) who has treated you for this injury is listed on your panel you must call the Industrial Medical Council (IMC) for a replacement since your primary treating physician(s) cannot also be your QME. 2) Call the QME physician's office to make your appointment. Make it clear to the QME's office staff that you are calling for a "QME exam". The person at the doctor's office will ask you for information that you will find on the upper right corner of the attached form. If the doctor you choose from your panel cannot arrange an appointment for evaluation with you within 60 days of your call, the QME's office may not offer you a substitute QME who is not on the list. You may: a) select one of the other QMEs on the list; b) call the IMC at 1-800-794-6900 to request that the unavailable QME on the list be replaced; or c) agree to wait over the 60-day period to see any of the QMEs listed on your panel. 3) Review of medical records You should be provided with copies of medical and non-medical records at least 20 days before information is to be provided to the QME. Within 10 days of receipt of the records, you may object to any non-medical records that might be sent to the QME for review. If you plan to provide information to the QME, you must provide a copy of any medical or non-medical records you will be providing the QME to the claims administrator (or employer) at least 20 days before information is to be provided to the QME. Failure to send a copy of all records being sent to the QME may adversely affect your claim. Your claims administrator (or employer) has 10 days after receiving the information to object to non-medical records. Copies of non-medical records objected to will not be provided to the QME but may be seen by the workers' compensation judge in your case, or by the QME at a later date if your claims administrator contests medical issues in your claim. 4) Your employer will pay for the exam Your claims administrator (or employer) will pay for the exam, any translator services you need for the exam and for any reasonable cost to get you to and from the QME evaluation. You will also be paid disability benefits for each day of the evaluation, if you lose wages. 5) If the IMC does not provide you with a panel of QMEs within 15 working days of receipt of your request, you may choose any QME (with the proper specialty for your injury). If the difference between "Date Request Received" and "Date of Issue" on your panel shows more than 15 working days, you may: choose to go to one of the QMEs on your panel; go to any Information and Assistance Office for assistance in choosing a QME; or call the Industrial Medical Council at 1-800-794-6900 to request a new panel of QMEs with the specialty you need for your evaluation. 6) A QME may not offer or solicit you to become your treating physician. However, you have the right to request the QME to become your treating physician. You may wish to consult with an Information and Assistance officer prior to this decision. 7) For additional information contact the IMC and request its pamphlets "Your Medical Evaluation" and "Fact Sheet for Injured Workers". 8) If the QME does not send the report on time, contact the IMC. (a) 30 days of your appointment - if date of injury is on or after 1/1/94 or, (b) 45 days of your appointment - if date of injury is between 1/1/91 and 12/31/93. IMC FORM 108 Rev. 3/01/00 IMC FORM 108 Rev. 3/01/00 Note: Authority cited: Sections 133, 139, 139.2, 4061 and 4062, Labor Code. Reference: Sections 139.2, 4061, 4061.5 and 4062, Labor Code. s 109. The Notice of Qualified Medical Evaluator Unavailability Form. STATE OF CALIFORNIA GRAY DAVIS, GOVERNOR ---------------------------------------------------------------- DEPARTMENT OF INDUSTRIAL RELATIONS INDUSTRIAL MEDICAL COUNCIL ADDRESS REPLY TO: 395 OYSTER POINT BLVD., STE. 102 P.O. Box 8888 SOUTH SAN FRANCISCO, CA 94080 San Francisco, CA 94128-8888 TEL: (650) 737-2700 (800) 794-6900 Fax: (650) 737-2911 NOTICE OF QME UNAVAILABILITY (Form must be filed 30 days prior to date of unavailability) TO: EXECUTIVE MEDICAL DIRECTOR INDUSTRIAL MEDICAL COUNCIL Please check the appropriate boxes, if you will be unavailable for panel assignment for a period of 14 days or more. ( ) Please accept this notice that I will be unavailable for qualified medical evaluation panel selection assignment: from ________________________ to _____________________ (month, day, year) (month, day, year) ( )Check here if you have filed for unavailabe during the calendar year. ( ) I will no longer be available for qualified medical evaluation assignment. Please remove my name from the list of Qualified Medical Evaluator. ---------------------------------------------------------------- ( ) The above information is for all of my QME office locations. ( ) The above information is only for the QME office location(s)listed below. QME Office Street Address: _____________________________________ City _____________________________CA, Zip Code__________________ QME Office Street Address: _____________________________________ City _____________________________CA, Zip Code _________________ QME Office Street Address: _____________________________________ City _____________________________CA, Zip Code _________________ Signature __________________Date ___________License # __________ Name(print/type) __________________________________ (Area Code) Phone # _____________________________ Note : It is not an acceptable reason for unavailability that a QME does not intend to perform evaluations for unrepresented workers. A QME who is unavailable may not perform QME evaluation until the QME has been reinstated. A QME who is unavailable for more than 90 days during the calendar year without good cause may be denied reappointment. Send this completed form to: INDUSTRIAL MEDICAL COUNCIL P.O. BOX 8888 SAN FRANCISCO, CA 94128-8888 (650) 737-2700 OR (800) 794-6900 (650) 737-2707 FAX IMC Form 109 Rev. 3/01/00 Note: Authority cited: Sections 139 and 139.2, Labor Code. Reference: Sections 139.2, 4061 and 4062, Labor Code. s 110. The Appointment Notification Form. STATE OF CALIFORNIA GRAY DAVIS, GOVERNOR ---------------------------------------------------------------- DEPARTMENT OF INDUSTRIAL RELATIONS INDUSTRIAL MEDICAL COUNCIL ADDRESS REPLY TO: 395 OYSTER POINT BLVD., STE. 102 P.O. Box 8888 SOUTH SAN FRANCISCO, CA 94080 San Francisco, CA 94128-8888 TEL: (650) 737-2700 (800) 794-6900 Fax: (650) 737-2911 QME APPOINTMENT NOTIFICATION FORM To The Qualified Medical Evaluator: You are required by law to give notice on a prescribed form when an appointment has been made with you to perform a QME comprehensive medical evaluation. The Industrial Medical Council (IMC) has prescribed this form for this purpose. Please complete this form in its entirety, noting that you are legally required to include: the name and address of the employee, the name of the employer and claims administrator, and the appointment time and date. The IMC also requires that you serve this appointment notification form on the employee and the employer/insurer or if none, within five (5) days after having scheduled the injured worker to be seen for a QME comprehensive medical evaluation. _______________________________________________________________ EMPLOYEE INFORMATION _______________________________________________________________ NAME ___________________________________________________________ STREET ADDRESS _________________________________________________ (City, State, Zip) _____________________________________________ (AREA CODE) PHONE # __________________ SOCIAL SECURITY # _____________________ Social Security Number is for record-keeping purposes only. DATE OF INJURY __________ PANEL # __________ CLAIM # __________ _______________________________________________________________ EMPLOYER INFORMATION NAME ___________________________________________________________ STREET ADDRESS _________________________________________________ (City, State, Zip) _____________________________________________ (AREA CODE) PHONE # ____________________________________________ ________________________________________________________________ INSURER or CLAIMS ADMINISTRATOR INFORMATION ________________________________________________________________ NAME ___________________________________________________________ COMPANY ________________________________________________________ ADDRESS ________________________________________________________ (AREA CODE) PHONE # ________________________ ________________________________________________________________ DATE OF DATE OF TIME OF APPOINTMENT CALL __________ APPOINTMENT __________ APPOINTMENT __________ LOCATION OF APPOINTMENT: _________________________ CERTIFIED INTERPRETER REQUIRED: (language) _____________________ COPY TO: ( )EMPLOYEE ( )CLAIMS ADMINISTRATOR (IF NONE, EMPLOYER) Signature of QME __________________________ Date _______________ Name of QME (print/type) ______________________________ Address/Telephone ____________________________________ Note to Claims Administrator : The Administrative Director's regulation 10160 requires you to forward a completed DEU form 101, "Request for Summary Rating," together with all medical reports and medical records prior to the scheduled examination with the QME. You must also provide the employee with a DEU Form 100, "Employee's Disability Questionnaire," prior to the examination. IMC FORM 110 Rev. 3/01/00 Note: Authority cited: Sections 139 and 139.2, Labor Code. Reference: Sections 139.2, 4061 and 4062, Labor Code. s 111. The Qualified or Agreed Medical Evaluator Findings Summary Form. Department of Industrial Relations, Industrial Medical Council, PO Box 8888, San Francisco, CA 94128w (650) 737-2700 Qualified or Agreed Medical Evaluator's Findings Summary Form State of California 1. Employee Name (First, Middle, Last) 2. Social Sec No. (Optional) 3. Date of Injury (Mo/Dy/Yr) Employee 4. Street Address City Zip 5. Telephone Claims Administrator/ Employer 6. Name: 7. Street Address City Zip 8. Telephone Exam Referral Schedule 9. Date of Appointment Call 10. Date of Initial Examination 11. Date of Referral for Medical Testing/Consultation 12. Date AME/QME's Report Served on all Parties Disputed Medical Issues And Conclusion 13. The following medical issues will be used to determine the patient's eligibility for workers' compensation. Check the appropriate box and reference the corresponding page(s) or section of the med-legal reports for details. Report page(s) or Pending section or Yes No Info. Not Sent a. Is there permanent disability? ______ ( ) ( ) ( ) b. Is the medical condition stable and not _____ ( ) ( ) ( ) likely to improve with active medical or surgical treatment (i.e., is the condition permanent and stationary)? c. Did work cause or contribute to the injury ______ ( ) ( ) ( ) or illness? d. If permanent disability exists, is _____ ( ) ( ) ( ) apportionment warranted? e. Is there a need for current or future _____ ( ) ( ) ( ) medical care? f. Can this employee now return to his/her usual job? If yes: ( ) Yes ( ) No i. Without restrictions ( )Yes ( )No if YES, Date:___________ ii. With restrictions ( )Yes ( ) No if YES, Date:___________ If restricted work is recommended., reference page(s)/section in report for details: ________________________________________________________________ Basis for Check box and refer to Report Pending Conclusions page(s) or section page(s) or inreport or section Yes No Info. Not Sent 14. Are there _____ ( ) ( ) ( ) subjective complaints? 15. Are there any _____ ( ) ( ) ( ) abnormal physical or psychological examination findings? 16. Are there any _____ ( ) ( ) ( ) relevant diagnostic test results (x-ray/laboratory)? 17. What are the diagnoses? (List)____________________________________________________ ___________________________________________________________ 18. Were treating _____ ( ) ( ) ( ) physician's reports reviewed? 19. Were other _____ ( ) ( ) physicians consulted? ___________________________________________________________ QME 20. Signature _________________________Date: _______________ 21. Name _________________________Specialty ____________________ 22. Street Address ________________City __________Zip __________ _______________________________________________________________ 23. Telephone __________________________Cal. # _________________ IMC FORM 111 Rev. 3/01/00 (OVER) _______________________________________________________________ Department of Industrial Relations, Industrial Medical Council, PO Box 8888, San Francisco, CA 94128 w (650) 737-2700 _______________________________________________________________ Instructions To the QME or AME: You are required by Labor Code section 4061 to summarize the medical findings from your comprehensive medical-legal evaluation on the form prescribed by the Industrial Medical Council (IMC). Please complete the form in its entirety. Employee Information : Fill in employee's full name, address, telephone number and date of injury. Exam Referral Schedule : complete dates that patient called for an appointment, date of initial examination, date referred for consultation(s), if any, and date report served on all parties. Supplying these dates are a legal requirement. Disputed Medical Issues and Conclusions : Complete this section by checking appropriate box and stating what page(s) or section of the medical legal report contain the narrative for details. If diagnostic or laboratory tests have been ordered and the results or a medical records request is pending, check that box. If you cannot render opinions because of pending information, please complete and serve the report to comply with the 30 day time requirement and state what issues could not be evaluated. Basis for Conclusions: Check appropriate box and give page numbers or section where the narrative in the full report is found. For diagnoses, in addition to page numbers, please briefly summarize the diagnoses in lay terms where possible. Also, list name and specialty for other physicians who provided information used in the medical legal report. Signature: Remember under the Labor Code, all your reports must be signed under the penalty of perjury. You are required to serve the medical legal report and this form on the employee, the claims administrator, (if none, employer) and the Disability Evaluation Unit (DEU) having jurisdiction over the employee's area of residence. IMC Form 111 Rev. 3/01/00 Note: Authority cited: Sections 139, 139.2 and 4061, Labor Code. Reference: Sections 139.2 and 4061, Labor Code. s 112. The Qualified or Agreed Medical Evaluator Extension Request Form. STATE OF CALIFORNIA GRAY DAVIS, GOVERNOR ---------------------------------------------------------------- DEPARTMENT OF INDUSTRIAL RELATIONS INDUSTRIAL MEDICAL COUNCIL ADDRESS REPLY TO: 395 OYSTER POINT BLVD., STE. 102 P.O. Box 8888 SOUTH SAN FRANCISCO, CA 94080 San Francisco, CA 94128-8888 TEL: (650) 737-2700 (800) 794-6900 Fax: (650) 737-2911 QME/AME TIME FRAME EXTENSION REQUEST- (For Late Reporting on Accepted Claims) Please send this form to the Industrial Medical Council at the above address 5 days before your report is due to be served on the parties. Send a copy of this form to the employee and employer/insurer/claims administrator. The QME may not be entitled to payment for evaluations which are not submitted in a timely manner (Labor Code s 4062.5). If you need further information, please call us at (650) 737-2700 or 1-800-794-6900. DATE OF EVALUATION: ___________________ DATE REPORT WILL BE SERVED: __________ THERE ARE ONLY THREE (3) VALID REASONS FOR AN EXTENSION, YOU ARE REQUIRED TO CHECK ONE OF THE THREE (3) BOXES LISTED BELOW. FORMS NOT FULLY COMPLETED WILL BE RETURNED. REASON FOR REQUEST: 1. ( ) Lab/tests have not been completed - type of test(s) requested: ________________________________ 2. ( ) Consulting specialist has not completed evaluation - type of specialist(s): __________ __________ For injuries between 1/1/91 and 12/31/93. If extension requested is beyond 90 days, from date of initial evaluation, please attach justification. For injuries on or after 1/194. If extension requested is beyond 60 days, from date of initial evaluation, please attach justification 3. EXTENSIONS FOR GOOD CAUSE: Extensions for Good Cause may not exceed an additional 15 days from the date the report is required to be served and must be approved by the Executive Medical Director. Please check the appropriate box and specify good cause. A. ( ) Medical emergency of the evaluator or the evaluator's family. B. ( ) Death in evaluator's family. C. ( ) Natural disaster or other community catastrophes that interrupt the operation of the evaluator's office. Specify Good Cause _____________________________________________ ________________________________________________________________ Employee's Name ______________________ Date of Injury __________ Name of Employer ________________Claims Administrator __________ Name of QME (PRINT/TYPE) __________________QME NUMBER __________ Signature of QME ________________________________Date __________ Street Address __________City/Zip __________Telephone __________ ________________________________________________________________ FOR IMC/DWC USE ONLY ( ) Extensions approved- form 113 ( ) Extension denied-Forms 114, 115 Executive Medical Director: ____________________Date __________ IMC FORM 112 Rev. 3/01/00 Note: Authority cited: Sections 139 and 139.2, Labor Code. Reference: Sections 139.2, 4060, 4061, 4062 and 4062.5, Labor Code. s 113. The Time Extension Approval Form. STATE OF CALIFORNIA GRAY DAVIS, GOVERNOR ---------------------------------------------------------------- DEPARTMENT OF INDUSTRIAL RELATIONS INDUSTRIAL MEDICAL COUNCIL ADDRESS REPLY TO: 395 OYSTER POINT BLVD., STE. 102 P.O. Box 8888 SOUTH SAN FRANCISCO, CA 94080 San Francisco, CA 94128-8888 TEL: (650) 737-2700 (800) 794-6900 Fax: (650) 737-2911 IMPORTANT: RETURN TO THE IMC WITHIN 15 DAYS. Date: __________ TO: EMPLOYEE'S NAME _____________________________ _____________________________ _____________________________ Claim Number: __________ Panel Number: __________ TIME EXTENSION APPROVAL Your QME/AME doctor has asked for an extension of the time in which he/she is required to complete your medical evaluation. We are allowing the doctor extra time to do so. If you are unrepresented and the report is still not complete by ________________, you may either: (1) accept the report when it is completed or (2) ask for a replacement panel and repeat the QME process You are required to make a decision, check, sign and return this form using the postage prepaid return envelope within 15 days. ( ) check here if you give up your right to a new QME panel at this time. You have up to the date the QME serves the report to call and request a new panel. ( ) check here if you wish to have a new QME panel sent if the report is not completed by the above date. _________________________________ _____________________________ Signature Date If you are represented, please consult your attorney. If you have any questions please call (650) 737-2700/800-794-6900 or write to: The Industrial Medical Council P.O. Box 8888 San Francisco, CA 94128-8888 IMC FORM 113 Rev. 3/01/00 Note: Authority cited: Sections 139 and 139.2, Labor Code. Reference: Sections 139.2, 4060, 4061, 4062 and 4062.5, Labor Code. s 114. The Denial of Time Extension Form. STATE OF CALIFORNIA GRAY DAVIS, GOVERNOR ---------------------------------------------------------------- DEPARTMENT OF INDUSTRIAL RELATIONS INDUSTRIAL MEDICAL COUNCIL ADDRESS REPLY TO: 395 OYSTER POINT BLVD., STE. 102 P.O. Box 8888 SOUTH SAN FRANCISCO, CA 94080 San Francisco, CA 94128-8888 TEL: (650) 737-2700 (800) 794-6900 Fax: (650) 737-2911 TO: DATE: _________________________________ Evaluator's Name ________________________________ ________________________________ ________________________________ Injured worker's Name ________________________________ ________________________________ ________________________________ Date of Injury: ________________________________ Case Number: ________________________________ Claim Number: ________________________________ Panel Number: ________________________________ DENIAL OF TIME EXTENSION Your request for time extension for medical evaluation report submission has been denied for the following reason(s): ________________________________________________________________ ________________________________________________________________ ________________________________________________________________ The report is due within 45 days (for injuries occurring on or after 1/1/91 up to 12/31/93) or 30 days (for injuries occurring on or after 1/1/94) of the appointment. Please note Labor Code section 4062.5 states that the QME is not entitled to payment for evaluations which are not submitted in a timely manner and rejected by the applicant. The injured worker now has the option of accepting the late report or requesting a replacement. IMC FORM 114 Rev. 3/01/00 Note: Authority cited: Sections 139 and 139.2, Labor Code. Reference: Sections 139.2, 4060, 4061, 4062 and 4062.5, Labor Code. s 115. The Notice of Late Qualified Medical Evaluator Report Form. STATE OF CALIFORNIA GRAY DAVIS, GOVERNOR ---------------------------------------------------------------- DEPARTMENT OF INDUSTRIAL RELATIONS INDUSTRIAL MEDICAL COUNCIL ADDRESS REPLY TO: 395 OYSTER POINT BLVD., STE. 102 P.O. Box 8888 SOUTH SAN FRANCISCO, CA 94080 San Francisco, CA 94128-8888 TEL: (650) 737-2700 (800) 794-6900 Fax: (650) 737-2911 IMPORTANT: RETURN TO THE IMC WITHIN 15 DAYS. Date: __________________ TO: EMPLOYEE'S NAME _________________________________ _________________________________ _________________________________ Claim Number: _______________ Panel Number: __________ NOTICE OF LATE QME REPORT - EXTENSION REQUEST DENIED Your QME has not completed your medical evaluation report within the required time from the date of your evaluation. You can accept the delay of your evaluation or ask the IMC for a replacement panel and repeat the QME process. You are required to make a decision, check, sign and return this form using the postage prepaid return envelope within 15 days. This time period may be extended upon a showing of good cause to the Medical Director. Check here if you give up your right to a new QME panel at this time. If the QME does not serve the report by __________________, you may call and request a new panel. Check here if you wish to have a new QME panel. Signature: ____________________________ Date: ________________ If you are represented, please consult your attorney. If you have any questions please call (650) 737-2700/800-794-6900 or write to: The Industrial Medical Council P.O. Box 8888 San Francisco, CA 94128-8888 cc: Claims Administrator QME IMC Form 115 Rev. 3/01/00 Note: Authority cited: Sections 139 and 139.2, Labor Code. Reference: Sections 139.2, 4060, 4061, 4062 and 4062.5, Labor Code. s 116. The Notice of Late Qualified Medical Evaluator Report Form -Extension Not Requested Form. STATE OF CALIFORNIA GRAY DAVIS, GOVERNOR ---------------------------------------------------------------- DEPARTMENT OF INDUSTRIAL RELATIONS INDUSTRIAL MEDICAL COUNCIL ADDRESS REPLY TO: 395 OYSTER POINT BLVD., STE. 102 P.O. Box 8888 SOUTH SAN FRANCISCO, CA 94080 San Francisco, CA 94128-8888 TEL: (650) 737-2700 (800) 794-6900 Fax: (650) 737-2911 IMPORTANT: RETURN TO THE IMC WITHIN 15 DAYS Date: __________ TO: EMPLOYEE'S NAME: ________________________________ ________________________________ ________________________________ Claim Number: ______________________ Panel Number: __________ NOTICE OF LATE QME REPORT - NO EXTENSION REQUESTED It has come to our attention that your QME doctor has not completed your medical evaluation report within the required time from the date of your evaluation. You can accept the delay of your evaluation report or ask the IMC for a replacement panel and repeat the QME process. You are required to make a decision, check, sign and return this form using the postage prepaid return envelope within 15 days. This time period may be extended upon a showing of good cause to the Medical Director. ( ) Check here if you give up your right to a new QME panel at this time. You have up to the date the QME serves the report to call and request a new panel. ( ) Check here if you wish to have a new QME panel. Signature: _____________________________ Date: _________________ If you are represented, please consult your attorney. If you have any questions, please call (650) 737-2767/800-794-6900 or write to: Industrial Medical Council P.O. Box 8888 San Francisco, CA 94128-8888 cc: Claims Administrator QME IMC Form 116 Rev. 3/01/00 Note: Authority cited: Sections 139 and 139.2, Labor Code. Reference: Sections 139.2, 4060, 4061, 4062 and 4062.5, Labor Code. s 117. Qualified Medical Evaluator Continuing Education Response Form. DEPARTMENT OF INDUSTRIAL RELATIONS INDUSTRIAL MEDICAL COUNCIL ADDRESS REPLY TO: 395 Oyster Point Blvd., Ste. 102 P.O. Box 8888 South San Francisco, CA 94080 San Francisco, CA 94128-8888 Tel: (650) 737-2700 (800) 794-6900 Fax: (650) 737-2711 STATE OF CALIFORNIA GRAY DAVIS, GOVERNOR industrial medical council course evaluation As a part of the IMC's ongoing efforts to ensure that courses for Qualified Medical Evaluators offer valuable information on California's Workers' Compensation-related medical evaluation issues, we are asking attendees of the IMC approved courses (including distance learning programs) to complete the following Course Evaluation. Date of Course: __________ Course Provider: __________ __________ Course Name: __________ __________ Maximum Course Hours Available __________ __________ Hours Completed __________ __________ Excellent Good Satisfactory Fair Poor Content Hand-out material 5 4 3 2 1 Adequate/Accurate new information 5 4 3 2 1 Educational Objective Met 5 4 3 2 1 Pertinence to QME evaluations 5 4 3 2 1 Knowledge of presenters 5 4 3 2 1 Syllabus Legibility 5 4 3 2 1 Adequacy of Room 5 4 3 2 1 Adequacy of Audio Visual 5 4 3 2 1 Overall Rating 5 4 3 2 1 What improvement(s) would you suggest? __________ __________ __________ __________ __________ __________ __________ TO ALL ATTENDEES: PLEASE RETURN THIS FORM TO THE IMC All providers shall be required to provide this response form (postage paid) to all attendees and shall advise all attendees that the form should be promptly returned to the IMC at the address on the back of this form. IMC Form 117 Rev. 3/01/00(A) Note: Authority cited: Section 139.2, Labor Code. Reference: Section 139.2, Labor Code. s 118. Application for Accreditation or Re-Accreditation As Education Provider. Department of Industrial Relations Industrial Medical Council P. O. Box 8888 San Francisco, CA 94128-8888 ______________________________________________________________ APPLICATION FOR ACCREDITATION OR RE-ACCREDITATION AS EDUCATION PROVIDER FOR OFFICE USE ONLY _______APPROVED __________DENIED NO.__________ DATE____________ INITIALS ____________ SECTION 1 - PROVIDER ______________________________________________________________ NAME OR PROVIDER: ____________________________________________ ADDRESS ______________________________________________________ CITY _______________________ STATE _____________ ZIP__________ DIRECTOR OF EDUCATION ________________________________________ PHONE (___)_______ FAX(___)________ E-MAIL ADDRESS ___________ TYPE OF ORGANIZATION _________________________________________ LENGHT OF TIME IN BUSINESS __________ NATURE OF BUSINESS/MISSION STATEMENT ______________________________________________________________ ______________________________________________________________ ______________________________________________________________ ______________________________________________________________ PAST CONTINUING EDUCATION PROGRAMS ______________________________________________________________ ______________________________________________________________ ______________________________________________________________ ______________________________________________________________ ACCREDITING AGENCIES WHO HAVE APPROVED PAST PROGRAMS ______________________________________________________________ ______________________________________________________________ ______________________________________________________________ ______________________________________________________________ IMC FORM 118 (Rev. 7.01) SECTION 2 - EDUCATION PROGRAM PROGRAM TITLE ________________________________________________ TYPE OF PROGRAM DISABILITY EVALUATION REPORT WRITING COURSE ( ) QME CONTINUING EDUCATION PROGRAM ( ) DISTANCE LEARNING PROGRAM DISTANCE LEARNING HOURS ( ) TOTAL COURSE HOURS ( ) PROGRAM OBJECTIVES ______________________________________________________________ ______________________________________________________________ ______________________________________________________________ ______________________________________________________________ LOCATION(S) OF PROGRAMS(S) _____________________DATES ______________________________________________________________ ______________________________________________________________ ______________________________________________________________ (1) INSTRUCTOR _________________________ HOURS _______________ TOPIC __________________________________ CONTENT ______________________________________________________________ ______________________________________________________________ ______________________________________________________________ (2) INSTRUCTOR _________________________ HOURS _______________ TOPIC __________________________________ CONTENT ______________________________________________________________ ______________________________________________________________ ______________________________________________________________ (3) INSTRUCTOR _________________________ HOURS _______________ TOPIC __________________________________ CONTENT ______________________________________________________________ ______________________________________________________________ ______________________________________________________________ (4) INSTRUCTOR _________________________ HOURS _______________ TOPIC __________________________________ CONTENT ______________________________________________________________ ______________________________________________________________ ______________________________________________________________ (5) INSTRUCTOR _________________________ HOURS _______________ TOPIC __________________________________ CONTENT ______________________________________________________________ ______________________________________________________________ ______________________________________________________________ (6) INSTRUCTOR _________________________ HOURS _______________ TOPIC __________________________________ CONTENT ______________________________________________________________ ______________________________________________________________ ______________________________________________________________ TOTAL NUMBER OF HOURS REQUESTED FOR APPROVAL _________________ LIST OTHER ACCREDITING AGENCIES ______________________________ THAT HAVE APPROVED THIS PROGRAM ______________________________ PRINTED NAME AND TITLE _______________________________________ SIGNATURE _______________________________________DATE_________ INSTRUCTIONS: Applicaton for Accreditation as an Education Provider SECTION 1. PROVIDER A "provider' is the individual or organization accredited by the Council to offer physician education programs. Name and address: Provide the name and address of the individual or organization applying for accredition as an education provider. Director of Education: Provide the name, phone number, fax and e-mai of the Director of Education. Type of organization: State whether the applicant is an individual; hospital; clinic or other patient care facility; educational institution; medical or health-related organization whose membership includes Labor Code 3209.3 physicians; organization of non-medical participants in the California workers' compensation system; or a governmental agency. Length of time in business: Provide this figure in years and months - for example, 4 years and 6 months. Nature of business/mission statement: Briefly state the nature of the provider's business and its mission statement. Past continuing education programs: List one or more education programs given by the applicant in the past two years. State the audience and subject matter of each program listed. List any accrediting agencies that have approved the programs listed above. SECTION 2. EDUCATION PROGRAM If applying for accredition, complete this section for a proposed education program. If applying for re-accredition, complete this section for a proposed program or for a program which was given during the completed accredition period. Program Title: State the title of the proposed education program. Type of Program: Check the appropriate box. Distance learning: Check the appropriate box. Objectives of Program: List the education objectives of the proposed program. Location and dates of program: Provide location (hotel, campus, etc.) and city where course will be held, with dates. Applicantts for distance learning programs may omit this subsection, as appropriate. Instructors, Topics, Hours, and Course Content: List each instructor (or author) for the proposed program, with relevant professional degree(s) (e.g., M.D.,D.C.). Provide the topic or title of each presentation and the number of hours of credit requested for each presentation. Describe the content of the presentation. For distance learning programs, enter "Examinations' under "(1) Instructor" and estimate the time required to take the examinations. Other Accrediting agencies; List all accrediting agencies that have approved the proposed program. Sign and date the application. Additional pages may be appended to this application, as needed. Complete the entire application. Do not refer reader to attachments in lieu of completing the application. Incomplete applications will be returned to the applicant. Submit one completed original application and two copies, each with the following attachments: 1. one curriculum vitae for each instructor or author listed on the application, and 2. one copy of the proposed promotional brochure. The application must be submitted at least 60 days prior to advertisement of the program. When the application has been approved and on or before the date this program is first given, submit the course syllabus (all course handouts) for the program. Providers of distance learning programs must also submit: 1. one copy of the pre-and one copy of the post-test examinations, and 2. one copy of any video tape(s), audio tape(s), and/or computer program(s) (for video, audio and computer-based programs)used in the program; or 3. one copy of each issue of the printed educational material which contains text for which credit is requested (for programs based on journals or newsletters). IMC FORM 118 (Rev. 7.01) s 119. Faculty Disclosure of Commercial Interest. FACULTY DISCLOSURE OF COMMERCIAL INTEREST As an education provider accredited by the Industrial Medical Council, Provider's name must insure objectivity in its educational activities. Having an interest or ownership in a business does not prevent a physician from making a presentation, but the relationship must be disclosed to the audience, in accordance with Industrial Medical Council regulations. Please complete the information below. TITLE OF COURSE: __________________________________________ DATE: _____________________________________________________ NAME OF FACULTY: __________________________________________ TITLE OF PRESENTATION: ____________________________________ ( ) Neither I nor my family members have any past or present financial arrangements or affiliations with any businesses involved in products/services which will be discussed at this symposium (Skip to signature). ( ) I have a financial interest/arrangement or affiliation with the following businesses which offer products/services which I will discuss at this symposium. Affiliation/Financial Interest----------Name(s) of Business(es) Grants/Reserch Support ________________________________________ Consultant ____________________________________________________ Speaker's Bureau ______________________________________________ Major Stock Shareholder _______________________________________ Other Financial or Material Interest __________________________ ____________________________Signature _____________________Date IMC FORM 119 (Rev. 7.01) s 149. Definitions. Note: Authority cited: Section 139, Labor Code. Reference: Sections 139, 139.2 and 4628, Labor Code. s 149.2. Neuromusculoskeletal Evaluation. Note: Authority cited: Sections 139 and 139.2(j), Labor Code. Reference: Sections 139, 139.2 and 4628, Labor Code. s 149.4. Cardiovascular Evaluation. Note: Authority cited: Sections 139 and 139.2(j), Labor Code. Reference: Sections 139, 139.2 and 4628, Labor Code. s 149.6. Pulmonary Evaluation. Note: Authority cited: Sections 139 and 139.2(j), Labor Code. Reference: Sections 139, 139.2 and 4628, Labor Code. s 149.8. Psychiatric Evaluation. Note: Authority cited: Sections 139 and 139.2(j), Labor Code. Reference: Sections 139, 139.2 and 4628, Labor Code. s 149.9. Other Evaluation. Note: Authority cited: Sections 139 and 139.2(j), Labor Code. Reference: Sections 139, 139.2 and 4628, Labor Code. s 150. Definitions. As used in this Article: (a) Advertising copy - includes any "public communication" as defined in Business and Professions Code Section 651, or any other communication of any message in any form or medium regarding the availability for professional employment of any physician, which is made by or on behalf of any physician to the general public or any substantial portion thereof. Advertising concerning medical services regarding industrial injuries or illnesses which benefits any physician, and which is placed by any medical clinic, medical service organization or other non-physician third party shall be deemed advertising copy subject to these regulations. (b) Council - means the Industrial Medical Council as defined in Labor Code Section 139. (c) Medical Board - means the Medical Board of California as established in Business and Professions Code Section 2001. (d) Medical Director - means the physician appointed pursuant to Labor Code Section 122 or such person as he or she may designate. (e) Physician - has the meaning defined in Labor Code Section 3209.3. (f) QME - means a Qualified Medical Evaluator as defined in Labor Code Section 139.2. Note: Authority cited: Sections 139, 139.4 and 139.45, Labor Code. Reference: Sections 139, 139.2, 139.4 and 139.45, Labor Code. s 151. Filing of Documents. Any document filed under these regulations shall be deemed filed on the date when it is received by the Council. Note: Authority cited: Sections 139, 139.4 and 139.45, Labor Code. Reference: Sections 133, 139, 139.4 and 139.45, Labor Code. s 152. Statement of Intent. Nothing in these regulations is intended to alter the interpretation or application of Business and Professions Code Section 651. These regulations are promulgated under the authority of Labor Code Sections 139.4 and 139.45 and are intended to reflect the Industrial Medical Council's understanding of the Legislature's intent that the Council apply a higher and independent standard, pursuant to those Sections, to physician advertising which relates to industrial injuries or illnesses. Note: Authority cited: Sections 139, 139.4 and 139.45, Labor Code. Reference: Sections 139, 139.4 and 139.45, Labor Code. s 153. False or Misleading Advertising Copy Prohibited. No physician subject to these regulations, or any person acting on his or her behalf or for his or her benefit, shall use, cause to be used, or allow to be used: (a) Any advertising copy which, through endorsements, testimonials or other representations, makes or implies any guarantee, warranty, or prediction that is intended, or is likely, to create a false or unjustified expectation of favorable results concerning the outcome of the employment of the physician. (b) Any advertising copy which by use of a firm name, trade name, fictitious business name, or other professional designation states or implies a relationship between any physician in private practice and any governmental agency or entity, with the exception that, as provided in section 154 below, a physician designated by the Council as a Qualified Medical Evaluator may state this fact in advertising copy. (c) Any advertising copy which states or implies that a medical-legal report written by any physician, or group or association of physicians enjoys any special degree of credibility by any workers' compensation judge or judges. (d) Any advertising copy which advises or recommends the securing of any medical-legal examination, or which suggests that a tactical advantage may be secured by obtaining any medical-legal evaluation. (e) Any advertising copy which contains the phrase "Qualified Medical Evaluator" or the designation "QME" unless such phrase is used to identify individual physicians who have been formally designated as QMEs by the Industrial Medical Council in accordance with Labor Code Section 139.2. (f) Any advertising copy which contains a firm name, trade name, or fictitious business name which contains the phrases "Qualified Medical Evaluator," "Independent Medical Examiner" or the designations "QME" or "IME." (g) Any advertising copy which states or implies that any physician has an ongoing appointment, title or professional status as an "Agreed Medical Examiner," "Independent Medical Examiner," "AME," or "IME." Note: Authority cited: Sections 139, 139.4 and 139.45, Labor Code. Reference: Sections 139, 139.2, 139.4 and 139.45, Labor Code. s 154. Permissible Advertising Content. (a) A physician subject to these regulations, or any person acting on his or her behalf, may use, disseminate, or cause to be disseminated to the public, or any portion of the public, advertising copy which relates to any industrial injury or illness which accurately states: (1) The name of each physician affiliated with or participating in the physician's practice. (2) The address, telephone number and business hours of the office or offices. (3) The areas of practice each physician engages in. (4) An individual physician's appointment as a QME. (5) A statement that the physician is Board Certified or limits his or her practice to specific fields as authorized by Business and Professions Code Section 651. Any statement of Board Certification shall include the name of the certifying board. (6) Any languages spoken fluently by the physician or his or her staff. (7) A description of any diagnostic or therapeutic facilities available. (8) The availability of surgery or hospitalization on a lien basis. (9) The usual time frame for scheduling appointments or producing medical reports. (10) That all billings are made in compliance with the Official Medical Fee Schedule promulgated by the Administrative Director of the Division of Workers' Compensation. (11) Biographic information concerning the physician's educational background, internships and residencies, hospital affiliations, professional affiliations and professional publications. (b) Any physician who wishes to use, disseminate, or cause to be disseminated to the public, or any portion of the public, any advertising copy which relates to any industrial injury or illness which contains any material not specified in subsection (a) above, shall apply in writing to the Council for approval before using such material. The Council shall approve all requests which do not contain material which is false or likely to mislead the public with respect to workers' compensation. No advertising copy submitted to the Council pursuant to this subsection shall be used until the Council has given its written approval. Note: Authority cited: Sections 139, 139.4 and 139.45, Labor Code. Reference: Sections 139, 139.2, 139.4 and 139.45, Labor Code. s 155. Filing of Complaints. (a) Any person may file a complaint with the Medical Director, alleging that any physician is using advertising copy which violates the provisions of Business and Professions Code Section 651, or the provisions of these regulations. (b) Complaints filed with the Medical Director shall be in writing and contain the following: (1) The full name and address of the party filing the complaint. (2) The full name and address of the physician against whom the complaint is made, or if the complainant is unable to identify the physician using the advertising, as much information as the complainant can provide to assist the Council in identifying the physician who used the advertisement. (3) A copy, if available to the complaining party, of the advertising copy against which the complaint is made, or a description of the medium in which the advertising copy appeared. Such description should contain sufficient details regarding the manner and form in which the advertising copy was published to allow a copy of the advertising copy to be obtained by the Council. (4) A detailed statement of the grounds on which the advertising copy is alleged to violate Business and Professions Code Section 651 or these regulations. (5) All complaints filed under this section shall be filed with the Executive Medical Director, at either 395 Oyster Point Blvd., South San Francisco, CA 94080, or P.O. Box 8888, San Francisco, CA 94128-8888395. (6) Nothing in these regulations shall prevent the Council or Medical Director from acting independently, and without receipt of a complaint, to initiate an investigation and issue a complaint on the Council's own motion whenever the Council or Medical Director has reason to believe that there has been a violation of Business and Professions Code Section 651 or these regulations. Note: Authority cited: Sections 139, 139.4 and 139.45, Labor Code. Reference: Sections 139, 139.4 and 139.45, Labor Code. s 156. Council Requests to Review Advertising Copy. (a) Upon receipt of a complaint under Section 155 of these regulations, the Council shall serve a written notice of complaint on the physician against whom the complaint was filed. Such notice shall direct the physician to file a copy of his or her advertising with the Medical Director within 15 working days of the date on which the notice was served. (b) The Medical Director may take such steps as he or she deems necessary to determine whether the complaint has merit. (1) The Medical Director shall respond to the complaint within 15 working days of the Council's receipt of the physician's response and notify the complainant that the Council: (A) will investigate the complaint; or (B) will require additional time to ascertain whether the complaint has merit; or (C) will refer a copy of the complaint to another agency which also has jurisdiction over the subject matter of the complaint; or (D) will take no further action on the complaint because the Council lacks jurisdiction over the person or conduct complained of; or (E) will take no further action on the complaint because the allegations of the complaint do not warrant further action by the Council for the reasons stated in the response. (c) At the time of filing the advertising copy with the Medical Director, the physician shall also file an answer to the complaint, briefly setting forth the grounds on which the physician believes the copy to be in compliance with Business and Professions Code Section 651, and the provisions of these regulations. Nothing contained in the answer shall preclude the right of the physician to present further or different grounds of defense before the Council or appropriate licensing board. Upon reviewing the physician's answer, the Medical Director may dismiss or informally resolve the complaint where he or she deems such action appropriate. (d) The Council may, without receipt of a complaint, request a physician to provide a copy of any advertising used by that physician for review. Such a request shall be made in writing, and shall be personally served on the physician. (e) If a physician who has been appointed as a QME fails to deliver a copy of the advertising used to the Council within 15 working days of receipt of the notice, the Council may infer from the failure to comply that the advertising material used by the QME is in violation of Business and Professions Code Section 651, or these regulations. The maximum penalty that the Council may impose for a finding of violation based solely on the negative inference created by this provision shall be suspension of the physician's appointment as a Qualified Medical Evaluator for a period of six months followed by a period of probation not to exceed one year. (f) If a non-QME physician fails to deliver a copy of the advertising used to the Council within 15 working days of receipt of the request, the Council shall refer the matter to that physician's licensing board for such proceedings as that board may deem proper. Note: Authority cited: Sections 139, 139.4 and 139.45, Labor Code. Reference: Sections 139, 139.4 and 139.45, Labor Code. s 157. Determinations. (a) If, after reviewing the physician's advertising copy and the physician's answer to the complaint, the Medical Director determines that the advertising copy violates Business and Professions Code Section 651, or these regulations, he or she shall submit a preliminary determination to the Council. (b) If the Council sustains the Medical Director's preliminary determination, and the physician subject to the complaint is not a QME, the Medical Director shall forward a copy of the preliminary determination, the complaint, and all supporting documentation to the appropriate physician's licensing board for such proceedings as that board may deem proper. (c) If the Council sustains the Medical Director's preliminary determination, and the physician subject to the complaint is a QME, the Council shall hold a hearing on the complaint in accordance with Chapter 4 (commencing with Sections 11370) of Part 1 of Division 3 of the Government Code. (1) The Council may delegate in whole or in part to the Administrative Law Judge the authority to conduct the hearing and decide upon the complaint. (2) Upon a decision being made regarding the complaint, the Administrative Law Judge, acting alone, or as advisor to the Council, shall file a copy of the written statement of findings and decision with the Council. (d) Within 30 days of the date the written decision is served upon the QME, the QME may file a written notice of appeal with the Council requesting reconsideration by the Council of the Administrative Law Judge's decision. Upon receipt of the notice of appeal, the Chairperson of the Council shall appoint 3 Council members to serve as an appellate panel to hear and recommend to the Council, a decision on the appeal. (1) The appeal panel shall review the entire record and may hold a hearing thereon. (2) In the event of a hearing, the designated chair of the appeal panel shall fix the time and place of the hearing and notify the parties to the appeal in writing not less than 15 working days in advance of the hearing in accordance with Code of Civil Procedure Sections 1013a and 2015.5. (3) The hearing on the appeal shall be limited to a review of the record before the Administrative Law Judge and such written and/or oral argument as the parties may submit. (4) Upon reaching a decision on the appeal, the appeal panel shall submit to the Council a copy of the record and a written report summarizing the evidence, findings of fact, and a recommended decision. The Council shall take appropriate action on the recommended decision. If, for any reason, the Council rejects the appeal panel's decision, a complete copy of the record shall be furnished to each member of the Council for independent review before any action is taken by the Council in rendering a decision. (5) The Council shall notify the complainant and the parties to the appeal of its decision in writing in accordance with Code of Civil Procedure Sections 1013a and 2015.5. (6) The Medical Director shall promptly forward a copy of the Council's final decision to the appropriate physician's licensing board for such proceedings as that board may deem proper. Note: Authority cited: Sections 139, 139.4 and 139.45, Labor Code. Reference: Sections 139, 139.4 and 139.45, Labor Code. s 158. Penalties. (a) A QME who is found by the Council to have violated any provision of Business and Professions Code Section 651, or these regulations may have his or her QME status terminated, suspended, or placed on probation by the Council. Any probation imposed may have such conditions as the Council deems reasonable, including, but not limited to the publication of corrective advertising and the submission of future advertising copy for the Council's approval before its use. (b) The Council shall consider the following factors in determining the appropriate penalty for a violation of Business and Professions Code Section 651, or these regulations: 1. the seriousness or materiality of the misrepresentation, 2. whether the physician cooperated with the investigation, 3. whether the violation was a single event, or appeared to be part of a pattern sufficient to demonstrate a business practice, 4. whether the violator has a record of prior discipline by the Council, Medical Board, or other appropriate licensing board or authority, 5. whether the violator has a record of contempt reprimands or adjudications issued by the Workers' Compensation Appeals Board. Note: Authority cited: Sections 139, 139.4 and 139.45, Labor Code. Reference: Sections 139, 139.4 and 139.45, Labor Code. s 159. Severability. If any portion of this chapter or the application of any part thereof to any person, individual, party, entity, or circumstance is held invalid, the remainder of the chapter and its application to any other person, individual, party, entity, or circumstance, shall not be affected thereby. Note: Authority cited: Sections 139, 139.4 and 139.45, Labor Code. Reference: Sections 139, 139.4 and 139.45, Labor Code. s 200. General Provision. If any provision of this chapter or application thereof to any person, individual, party, entity or circumstances is held invalid, the remainder of the chapter and the application to any other person, individual, party, entity or circumstances, shall not be affected thereby. Note: Authority cited: Section 3071, Labor Code. Reference: Sections 1777.5 and 3081, Labor Code. s 201. Filing of Complaints. (a) Complaints may be filed by any interested person with the Administrator of Apprenticeship or the Administrator of Apprenticeship upon his/her own initiative may issue a complaint, within the time period specified below, when there is cause to believe that a decision, order or action of an apprenticeship program sponsor has been unfair or unreasonable; or that there has been a violation of: (1) Chapter 4, Division 3 of the Labor Code (excluding Section 1777.5), 30 days; (2) California Code of Regulations, Title 8, Chapter 2, Subchapter 1 (excluding Article 10), 30 days. (3) Apprenticeship Standards, 30 days; (4) Apprenticeship Agreements, 30 days; (5) Equal Opportunity Standards, 180 days and shall be filed and conducted in accordance with the State of California Plan for Equal Opportunity Apprenticeship (see title 8, California Code of Regulations, Section 215); (6) Rules, Regulations or Policies established by an apprenticeship program sponsor, 30 days. (b) Complaints filed with, or by the Administrator of Apprenticeship shall contain the following: (1) The full name and address of the party (person, organization, or other party) filing the complaint (hereinafter referred to as the "charging party"). (2) The full name and address of the party (person, organization, or other party) against whom the complaint is made (hereinafter referred to as the "respondent"). (3) A clear and concise statement of the facts constituting the basis for the complaint. (4) The signature of the person filing the complaint or an authorized officer or agent in the case of an organization, employer, labor union, apprenticeship program sponsor, or other interested party. (5) A declaration by the person signing the complaint, under penalties of law, that its contents are true and correct to the best of his/her knowledge and belief. (c) Upon receipt or issuance of a complaint the Administrator of Apprenticeship shall cause a copy of such complaint to be served upon the respondent(s). (d) Complaints may be withdrawn only with the consent of the Administrator of Apprenticeship. Note: Authority cited: Section 3071, Labor Code. Reference: Sections 3081 and 3082, Labor Code. s 202. Investigations, Holding of Hearings and Determinations. (a) The Administrator of Apprenticeship, upon the timely receipt or issuance of a complaint under Section 201, shall investigate the matter to determine whether the complaint has merit, and in the course of such investigations, the Administrator of Apprenticeship may take such steps as he/she deems necessary under the circumstances to bring about an amicable adjustment of the controversy. In the event that there are local adjustment procedures which have been approved by the Chief DAS, the charging party(s) shall be referred to that procedure for a period not to exceed 60 calendar days prior to the filing and/or processing of a complaint under this section or Labor Code Section 3081. The referral for local adjustment shall in no way be construed so as to abrogate the statutory right to file a complaint under Section 3081 of the Labor Code. The Administrator of Apprenticeship shall dismiss any complaint that is not timely filed and may, following an investigation, dismiss any complaint that is found to be without merit. In such cases the Administrator of Apprenticeship shall prepare a statement of his/her findings and determinations and file it with the California Apprenticeship Council, and notify all parties to the complaint in writing in accordance with the Code of Civil Procedure Sections 1013a and 2015.5 of his/her determination to dismiss the complaint. The determination of the Administrator shall be within sixty (60) calendar days of receipt or issuance of the complaint, provided that the sixty (60) days allowed for a local adjustment procedure shall not affect the time provided for the determination of the Administrator. Any continuance caused by the parties shall toll the running of the sixty (60) day period provided for the determination of the Administrator. If any party to the complaint requests a hearing within 10 days of receipt of the notice of dismissal of the complaint, the Administrator or his/her duly authorized representative shall conduct a hearing in the same manner as set forth in subdivision (b). (b) If the matter is not dismissed, withdrawn or settled satisfactorily, the Administrator of Apprenticeship shall hold a hearing in accordance with the following procedure: (1) He/she shall fix the time and place of the hearing and notify all interested parties to the complaint not less than two weeks in advance in writing in accordance with the Code of Civil Procedure Sections 1013a and 2015.5 specifying the time and place of the hearing. (2) The interested parties to the complaint shall be given an opportunity to present evidence and oral or written arguments in support of their positions. (3) The hearing need not be conducted according to technical rules relating to evidence and witnesses. (4) All witnesses testifying before the Administrator of Apprenticeship shall testify under oath. (5) A full transcript of the hearing shall be taken by a qualified person. (c) The Administrator of Apprenticeship or his/her duly authorized representative may conduct the investigation, hold the hearing, and decide on the complaint. The Administrator of Apprenticeship may however, delegate, or authorize a representative only to hold a hearing and to report, reserving the authority to decide on the complaint. In that case, the duly authorized representative shall hold a hearing and submit to the Administrator of Apprenticeship the entire record of the hearing together with his/her written recommendations. The Administrator of Apprenticeship shall read the record and the written recommendations before deciding on the complaint. (d) In deciding on the complaint, the Administrator of Apprenticeship or his/her duly authorized representative shall prepare a statement of findings of fact, make a decision, file it with the California Apprenticeship Council and notify all parties to the complaint in writing in accordance with the Code of Civil Procedure Sections 1013a and 2015.5 of the decision and of any action taken. The Administrator of Apprenticeship's decision on the complaint or any action taken shall be issued or taken no later than sixty (60) calendar days following the hearing. Note: Authority cited: Section 3071, Labor Code. Reference: Sections 3081 and 3082, Labor Code. s 203. Appeals to the California Apprenticeship Council. (a) The following procedures shall be followed when an appeal is filed with the Council within ten (10) days from the date the parties are given notification of the determination. The parties shall be deemed to have been given notification five (5) days after notice has been sent to their address of record. (1) The Chair of the Council shall appoint three (3) members of the Council to act as an appeal board and decide the appeal. This appeal board shall consist of one member of the Council representing an employee organization and one member representing an employer organization; the third member will be a member who does not represent either of the aforementioned groups and shall act as chair of the appeal board. (2) The appeal board shall review the entire record and may hold an appeal hearing thereon. (3) In the event of a hearing, the designated chair of the appeal board shall fix the time and place of the hearing on the appeal and notify all interested parties to the appeal not less than two weeks in advance in writing in accordance with the Code of Civil Procedure Sections 1013a and 2015.5 specifying the time and place of the hearing. (4) The hearing on the appeal shall be limited to a review of the record before the Administrator of Apprenticeship and to oral or written arguments by interested parties to the appeal; except where the appeal board finds that there is relevant evidence which, in the exercise of reasonable diligence, could not have been produced or which was improperly excluded at the hearing before the Administrator of Apprenticeship. In such cases, the appeal board may admit such evidence to supplement the record and exercise its independent judgment upon all of the evidence in the record. The appeal board may, in its independent judgment, refer the matter to the program sponsor for reconsideration of its prior action, in an attempt to resolve the matter amicably. An appellant apprentice, however, shall be entitled to file a new complaint in accordance with Title 8, Chapter 2, Section 201 of the California Administrative Code. (5) The appeal board shall submit a written report to the Council summarizing the evidence, findings of fact, and recommended decision. The Council shall take appropriate action on the recommended decision. If for any reason the Council rejects the appeal board's recommended decision, a complete copy of the record shall be furnished each member of the Council for independent review and consideration before any action is taken by the Council in rendering a decision. (6) The Council will timely notify all parties to the appeal of its decision in writing in accordance with the Code of Civil Procedure Sections 1013a and 2015.5. Note: Authority cited: Section 3071, Labor Code. Reference: Sections 3082, 3083 and 3084, Labor Code. s 204. Declaration of Policy. Note: Authority cited: Section 3071, Labor Code. Reference: Sections 3071, 3073, 3076-3078, 3080-3084 and 3096, Labor Code. s 205. Definitions. (a) "Journeyman" means a person who has either (1) completed an accredited apprenticeship in his/her craft, or (2) who has completed the equivalent of an apprenticeship in length and content of work experience and all other requirements in the craft which has workers classified as journeyman in the apprenticeable occupation. (b) "Instructor" means a person who has either (1) completed an accredited apprenticeship in his/her craft, or (2) who has completed the equivalent of an apprenticeship in length and content of work experience and all other requirements in the craft but may not necessarily be designated as a journeyman. (c) An "Apprenticeable Occupation" is one which requires independent judgment and the application of manual, mechanical, technical, or professional skills and is best learned through an organized system of on-the-job training together with related and supplemental instruction. (d) "Registration of an Apprentice Agreement"means the acceptance and recording thereof by the Division of Apprenticeship Standards which serves as evidence of the participation of the apprentice in a specific apprenticeship program. (e) "Apprenticeship Program" means a comprehensive plan containing, among other things, apprenticeship program standards, committee rules and regulations, related and supplemental instruction course outlines and policy statements for the effective administration of that apprenticeable occupation. (f) "Apprenticeship Program Standards" means that written document containing among other things all the terms and conditions for the qualification, recruitment, selection, employment and training, working conditions, wages, employee benefits, and other compensation for apprentices and all other provisions and statements including attachments as required by the Labor Code and this Chapter which, when approved by the Chief DAS, shall constitute registration of such, and authority to conduct that program of apprenticeship in the State of California. (g) "Apprenticeship Program Sponsor" means a joint apprenticeship committee, a unilateral labor or management committee, or an individual employer program. (h) "Related and Supplemental Instruction" means an organized and systematic form of instruction designed to provide the apprentice with knowledge including the theoretical and technical subjects related and supplemental to the skill(s) involved. (i) "Competent Evidence" as used in Section 224 means a transcript or abstract of the record required to be maintained pursuant to Section 212(c)(6), or an attestation by the apprentice program sponsor stating that all training has been fully completed, on forms to be provided by the Division of Apprenticeship Standards, demonstrating that the apprenticeship program has been fully complete, certified by the apprenticeship program sponsor and endorsed by a representative of the Division of Apprenticeship Standards. (j) An "Interested Party" for the purpose of application for approval of an apprenticeship program, means an employer, employer organization or association, a group of employers, employer associations or organizations, an employe association or organization, or employee representatives, a group of employee representatives, associations or organizations, labor and/or management groups or any combination thereof whose interest may be affected by the apprenticeship program if approved. (k) "Maintenance" is defined as routine, recurring and usual work for the preservation, protection and keeping of any facility for its intended purposes in a safe and continually usable condition. ( l) The term "Chief DAS" means the Chief of the Division of Apprenticeship Standards. (m) "Employed as an apprentice" in the building and construction industry for the purpose of Labor Code Section 3098 means employment pursuant to the approved standards of apprenticeship of the Program, under the supervision of journeyman/men, where the apprentice is receiving at least the minimum wage applicable to the apprentice's period of apprenticeship as provided for in this chapter. (n) "Geographic Area of Operation" of an apprenticeship program means the geographic area in which the program regularly operates and trains apprentices. Note: Authority cited: Section 3071, Labor Code. Reference: Sections 3071, 3073, 3075, 3077, 3079, 3086 and 3090, Labor Code. s 206. Approval and Registration of Apprentice Agreements. (a) Agreements approved by Joint Apprenticeship Committee (1) An apprentice agreement in an approved joint apprenticeship program shall be approved by the joint apprenticeship committee if the agreement complies with the apprenticeship program standards and Chapter 4 of Division 3 of the Labor Code and its implementing regulations under Title 8, California Code of Regulations, Section 200 et seq; and where there are adequate related and supplemental instruction and an assurance of employment to provide on-the-job training. (2) After approval by the joint apprenticeship committee, the agreement shall be sent to DAS for registration within thirty (30) days of its execution by the apprentice. (3) DAS shall register the agreement if DAS determines that it was approved in accordance with the requirements set out above, under subsection (a)(1), and it was submitted to DAS within thirty (30) days of its execution by the apprentice. (4) Within thirty (30) days of receipt of the agreement, DAS shall either register the agreement or return it to the program sponsor with the reasons for non-registration. If DAS registers the agreement, the registration shall be effective as of the date of its execution by the apprentice. (b) Agreements approved by the Administrator (1) If there is no joint apprenticeship committee, the apprenticeship agreement shall be sent to DAS for approval by the Administrator within thirty (30) days of its execution, and shall be approved if the Administrator determines that it complies with the requirements set out above, under subsection (a)(1), and it was submitted to DAS within thirty (30) days of its execution by the apprentice. (2) If approved, the agreement shall be considered registered as of the date of its execution by the apprentice. A copy of the approved agreement shall be filed with the CAC for its review. If the Administrator does not approve the agreement, it shall not be registered and shall be returned to the program sponsor within 30 days of the date of receipt with the reasons for non-approval. Note: Authority cited: Section 3071, Labor Code. Reference: Sections 3071, 3079 and 3080, Labor Code. s 207. Termination of Apprentice Agreements. (a) During the probationary period, if any, an apprentice agreement shall be terminated by the program sponsor at the request in writing of either party. (b) After the probationary period, or where there is no probationary period, the apprentice agreement may only be terminated by the Administrator. Where there is mutual agreement of the parties, an apprentice agreement may be terminated by submitting to the Administrator a request in writing to terminate the agreement signed by the parties. Where there is not mutual agreement, either party may request that the agreement be terminated by the Administrator. The party making the request shall submit whatever evidence it believes shows that there is good and sufficient reason to terminate the agreement. The Administrator shall review the evidence and, where there is good and sufficient reason, shall terminate the agreement. No program sponsor shall submit a request to terminate an apprentice agreement unless it shall first have given the apprentice notice in writing of its intended action and, if the program's standards provide for a local adjustment procedure, of the apprentice's right to exhaust the local adjustment procedure. In its request, the program sponsor shall advise the Administrator of the notice to the apprentice. An apprentice who contests a program sponsor's request for termination may also file a complaint under Section 201. If a complaint is filed, the Administrator shall join the request for termination with the apprentice complaint, and act upon both jointly. Note: Authority cited: Section 3071, Labor Code. Reference: Sections 3077, 3078, 3079 and 3080, Labor Code. s 208. Wages, Employee Benefits, and Other Compensation for Apprentices. (a) For Apprentices In All Occupations Except The Building And Construction Industry: For apprentices participating in approved apprenticeship programs in all industries, except the building and construction industry, the beginning wage rate, employee benefits and other compensation, and the progression of those rates, shall be decided by the sponsoring program in consultation with and subject to the approval of the Chief DAS. (b) For Apprentices In The Building And Construction Industry Employed On Public Works Projects: For apprentices participating in approved apprenticeship programs in the building and construction industry, the wages and employer payments for employees benefits as defined in 8 C.C.R. s16000 for regular and overtime work while employed on public works projects within the meaning of Labor Code s1720 et seq. shall be the per diem wage rates for apprentices in the apprenticeable occupation as determined by the Director of Industrial Relations in the geographic area of the project. (c) For Apprentices In The Building And Construction Industry Employed On Projects Not Covered By Subsection (b), Above: The hourly wage package as used herein consists of the total of the wages and employer payments for employee benefits as defined in 8 C.C.R. s 16000. For apprentices participating in approved apprenticeship programs in the building and construction industry, the minimum hourly wage package for apprentices while employed on projects not covered by Subsection (b) above shall be as set forth either in subsections (1)-(5) of this subsection or, in the alternative, as set forth in subsection (6) of this subsection: (1) A starting hourly wage package for first- period apprentices of not less than 40 percent of the prevailing per diem wage package for journeymen in the apprenticeable occupation and geographic area of the project, as determined by the Director of Industrial Relations for purposes of Labor Code s 1720 et seq., using the rate effective on the immediately preceding March 1. At least 65 percent of this minimum hourly wage package must be paid to the apprentice as taxable wages; (2) If there is no prevailing hourly wage package and wage package progression determined by the Director for journeymen for the apprenticeable occupation and geographic area, a starting wage rate decided by the sponsoring program in consultation with and subject to the approval of the Chief DAS based on consideration of the minimum starting hourly wage package and wage package progression for apprentices in the most analogous occupations and geographic areas; (3) Where an employer elects to satisfy a portion of the hourly wage package by employer payments for employee benefits as defined in 8 C.C.R. s 16000, the payment of such contributions must be verifiable and the cost of the benefit(s) must be reasonably related to the amount of the contribution(s). The employer shall submit its books and records to an audit by the DAS staff, upon request, to verify such payments; (4) Where an employer elects not to satisfy a portion of the apprentice's hourly wage package by employer payments for employee benefits as defined in 8 CCR s 16000, the employer shall pay the entire hourly wage package to the apprentice on the apprentice's paycheck. Where an employer elects to satisfy a portion of the apprentice's hourly wage package by employer payments for employee benefits, the employer shall pay the remainder of the apprentice's hourly wage package to the apprentice in the apprentice's paycheck; (5) The minimum hourly wage package shall increase for each successfully completed period of apprenticeship to a higher percentage of the prevailing per diem wage package for journeymen in the apprenticeable occupation and geographic area of the project. These periodic increases in percentage shall be equal (e.g., 40 percent, 50 percent, 60 percent, etc.) and shall be such that the minimum hourly wage package in the final period of apprenticeship is not less than 80 percent of the prevailing per diem wage package for journeymen in the apprenticeable occupation and geographic area of the project, as determined by the Director, using the rate effective on the immediately preceding March 1. At least 65 percent of this minimum hourly wage package must be paid to the apprentice as taxable wages; (6) In the alternative, a contractor will be in compliance with this entire subsection (c) if the contractor provides the same total hourly wage package and wage package progression to apprentices employed on private projects as the contractor provides to apprentices employed on public works projects in the same geographic area, and that total hourly wage package is not less than the prevailing per diem apprentice wage package for the apprenticeable occupation and the geographic area of the project; (7) Existing apprenticeship programs already approved by the DAS and the CAC which are not in compliance with any aspect of this Subsection (c) shall have until February 17, 2002, to come into full compliance; (8) By the enactment of this regulation, it is not the CAC's intent to change the manner by which the Director of Industrial Relations currently determines the prevailing wage rate, and the provisions of this Subsection (c) shall not be used to determine the prevailing wage rate. (9) After February 17, 2002, all contractors employing registered apprentices shall pay not less than the minimum wages required by this subsection (c). (d) For All Apprentices Nothing in this Section shall permit the payment of less than the minimum wage prescribed by the Federal Fair Labor Standards Act or any applicable State minimum wage order. Note: Authority cited: Section 3071, Labor Code. Reference: Sections 3071 and 1777.5, Labor Code. s 209. Overtime Provision. Overtime shall not interfere with or impair the training and shall not be detrimental to the health and safety of apprentices. Note: Authority cited: Section 3071, Labor Code. Reference: Sections 3071 and 3078, Labor Code. s 210. Working Conditions. Apprentices shall work under and with competent journeymen and/or instructors and shall be assigned to work and learning tasks so that they obtain the diversified training on-the-job provided for in the apprenticeship standards. Note: Authority cited: Sections 3071 and 3078, Labor Code. Reference: Section 3071, Labor Code. s 211. Apprenticeable Occupations. Note: Authority cited: Section 3071, Labor Code. Reference: Sections 3076 and 3077, Labor Code. s 212. Content of Apprenticeship Program Standards. Apprenticeship programs shall be established by written apprenticeship standards which must be approved by the Chief DAS under Section 212.2. In order to be approved, the standards must cover all work processes within the apprenticeable occupation. The standards must contain: (a) A statement of: (1) the occupation(s) and an outline of the work processes in which the apprentice will receive supervised work experience and training on the job, and the allocation of the approximate time to be spent in each major process; (2) the parties to whom the standards apply, the program sponsor's labor market area, as defined by Section 215 appendix 2( l), for purposes of meeting equal employment opportunity goals in apprenticeship training and the program's geographic area of operation as defined by section 205(n); (3) the duties of the apprentice; (4) the apprentice's working conditions unique to the program; (5) the progressively increasing wage, employee benefits and other compensation of the apprentice, as set by Section 208; (6) the ratio of apprentices to journeymen, or the number of apprentices to be employed and the method used to determine the ratio whether by job site, workforce, department or plant; (7) the local education agency which has agreed to provide the related and supplemental instruction, and a description of the courses to be provided; (b) Provisions for: (1) establishment of an apprenticeship committee, if applicable; (2) administration of the standards; (3) establishment of rules and regulations governing the program. An apprenticeship program's standards or rules may provide for a period of probation which may not be for more than the combination of 1,000 hours of employment and 72 hours of related instruction; (4) determining the qualifications of employers if other than single employer programs and an orientation, workshop, or other educational session for employers to explain the apprenticeship program's standards and the operation of the apprenticeship program; (5) determining the qualifications of apprentice applicants and fair and impartial treatment of applicants for apprenticeship selected through uniform selection procedures, which shall be an addendum to the standards, pursuant to Section 215; (6) the incorporation of the provisions of the standards into the apprentice agreement either directly or by reference; (7) a procedure to be utilized for the recording and maintenance of all records concerning apprenticeship and otherwise required by law including a system for recording the apprentice's worksite job progress and progress in related and supplemental instruction and a system for the periodic review and evaluation of the apprentice's progress in job performance and related instruction; (8) discipline of apprentices for failure to fulfill their obligations on-the-job or in related instruction, including provisions for fair hearings; (9) terminating, or recommending the cancellation of, apprentice agreements in accordance with section 207; (10) recommending issuance of State Certificates of Completion of Apprenticeship pursuant to Section 224; (11) training and supervision, both on the job and in related instruction, in first aid, safe working practices and the recognition of occupational health and safety hazards; (12) training in the recognition of illegal discrimination and sexual harassment; (13) approval of the standards, and revisions to the standards, by the Chief DAS; (14) an adequate mechanism to be used for the rotation of the apprentice from work process to work process to assure the apprentice of complete training in the apprenticeable occupation including mobility between employers when essential to provide exposure and training in various work processes in the apprenticeable occupation; and an adequate mechanism that will be used to provide apprentices with reasonably continuous employment in the event of a lay-off or the inability of one employer to provide training in all work processes as outlined in the standards; (15) the on-going evaluation of the interest and capacity of individual employers to participate in the apprenticeship program and to train apprentices on-the-job and provisions for the evaluation of on-the-job training and related and supplemental instruction; (16) compliance with training criteria where such have been adopted pursuant to Section 212.01; and (17) meaningful representation of the interests of apprentices in the management of the program, which is shown where: (A) In a joint labor-management sponsored program, the apprentices participating in that program are represented by a labor organization pursuant to one of the following: National Labor Relations Act, the Railway Labor Act, the California Public Employee Relations Act, Agricultural Labor Relations Act, the Meyers-Milias Brown Act; (B) In a program sponsored by more than one employer or an association of employers, the apprentices participating in that program are at least equally represented on an advisory panel established by the apprenticeship committee responsible for the operation of the program. The apprentices shall be represented on the advisory panel by at least three representatives of the apprentices' choice who shall have full voice and vote on the panel except as to financial matters or matters that relate to the administration or structure of an employee benefit plan or the administration or operation of a trust fund. The representatives of the apprentices shall be selected by way of a secret ballot election among the apprentices conducted by the apprenticeship program not less than once every two (2) years. This advisory panel shall meet not less than once every quarter to address issues and concerns raised by and affecting the apprentices in the program. (c) The names and signatures of the parties. Note: Authority cited: Section 3071, Labor Code. Reference: Sections 3060, 3071, 3073, 3075 and 3078, Labor Code. s 212.01. Industry-Specific Training Criteria. (a) The California Apprenticeship Council shall adopt uniform training criteria adopted by particular industry training committee established pursuant to the provisions of this section, or shall otherwise determine the uniform training criteria to be utilized in accordance with the provisions of this section. (b) The following procedures shall be followed when initially establishing the uniform industry/trade or craft training criteria: (1) A representative committee for each major apprenticeable craft/trade shall be established by the Chair of the California Apprenticeship Council who shall appoint a minimum of twelve (12) members, three signatory employer representatives, three non signatory employer representatives, three signatory employee representatives and three non signatory employee representatives. the term of each member shall be three years. The Chair may appoint additional members in the same proportion. The Chair shall appoint members from among candidates supplied by the sponsors of those apprenticeship programs in the particular industry or trade including those programs proposed but not approved. Where there are no programs to supply candidates in a category, the Chair shall select individuals working in the particular industry. The Chair shall endeavor to appoint members from all segments of the industry within Northern, Central and Southern California. The committee action shall require a two thirds majority. (2) The committee shall meet as often as necessary at the call of its Chair, who shall be appointed annually by the Chair of the California Apprenticeship Council. The Chair of the committee shall rotate between union and non-union. (3) The committee shall establish the industry/trade or craft training criteria, the content of which shall encompass all the requirements of Section 212 of these regulations and the following topics in addition thereto: length of training, related classroom instruction, types of work processes and the skills to be learned, on-the-job training, competency testing, apprenticeship program completion percentages, and procedures for the review and revision of the training criteria. The criteria for the barbering, cosmetology, skin care and nail care trades shall be consistent with the standards for licensure in these trades required by the State Board of Barbering and Cosmetology. (4) The committee shall formulate the training criteria for the applicable industry trade/craft no later than twelve months from the date of its first meeting. The Council shall complete its review of the criteria by the second regularly scheduled meeting of the Council following the submission. If the Council approves the criteria, the Council shall then promulgate the criteria as regulations pursuant to the Administrative Procedure Act. If the Council does not approve the criteria, the submission shall be promptly returned to the committee with the Council's written reasons. (c) Each three years following the adoption of a particular set of industry trade/craft training criteria, the particular committee shall meet to review, and revise, if necessary, the industry training criteria, subject to approval by the California Apprenticeship Council. (d) All apprenticeship programs existing, whether approved or unapproved, at the time of the adoption of the appropriate minimum industry trade/craft training criteria, shall conform to such minimum criteria in their operations within one (1) year of the date of the adoption of such criteria by the California Apprenticeship Council. Note: Authority cited: Section 3071, Labor Code. Reference: Sections 3073, 3073.2 and 3078, Labor Code. s 212.1. Reciprocal Approval of Apprenticeship Programs. Apprenticeship programs and standards of employers and unions in other than the building and construction industry, which jointly form a sponsoring entity on a multistate basis and are registered pursuant to all requirements of Title 29 Code of Federal Regulations, Part 29, as adopted February 15, 1977, by any recognized State Apprenticeship Agency/Council or by the Bureau of Apprenticeship and Training, U.S. Department of Labor, shall be accorded approval reciprocity by the Chief DAS, if such reciprocity is requested by the sponsoring entity. Note: Authority cited: Section 3071, Labor Code. Reference: Section 3071, Labor Code. s 212.2. Eligibility and Procedure for DAS Approval of an Apprenticeship Program. (a) To be eligible for approval, a program must comply with all applicable federal and state law and regulations. A revision to change the program's occupation or to change the program's geographic area of operation to include a different labor market area is subject to the same application and approval process set out in (a)-(j) of this section for approval of a program, including providing notice of the proposed revision and an opportunity for comment to existing programs in the same apprenticeable occupation in the labor market area. The program sponsor shall submit to the Chief, DAS, an application for approval of the program and shall provide the program standards and, either with the application or during the application review process, evidence of: (1) commitment to provide safe work site facilities and safe equipment sufficient to train the apprentices; (2) commitment to provide skilled workers as trainers at the work site who meet the criteria for journeyman or instructor as defined in Section 205(a) or (b); (3) adequate arrangements for related and supplemental instruction pursuant to Labor Code section 3074; (4) ability to offer training and supervision in all work processes of the apprenticeable occupation; (5) the program sponsor's ability, including financial ability, and commitment to meet and carry out its responsibility under the federal and state law and regulations applicable to the apprenticeable occupation and for the welfare of the apprentice. (b) The training must be in an apprenticeable occupation as defined in Section 205(c) and must conform to the requirements of Section 215 concerning equal opportunity in apprenticeship; (c) Within thirty days after receipt of an application for approval of a program, or for approval of a revision to change the occupation or to change the program's geographic area of operation to include a different labor market area, the Chief DAS shall notify the sponsor in writing either that: (1) the application is complete and accepted for filing; or (2) the application is incomplete and specified additional information is required; (d) Where a collective bargaining agreement exists, a program shall be jointly sponsored unless either party to the agreement waives its right to representation in writing; (e) If the standards or collective bargaining agreement of a program proposed by an employer or employers' association provide for participation by a union in the operation of the program, the sponsor shall provide evidence that the union accepts or does not oppose the program. The union may submit comments on the proposed program within thirty days after receipt of the proposed standards. The Chief may, in his or her discretion, consult with such union concerning the proposed program; (f) If the standards and collective bargaining agreement of a program proposed by an employers' association do not provide for participation by a union in the operation of the program, the sponsor shall serve a copy of the proposed standards and any supplement thereto on the union, if any, which is the collective bargaining agent of the employees to be trained. The union may submit comments on the proposed program within thirty days after receipt of the completed standards. The Chief may, in his or her discretion, consult with such union concerning the proposed program; (g) Upon receipt of the proposed standards of a program, the Chief shall serve a copy of the proposed standards and any supplement thereto on the sponsor of each existing program in the apprenticeable occupation in the labor market area of the program, unless the program has advised the Chief DAS that it does not wish to be so notified. Each such existing program may submit comments on the proposed program within thirty days after receipt of the completed standards. The Chief may, in his or her discretion, consult with such existing program concerning the proposed program; (h) The Chief may, in his or her discretion, hold a hearing on any issue relating to the compliance of a proposed program with federal and state law and regulations. The Chief shall provide notice of, and an opportunity to attend, the hearing to the sponsor and to any union or existing program that is entitled to submit comments under this section. The hearing shall be conducted informally without the application of formal rules of evidence or procedure; (i) The Chief's decision whether to approve a program shall be issued within ninety days after the receipt of the completed application for approval. The decision shall be served on the sponsor and on each party which submitted comments on the proposed program. The decision shall be in writing and shall set forth the relevant findings of fact, a discussion of any issues raised by any comments or at any hearing and the reasons for the decision; (j) The median time for processing an application to train apprentices, from the receipt of the initial application to the final approval decision, based on the experience in the two years preceding the proposal of this Section, is two years. The minimum time is one and a half years, and the maximum time is three years. (k) The Chief's decision approving or disapproving a proposed program shall be final and become an Order of the Council if no appeal is filed within 30 days following service of the decision on the parties. The appeal may be filed by the sponsor or by any union or existing program which was authorized to and did submit comments under this section; ( l) The chairperson of the Council shall refer the appeal, if any, to a three member panel which shall submit a recommendation to the full Council. The Panel's recommendation shall be submitted no later than the second regularly scheduled meeting of the Council after the filing of the appeal. The panel may, in its discretion, hold a hearing if the Chief did not hold a hearing in the consultation process. The hearing shall be conducted in compliance with Section 203. (m) The Council may affirm, reverse, or modify the decision of the Chief or of the appeal panel. The decision of the Council on an appeal shall be final. (n) All documents, notices and appeals filed or served under this Section shall be filed or served in accordance with Section 229. Note: Authority cited: Section 3071, Labor Code. Reference: Sections 3073, 3075 and 3090, Labor Code. s 212.3. Apprenticeship Program Self-Assessment and Audits. (a) Each apprenticeship program shall annually prepare and submit a Self-Assessment Review as well as a Program Improvement Plan to the Chief DAS; provided, however, that a program is not required to submit a Review and a Plan in the first year of its existence. (b) The Self-Assessment Review shall contain an objective and critical appraisal of the following items at a minimum: (1) curriculum and instruction; (2) supervision and management; (3) individual apprentice training plans; (4) use of competent and qualified personnel; (5) utilization of facilities, equipment and material; (6) community, business and industry involvement; (7) recruitment, assessment and placement; (8) program promotion; (9) program accountability; (10) safety and drug-free environmental training; and (11) training in the recognition of sexual harassment and illegal discrimination. (c) The Program Improvement Plan shall contain provisions by which the program sponsor(s) represent that good faith efforts shall be made to improve identified deficiencies in program operations and in the training of apprentices. Such Plan shall contain at a minimum: (1) remedial priorities; (2) program improvement objectives; (3) identification of personnel, resources, and action needed; and (4) timelines for completion of objectives. (d) The Chief DAS shall select a program for random audit using a method that is not based on factors specific to that audit subject. A program may be selected for random audit only once during each five-year period beginning January 1, 2000. A program may be selected for non-random audit at any time if: (1) there have been at least two previous final determinations that the program has violated laws or regulations regulating apprenticeship; or (2) the Chief, DAS, as the result of a previous audit under this section, has identified violations of the program's standards or laws or regulations regulating apprenticeship and believes that the violations may not have been remedied. (e) A program that has been selected for audit shall be notified by the Chief DAS fourteen (14) days prior to the commencement of the audit. The notice shall state whether the audit is a random audit or non-random. (f) An audit of a program shall include a review of the program records, including records of apprentice training and related and supplemental instruction; inspection of the program's training facilities; visits to on-the-job training locations; and review of individual apprentice records. Apprentice records may be reviewed by a method of random selection and not every apprentice record need be reviewed so long as a sufficient number are reviewed to fairly evaluate the program. The Chief DAS shall provide a copy of the proposed audit report to the program within 30 days of the completion of the audit. The program shall have 14 days following receipt of the report to make comments. The Chief DAS may reopen the audit in response to any comments, and shall submit a final audit report, taking into account any comments, to the California Apprenticeship Council within 10 days following the final completion of the audit. (g) Audit reports shall not include the name, address or social security number or other identifying information about any apprentice and shall not include any medical or other confidential information about any apprentice. (h) The audit report prepared by the Chief DAS for presentation to the California Apprenticeship Council shall contain recommendations for remedial action to correct deficiencies, if any, and a proposed time schedule for doing so. The Chief DAS shall report at each regular California Apprenticeship Council meeting the status of each audit, including whether or not the deficiencies identified in the audit report have been corrected. Note: Authority cited: Section 3071, Labor Code. Reference: Sections 3073, 3073.1, 3074, 3074.3, 3075, 3078 and 3090, Labor Code. s 212.4. Deregistration of Programs. The deregistration of a program cancels the approval of a program to operate. (a) The Chief DAS shall deregister an apprenticeship program upon the request of the sponsor as long as within fifteen days of the Chief's acknowledgment of the request for deregistration, the sponsor shall inform each apprentice in writing of the deregistration, the proposed effective date of the deregistration and the names and addresses of other programs in the area. The Chief shall not deregister the program unless the sponsor complies with this requirement. (b) The Chief may deregister an apprenticeship program, if the program is not conducted, operated and administered in accordance with applicable federal and state law and regulations or the program's approved apprenticeship standards, or if a program has had no active apprentices for a period of two (2) years, except that deregistration proceedings for violation of equal opportunity requirements shall be processed in accordance with Section 215: (1) If the Chief has information that a program is not being operated in accordance with applicable federal and state law and regulations or the program's approved apprenticeship standards, the Chief shall so notify the program sponsor in writing sent by registered or certified mail, with return receipt requested. The notice shall identify the violation and the action needed to correct the violation. The notice shall state that the program will be deregistered unless corrective action is completed within thirty days. Upon a showing of good cause, the Chief may grant the sponsor a reasonable extension of time to achieve corrective action. Where the Chief has information that a program has had no active apprentices for a period of two (2) years, that shall be considered grounds for deregistration and the Chief shall notify the program sponsor in writing as set forth above that the program will be deregistered unless the program can show good cause within thirty (30) days why it should not be deregistered; (2) The Chief shall advise the sponsor in every reasonable way to help the program sponsor correct the violation; (3) If the required correction is made, the Chief may periodically review the program to see that the correction is maintained; (4) If the required correction is not completed, or if a program which has had no active apprentices for a period of two (2) years fails to show good cause why it should not be deregistered, within the allotted time, the Chief shall send a notice to the sponsor, by registered or certified mail, return receipt requested. The notice shall: (A) State that it is sent pursuant to this subsection; (B) Indicate that the program has had no active apprentices for a period of two (2) years and has failed to show good cause why it should not be deregistered; or identify the violation with particularity, state when it was called to the sponsor's attention, identify the correction required and state that the sponsor has failed or refused to correct the violation; (C) State that the Chief will recommend that the Administrator deregister the program unless the sponsor requests a hearing within fifteen days of the date of the notice; (5) If the sponsor does not request a hearing, the Chief shall transmit to the Administrator a report containing all pertinent facts and circumstances concerning the violation, including the findings and recommendation for deregistration, and copies of all relevant documents and records. Statements concerning interviews, meetings and conferences shall include the time, date, place, and persons present. The Administrator shall make a final order on the basis of the record. (6) If the sponsor requests a hearing, the Chief shall transmit to the Administrator a report containing all the data listed in subparagraph (5) above. The Administrator shall hold a hearing in accordance with Section 202, and shall make a final decision on the basis of the record, including the proposed findings and recommended decision of the Chief. At the Administrator's discretion, he/she may allow the sponsor a reasonable period of time to achieve corrective action. (7) The decision of the Administrator concerning deregistration of a program shall be final and become an order of the Council unless an appeal is filed by the sponsor with the Council within thirty (30) days following the date the decision is issued. If the program is deregistered, and no appeal to the Council is filed, the deregistration shall be effective sixty (60) days following the date the Administrator's Decision was issued. (8) The sponsor may appeal the Administrator's Decision to the Council. If an appeal is filed, the procedures of Section 203 shall be followed. The Decision of the Council shall be final and shall be effective thirty (30) days following the date the Council's Decision is issued. (9) Upon issuance of the Administrator's Decision to deregister, the Administrator shall make public notice of this Decision and shall notify the sponsor and other programs in the same occupation and in the same labor market area. Within 15 days of service of the Administrator's Decision, the sponsor shall notify each apprentice of the Administrator's Decision to deregister the program. The sponsor shall inform each apprentice that, if the deregistration decision becomes final, it automatically terminates the apprentice's individual registration. The sponsor shall provide each apprentice with the names and addresses of other programs in the area. Finally, the sponsor shall provide Chief, DAS, with proof of said mailing. Note: Authority cited: Sections 3071 and 3081, Labor Code. Reference: Sections 3073, 3075, 3078, 3081, 3082, 3083 and 3090, Labor Code. s 213. Discipline -Cancellation. The apprenticeship program standards may provide for the disciplining of apprentices for failure to fulfill their obligations on-the-job or in related instruction. Disciplinary measures may include provisions for the suspension of an apprentice for a period not to exceed sixty (60) days. Standards may provide for a recommendation to the Administrator of Apprenticeship for the immediate cancellation of the apprentice agreement for good and sufficient reason. Note: Authority cited: Section 3071, Labor Code. Reference: Section 3071, Labor Code. s 214. Approved Forms. Note: Authority cited: Section 3071, Labor Code. Reference: Sections 3071, 3073, 3076-3078, 3080-3084 and 3096, Labor Code. s 215. State Compliance. Selection procedures must be in writing, approved by the apprenticeship program sponsor, and must meet objective standards. Apprenticeship programs must comply with the State of California Plan for Equal Opportunity in Apprenticeship adopted by the California Apprenticeship Council on April 26, 1986 to be effective September 28, 1986, as though expressly set forth herein and shall be considered as an appendix hereto and appropriately marked as such, including the month and year of adoption. Note: Authority cited: Section 3071, Labor Code. Reference: Sections 3071, 3075.1 and 3076, Labor Code. s 216. Review and Compliance. Note: Authority cited: Section 3071, Labor Code. Reference: Sections 3071, 3073, 3076-3078, 3080-3084 and 3096, Labor Code. s 217. Review and Compliance. s 218. Apprenticeship Programs. The administration and operation of apprenticeship programs shall be supervised by an apprenticeship program sponsor which shall approve apprentice agreements, adjust disputes and perform such other functions and duties as are agreed to in the apprenticeship standards. An apprenticeship program is not restricted to a local area of coverage and may provide for local, regional or statewide coverage in its standards. All actions and determinations regarding apprenticeship programs by apprenticeship program sponsors shall be made after giving reasonable notice and opportunity to be heard to all interested parties. Note: Authority cited: Section 3071, Labor Code. Reference: Sections 3073 and 3075-3080, Labor Code. s 219. Local Joint Apprenticeship Programs. Note: Authority cited: Section 3071, Labor Code. Reference: Section 3075, Labor Code. s 220. Local Unilateral Apprenticeship Programs. Note: Authority cited: Section 3071, Labor Code. Reference: Section 3079, Labor Code. s 221. Federations of Apprenticeship Committees. Note: Authority cited: Section 3071, Labor Code. Reference: Sections 3071 and 3090, Labor Code. s 222. State and Regional Apprenticeship Advisory Committees. Note: Authority cited: Section 3071, Labor Code. Reference: Sections 3071 and 3073, Labor Code. s 223. State and Local Community Equal Opportunity Apprenticeship Committees. Note: Authority cited: Section 3071, Labor Code. Reference: Sections 3071, 3073, 3075.1 and 3076, Labor Code. s 224. When Issued. (a) A "Certificate of Completion of Apprenticeship" attesting to the completion of an apprenticeship will be issued under the authority of the California Apprenticeship Council by the Division of Apprenticeship Standards upon receipt of such competent evidence as may be required by the California Apprenticeship Council. (b) The certificate shall signify completion of an apprenticeship under standards and apprentice agreement approved under the State Apprenticeship Law and these regulations. (c) Completion of the entire apprenticeship program by the apprentice shall be attested to by the local apprenticeship program sponsor. The local apprenticeship program sponsor will attest to the related and supplemental instruction after consulting with the appropriate school authorities regarding the completion of the educational requirements of related and supplemental subjects. (d) The certificate is in recognition of completion of an apprenticeship. The certificate may be granted to an apprentice only when the apprentice: (1) in addition to previous on-the-job training and related school instruction which is of an approved nature, shall have completed not less than an additional six (6) months as an apprentice under the laws of the State of California; and (2) demonstrated to the satisfaction of the apprenticeship program sponsor, mastery of the skills and knowledge of the prescribed program. (e) The local apprenticeship program sponsor in recognition of unusual ability and progress in mastering the skills of the occupations and the related and supplemental education program may decrease the apprenticeship period for individual apprentices by not more than twelve and one-half (12 1/2) percent. (f) Credit toward the apprenticeship for work experience prior to the apprenticeship may be given by the local apprenticeship program sponsor after verification and/or examination. Credit for partial completion of the education requirements for related and supplemental instruction may be given by the local apprenticeship program sponsor after consultation with the appropriate school authorities concerning the mastery of the related instruction ordinarily required of the apprentices. (g) In instances where school classes are not available or where attendance will result in an undue hardship on the apprentice, the local apprenticeship program sponsor, after consultation with the appropriate school officials, may make arrangements for acceptance of educational experiences such as home study or correspondence courses as fulfilling the related and supplemental education requirement. Note: Authority cited: Section 3071, Labor Code. Reference: Sections 3071 and 3078, Labor Code. s 226. When Issued. Note: Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.5, Labor Code. s 227. Scope and Application. These regulations shall govern all actions pursuant to provisions of Division 2, Part 7, Chapter 1, Labor Code Sections 1777.5 and 1777.7. Note: Authority cited: Section 1777.7, Labor Code. Reference: Sections 1777.5, 1777.6 and 1777.7, Labor Code. Hydrostorage, Inc. v. Northern California Boilermakers Local Joint Apprenticeship Committee, (1989) 891 F.2d 719. s 228. Definitions. For the purpose of this Article 10: (a) ADMINISTRATOR means the Administrator of Apprenticeship or a duly authorized representative. (b) CHIEF means the Chief of the Division of Apprenticeship Standards or a duly authorized representative. (c) CONTRACTOR means a general, prime, specialty or subcontractor. (d) COUNCIL means the California Apprenticeship Council. (e) DAS means the Division of Apprenticeship Standards. (f) DATE OF AGREEMENT OR CONTRACT AWARD means, whichever is earlier, the date the Public Work contract was signed by the party authorizing performance under the Public Work, or the date a Notice to Proceed was issued. (g) WORKER means any journeyman as defined in Section 205(a) of Title 8 performing work of an apprenticeable occupation on a public works job, except a licensee who is a sole proprietor. Note: Authority cited: Section 1777.7, Labor Code. Reference: Sections 1777.5 and 1777.7, Labor Code. s 229. Service, Notice and Computation of Time. (a) Except where otherwise provided for in these Regulations, all documents and notices required to be served pursuant to this Article shall be served personally, or by certified mail, or by first class mail on the party to be served or attorney or representative of Record. (b) Service shall be prior to filing. Proof of service, by means of a written declaration under penalty of perjury stating the name(s) and address(es) of party(s) served and the date and manner of service, shall be attached to the papers filed. (c) In computing the time within which a right may be exercised or an act is to be performed the first day shall be excluded and the last day shall be included. If the last day is a Saturday, Sunday or legal holiday, time shall be extended to the next weekday. For documents or notices served by first class main the time for performing any act shall be extended pursuant to the Code of Civil Procedure Section 1013. (d) A request for review which is transmitted to the Administrator within 30 days after service of the order of debarment or civil penalty will be considered timely if the request was sent to the Administrator by first class mail or facsimile with a proof of service showing the date of service was within 30 days after service of the order of debarment or civil penalty. Note: Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code. s 230. Notification of Contract Award Information. (a) Contractors shall provide contract award information to the apprenticeship committee for each applicable apprenticeable craft or trade in the area of the site of the public works project that has approved the contractor to train apprentices. Contractors who are not already approved to train by an apprenticeship program sponsor shall provide contract award information to all of the applicable apprenticeship committees whose geographic area of operation includes the area of the public works project. This contract award information shall be in writing and may be a DAS Form 140, Public Works Contract Award Information. The information shall be provided to the applicable apprenticeship committee within ten (10) days of the date of the execution of the prime contract or subcontract, but in no event later than the first day in which the contractor has workers employed upon the public work. Failure to provide contract award information, which is known by the awarded contractor, shall be deemed to be a continuing violation for the duration of the contract, ending when a Notice of Completion is filed by the awarding body, for the purpose of determining the accrual of penalties under Labor Code Section 1777.7. The DAS Form 140 or written notice shall include the following information, but shall not require information not enumerated in Section 230: (1) the contractor's name, address, telephone number and state license number; (2) full name and address of the public work awarding body; (3) the exact location of the public work site; (4) date of the contract award; (5) expected start date of the work; (6) estimated journeyman hours; (7) number of apprentices to be employed; (8) approximate dates apprentices will be employed; Note: Authority cited; Section 1777.7, Labor Code. Reference: Section 1777.5, Labor Code. s 230.1. Employment of Apprentices on Public Works. (a) Contractors, as defined in Section 228 to include general, prime, specialty or subcontractor, shall employ registered apprentice(s), as defined by Labor Code Section 3077, during the performance of a public work project in accordance with the required 1 hour of work performed by an apprentice for every five hours of labor performed by a journeyman, unless covered by one of the exemptions enumerated in Labor Code Section 1777.5 or this subchapter. Unless an exemption has been granted, the contractor shall employ apprentices for the number of hours computed above before the end of the contract. Contractors who are not already approved to train by an applicable joint apprenticeship committee or unilateral committee must request the dispatch of required apprentices from one of the applicable Apprenticeship Committees whose geographic area of operation includes the site of the public work by giving the committee actual notice of at least 48 hours (excluding Saturdays, Sundays and holidays) before the date on which one or more apprentices are required. However, if a non-signatory contractor declines to abide by and comply with the terms of a local committee's standards, the Apprenticeship Committee shall not be required to dispatch apprentices to such contractor. Conversely, if in response to a written request an Apprenticeship Committee does not dispatch any apprentice to a contractor who has agreed to employ and train apprentices in accordance with either the Apprenticeship Committee's Standards or these regulations within 72 hours of such request (excluding Saturdays, Sundays and holidays) the contractor shall not be considered in violation of this section as a result of failure to employ apprentices for the remainder of the project, provided that the contractor made the request in enough time to meet the above-stated ratio. If an Apprenticeship Committee dispatches fewer apprentices than the contractor requested, the contractor shall be considered in compliance if the contractor employs those apprentices who are dispatched, provided that, where there is more than one Apprenticeship Committee able and willing to unconditionally dispatch apprentices, a contractor who is not a participant in an apprenticeship program has requested dispatch from at least two committees. (b) Apprentices employed on public works shall be paid the applicable apprentice prevailing per diem wage rate, available from DAS, and derived from the Director's survey of wages paid on public works in the geographic area of the craft or trade. DAS shall refer complaints alleging any contractor's failure to pay the proper apprentice prevailing wage rate on a public works project to the Division of Labor Standards Enforcement for investigation and appropriate action. (c) Apprentices employed on public works can only be assigned to perform work of the craft or trade to which the apprentice is registered. Work of the craft or trade consists of job duties normally assigned to journeymen in the apprenticeable occupation. Where an employer employs apprentices under the rules and regulations of the California Apprenticeship Council, as set forth in Labor Code Section 1777.5(c)(2), apprentices employed on public works must at all times work with or under the direct supervision of journeyman/men. The on-the-job training shall be in accordance with the apprenticeship standards and apprenticeship agreement under which the apprentice is training, provided that a contractor shall not be subject to any financial or administrative obligations to a trust fund or employee benefit plan unless the contractor has so agreed. (d) Contractors who have bid or have been awarded public works projects prior to January 1, 2000 and contractors who have bid prior to January 1, 2000 and have been awarded public works projects after January 1, 2000 shall comply with the provisions of Labor Code Section 1777.5 in effect prior to January 1, 2000, as implemented by California Apprenticeship Council regulations in effect prior to January 1, 2000. Note: Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.5, Labor Code. s 230.2. Payment of Apprenticeship Training Contributions to the Council. (a) Contractors who are neither required nor wish to make apprenticeship training contributions to the applicable local training trust fund shall make their training contributions to the Council. Contractors may refer to the Director of the Department of Industrial Relations applicable prevailing wage determination for the amount owed for each hour of work performed by journeymen and apprentices in each apprenticeable occupation. (b) Training contributions to the Council are due and payable on the 15th day of each month for work performed during the preceding month. (c) Training contributions to the Council shall be paid by check and shall be accompanied by a completed CAC-2 Form, Training Fund Contributions, (Rev. 10/91), or the following information: (1) The name, address, and telephone number of the contractor making the contribution. (2) The contractor's license number. (3) The name and address of the public agency that awarded the contract. (4) The jobsite location, including the county where the work was performed. (5) The contract or project number. (6) The time period covered by the enclosed contributions. (7) The contribution rate and total hours worked by apprenticeable occupation. (8) The name of the program(s) that provided apprentices, if any. (9) The number of apprentice hours worked, by apprenticeable occupation and by program. (d) Training fund contribution paid to the CAC and deposited by the last day of a fiscal year into the Apprenticeship Training Contribution Fund shall be distributed in accordance with this subdivision within 90 days of the end of that fiscal year. Only apprenticeship programs that have had approval under Labor Code section 3075 for the entire fiscal year and are in existence at the time of the distribution of funds shall be entitled to receive a share of the distributed contributions. Contributions shall be distributed as follows: (i) payment shall first be made to the Division of Apprenticeship Standards for its budgeted expenses to administer this subdivision in the fiscal year in which the distribution is made; (ii) where there is only one applicable apprenticeship program in the same occupation for which contributions were made whose geographic area of operation as defined in 8 C.C.R. section 205(n) includes the county in which the work was performed, those contributions will be distributed to that program less the pro rata share of expenses paid by DAS; and (iii) where there are two or more applicable apprenticeship programs in the same occupation for which contributions were made whose geographic area of operation as defined in 8 C.C.R. section 205(n) includes the county in which the work was performed, those contributions will be distributed to each such program in proportion to the total number of registered apprentices that DAS has recorded in that program on June 30 of the fiscal year for which contributions were received less the pro rata share of expenses paid by DAS. "Pro rata share of expenses" means the share of DAS expenses that bears the same ratio to the contributions to be distributed as the total DAS expenses bear to the total contributions received in the fiscal year. Note: Authority cited: Section 1777.7, Labor Code. Reference: Sections 1770, 1773, 1773.1, 1777.5 and 1777.7, Labor Code. s 231. Complaints and Determinations of Noncompliance with Labor Code Section 1777.5. (a) Complaints alleging noncompliance with Labor Code Section 1777.5 may be filed with the Chief by any person. Such complaints shall contain the following: (1) The full name and address of the party filing the complaint. (2) The full name and address of the party(s) against whom the complaint is made (hereinafter referred to as the "respondent"). (3) The name and address of the general contractor if the party against whom the complaint is filed is a subcontractor. (4) The full name and address of the public work awarding body. (5) The location (address or geographic location) of the public work site. (6) A clear and concise statement of the facts constituting the basis for the complaint, date(s) of the alleged violation(s) and where appropriate, substantiation that respondent has: (A) failed to provide the applicable Apprenticeship Committee with notice of contract award information; and/or (B) failed to comply with the required apprentice to journeyman ratio; and/or (C) failed to properly employ apprentice(s) by assigning apprentice(s) to perform work outside the craft or trade of the apprenticeable occupation; and/or (D) failed to make required contributions to the Council or to the applicable apprenticeship program; and/or (E) failed to provide the applicable Apprenticeship Committee with a verified statement of the journeyman and apprentice hours performed on the contract; and/or (F) otherwise violated Labor Code Section 1777.5. (7) The apprenticeable occupation. (8) A declaration by the person signing the complaint under penalty of perjury that its contents are true and correct to the best of his/her knowledge and belief. (9) The signature of the person filing the complaint, or in the case of an organization, an authorized officer or agent. (10) Proof of Service of the complaint on the respondent, and in the case of a respondent subcontractor also on the general and/or prime contractor, pursuant to the provisions of Section 229. (b) The Chief shall investigate complaints and provide written notice to the complaining party, if any, and the respondent of the determination. Whether or not there is a complaint, the Chief shall conduct an investigation before making a determination that a violation has occurred. (c) The filing of a complaint is not a prerequisite to the initiation of an investigation by the Chief or to a determination by the Chief that a violation has occurred. (d) Before issuing a determination that a violation has occurred, the Chief shall provide the affected contractor(s) with written notice of the allegations and a reasonable opportunity to respond. (e) The Chief, on his/her own initiative, may issue a non-willful Notice when there is cause to believe that there has been a non-willful violation of Labor Code Section 1777.5. Such Notice shall be filed within six (6) months from the date of the alleged violation and shall contain the information required in subpart (b) of this section, but need not be under penalty of perjury. The Chief shall serve notice of a determination of a civil penalty or debarment on the affected contractor(s). The notice shall set forth the procedure set forth in Labor Code section 1777.7(c) for obtaining review of the Chief's decision. For purposes of commencing a period of debarment, the date of the determination of noncompliance by the Chief shall be the first date on which the Chief's decision is no longer subject to review. (f) Nothing in this subchapter shall prevent the Chief from entering into a settlement with the affected contractor, either before or after a notice of a determination. (g) If the Chief determines that a contractor has failed to submit contract award information and/or a verified statement of the journeyman and apprentice hours performed, the contractor shall use certified mail as the means of making subsequent submissions and maintain U.S. Postal Service return receipts as proof of mailing. The certified mail requirement shall end after two years from the notice of the determination. (h) For purposes of Labor Code Section 1777.7, a contractor knowingly violates Labor Code Section 1777.5 if the contractor knew or should have known of the requirements of that Section and fails to comply, unless the failure to comply was due to circumstances beyond the contractor's control. There is an irrebuttable presumption that a contractor knew or should have known of the requirements of Section 1777.5 if the contractor had previously been found to have violated that Section, or the contract and/or bid documents notified the contractor of the obligation to comply with Labor Code provisions applicable to public works projects, or the contractor had previously employed apprentices on a public works project. Note: Authority cited: Section 1777.7, Labor Code. Reference: Sections 1770, 1773, 1777.5 and 1777.7, Labor Code. s 231.1. Investigations of Alleged Willful Violations. Note: Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code. s 231.2. Proceedings Before Hearing on Alleged Willful Violations. Note: Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code. s 231.3. Proceedings After Issuance of a Citation. Note: Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code. s 231.4. Proceedings Before Hearing on Alleged Willful Violations. Note: Authority cited: Section 17777.7, Labor Code. Reference: Section 17777.7, Labor Code. s 232. Hearings on Alleged Violations. Note: Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code. s 232.01. Scope and Application of Rules. (a) These Rules govern proceedings for review of Determinations of civil penalty or debarment under Labor Code section 1777.5 and 1777.7. The provisions of Labor Code section 1777.7, applicable provisions of chapter 4.5 of title 2, division 3, part 1 (commencing at Government Code section 11425.10) of the Government Code and these Rules apply to all such Determinations served on a Contractor, Subcontractor, or Responsible Officer on or after the effective date of these Rules and provide the exclusive method for an Affected Contractor, Subcontractor, or Responsible Officer to obtain review of any such Determination. (b) These Rules do not govern debarment proceedings under Labor Code section 1777.1, nor prevailing wage enforcement under Labor Code section 1742, nor any criminal prosecution. (c) These Rules do not preclude any remedies otherwise authorized by law to remedy violations of Division 2, Part 7, Chapter 1 of the Labor Code. These Rules do preclude challenge by an Affected Contractor, Subcontractor, or Responsible Officer to determinations of violations of Labor Code section 1777.5 except as provided herein. (d) For easier reference, individual sections within these prevailing wage hearing regulations are referred to as "Rules" using only their last two digits. For example, this Section 232.01 may be referred to as Rule 01. Note: Authority cited: Section 11400.20, Government Code; and Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code; and Section 11400.10, Government Code. s 232.02. Definitions. For the purpose of these Rules: (a) "Administrator" means the Administrator of Apprenticeship, who is the Director of the Department of Industrial Relations; (b) "Affected Contractor, Subcontractor, or Responsible Officer" means a contractor or subcontractor (as defined under Labor Code section 1722.1) or Responsible Officer (as defined herein at subpart (p)) to whom the Chief DAS has issued a Determination of civil penalty or debarment pursuant to Labor Code section 1777.7. ; (c) "Awarding Body" means an awarding body or body awarding the contract (as defined in Labor Code section 1722); (d) "Chief DAS" means the Chief of the Division of Apprenticeship Standards, who may act through his or her designee or the Division of Apprenticeship Standards; (e) "DAS" means the Division of Apprenticeship Standards; (f) "Debarment" means the denial of the right to bid on or be awarded or to perform work as a contractor or subcontractor on any public works contract, that has been issued by the Chief DAS under Labor Code section 1777.7; (g) "Department" means the Department of Industrial Relations; (h) "Determination" means a civil penalty or debarment issued by the Chief DAS or his or her designee pursuant to Labor Code section 1777.7; (i) "Director" means the Director of the Department of Industrial Relations; (j) "Division" means the Division of Apprenticeship Standards; (k) "Hearing Officer" means any person appointed by the Director pursuant to Labor Code section 1777.7 to conduct hearings and other proceedings under Labor Code section 1777.7 and these Rules; (l) "Joint Labor-Management Committee" means a joint labor-management committee established pursuant to the federal Labor Management Cooperation Act of 1978 (section 175a of Title 29 of the United States Code);. (m) "Party" means an Affected Contractor, Subcontractor, or Responsible Officer , the Chief, DAS and any other Person who has intervened under subparts (a), (b), or (c) of Rule 08 (Section 232.08). (n) "Person" means an individual, partnership, limited liability company, corporation, governmental subdivision or unit of a governmental subdivision, or public or private organization or entity of any character; (o) "Representative" means a person authorized by a Party to represent that Party in a proceeding before a Hearing Officer; (p) "Responsible Officer" means a person responsible for exercising supervision and control of a contractor's or subcontractor's operations as is necessary to secure compliance with the public works - including public works apprenticeship - obligations of a public works contractor or subcontractor set forth in Chapter 1 of Part 7 of Division 2 of the Labor Code, commencing with Section 1720. (q) "Rule" refers to a section within sections 232.01-232.70 The Rule number corresponds to the last two digits of the full section number. (For example, Rule 08 is section 232.08.) (r) "Settlement Officer" means a Hearing Officer as defined in subpart (k) who conducts a settlement meeting under the provisions of Rule 21 (Section 232.21). (s) "Surety" means a surety (as defined in Civil Code section 2787) that issues a bond for the performance of a public works job, but only where the Surety assumed the contract for performance of the public works job by an Affected Contractor, Subcontractor, or Responsible Officer, and where the Surety operated the job when the violations of Labor Code section 1777.5 occurred. (t) "Working Day" means any day that is not a Saturday, Sunday, or State holiday, as determined with reference to Code of Civil Procedure sections 12(a) and 12(b) and Government Code sections 6700 and 6701. Note: Authority cited: Section 1777.7, Labor Code; and Section 11400.20, Government Code. Reference: Section 1777.7, Labor Code; and Sections 11405.40, 11405.60, 11405.70 and 11405.80, Government Code. s 232.03. Computation of Time and Extensions of Time to Respond or Act. (a) In computing the time within which a right may be exercised or an act is to be performed, the first day shall be excluded and the last day shall be included. If the last day is not a Working Day, the time shall be extended to the next Working Day. (b) Unless otherwise indicated by proof of service, if the envelope was properly addressed, the mailing date shall be presumed to be: a postmark date imprinted on the envelope by the U.S. Postal Service if first-class postage was prepaid; or the date of delivery to a common carrier promising overnight delivery as shown on the carrier's receipt. (c) Where service of any notice, decision, pleading or other document is by first class mail, and if within a given number of days after such service, a right may be exercised, or an act is to be performed, the time within which such right may be exercised or act performed is extended five days if the place of address is within the State of California, and 10 days if the place of address is outside the State of California but within the United States. However, this Rule shall not extend the time within which the Administrator may reconsider or modify a decision to correct an error (other than a clerical error) under Labor Code section 1777.7(c)(4). (d) Where service of any notice, pleading, or other document is made by an authorized method other than first class mailing, extensions of time to respond or act shall be calculated in the same manner as provided under section 1013 of the Code of Civil Procedure, unless a different requirement has been specified by the appointed Hearing Officer or by another provision of these Rules. Note: Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code. s 232.04. Appointment of Hearing Officers; Delegation of Appointment Authority to Chief Counsel. (a) Upon receipt of a Request for Review of a Determination of civil penalty or debarment, the Administrator, acting through the Chief Counsel (seesubpart (d) below), shall appoint an impartial Hearing Officer to conduct the review proceeding. (b) The appointed Hearing Officer shall be an attorney employed by the Office of the Director - Legal Unit. However, if no attorney employed by the Office of the Director - Legal Unit is available or qualified to serve in a particular matter, the appointed Hearing Officer may be any attorney or administrative law judge employed by the Department, other than an employee of the Division of Apprenticeship Standards ( "DAS") or a person who has represented or advised the DAS on matters covered by Ch. 1 of Part 7 of Div. 2 of the Labor Code, commencing with Section 1720 within one year of the appointment, or who at any time has represented or advised the Affected Contractor, Subcontractor, or Responsible Officer regarding alleged violations of Ch. 1 of Part 7 of Div. 2 of the Labor Code, commencing with Section 1720. (c) Any person appointed to serve as a Hearing Officer in any matter shall possess at least the minimum qualifications for service as an administrative law judge pursuant to Government Code section 11502(b) and shall be someone who is not precluded from serving under Government Code section 11425.30. (d) The Administrator's authority under Labor Code section 1777.7(c) to appoint an impartial Hearing Officer is delegated in all cases to the Chief Counsel of the Office of the Director, or to the Chief Counsel's designated Assistant or Acting Chief Counsel when the Chief Counsel is unavailable or disqualified from participating in a particular matter. This delegation includes all related authority under Rule 40 [Section 232.40] below to appoint a different Hearing Officer to conduct all or any part of a review proceeding as well as the authority to consider and decide or to assign to another Hearing Officer for consideration and decision any motion to disqualify an appointed Hearing Officer. Note: Authority cited: Section 1777.7, Labor Code; and Section 11400.20, Government Code. Reference: Section 1777.7, Labor Code; and Sections 11405.80, 11425.30 and 11425.40, Government Code. s 232.05. Authority of Hearing Officers. (a) In any proceeding assigned for hearing and decision under the provisions of Labor Code section 1777.7, the appointed Hearing Officer shall have full power, jurisdiction and authority to hold a hearing and ascertain facts for the information of the Administrator, to hold a prehearing conference, to issue a subpoena and subpoena duces tecum for the attendance of a Person and the production of testimony, books, documents, or other things, to compel the attendance of a Person residing anywhere in the state, to certify official acts, to regulate the course of a hearing, to grant a withdrawal, disposition or amendment, to order a continuance, to approve a stipulation voluntarily entered into by the Parties, to administer oaths and affirmations, to rule on objections, privileges, defenses, and the receipt of relevant and material evidence, to call and examine a Party or witness and introduce into the hearing record documentary or other evidence, to request a Party at any time to state the respective position or supporting theory concerning any fact or issue in the proceeding, to extend the submittal date of any proceeding, to exercise such other and additional authority as is delegated to Hearing Officers under these Rules or by an express written delegation by the Administrator, and to prepare a recommended decision, including a notice of findings, findings, and an order for approval by the Administrator. (b) There shall be no right of appeal to or review by the Administrator of any decision, order, act, or refusal to act by an appointed Hearing Officer other than through the Administrator's review of the record in issuing or reconsidering a written decision under Rules 60 [Section 232.60] and 61 [Section 232.61] below. Note: Authority cited: Section 1777.7, Labor Code; and Section 11400.20, Government Code. Reference: Section 1777.7, Labor Code; and Sections 11405.80, 11450.05, 11450.10, 11450.20 and 11450.30, Government Code. s 232.06. Access to Hearing Records. (a) Hearing case records shall be available for inspection and copying by the public to the same extent and subject to the same policies and procedures governing other records maintained by the Department. Hearing case records normally will be available for review in the office of the appointed Hearing Officer; provided however, that a case file may be temporarily unavailable when in use by the appointed Hearing Officer or by the Administrator or his or her designee. (b) Nothing in this Rule shall authorize the disclosure of any record or exhibit that is required to be kept confidential or is otherwise exempt from disclosure by law or that has been ordered to be kept confidential by an appointed Hearing Officer. Note: Authority cited: Section 1777.7, Labor Code; and Section 6253.4, Government Code. Reference: Section 1777.7, Labor Code; and Section 6253.4, Government Code. s 232.07. Ex Parte Communications. (a) Except as provided in this Rule, once a Request for Review is filed, and while the proceeding is pending, there shall be no direct or indirect communication regarding any issue in the proceeding to the appointed Hearing Officer or the Administrator, from the Chief DAS or any other Party or other interested Person, without notice and the opportunity for all Parties to participate in the communication. (b) A communication made on the record in the hearing is permissible. (c) A communication concerning a matter of procedure or practice is presumed to be permissible unless the topic of the communication appears to the Hearing Officer to be controversial in the context of the specific case. If so, the Hearing Officer shall so inform the other participant and may terminate the communication or continue it until after giving all Parties notice and an opportunity to participate. Any written communication concerning a matter of procedure or practice, and any written response, or a written memorandum identifying the participants and stating the substance of any such oral communication or response, shall be added to the case file so that all Parties have a reasonable opportunity to review it. Unless otherwise provided by statute or these Rules, the appointed Hearing Officer may determine a matter of procedure or practice based upon a permissible ex-parte communication. The term "matters of procedure or practice" shall be liberally construed. (d) A communication from the Chief DAS to the Hearing Officer or the Administrator which is deemed permissible under Government Code section 11430.30 is permitted only if any such written communication and any written response, or a written memorandum identifying the participants and stating the substance of any such oral communication or response, is added to the case file so that all Parties have a reasonable opportunity to review it. (e) If the Hearing Officer or the Administrator receives a communication in violation of this Rule, he or she shall comply with the requirements of Government Code section 11430.50. (f) To the extent not inconsistent with Labor Code section 1777.7, the provisions of Article 7 of Chapter 4.5 of Title 2, Division 3, Part 1 (commencing with section 11430.10) of the Government Code governing ex parte communications in administrative adjudication proceedings shall apply to review proceedings conducted under these Rules. (g) This Rule shall not be construed as prohibiting communications between the Administrator and the Chief DAS or between the Administrator and any other interested Person on issues or policies of general interest that coincide with issues involved in a pending review proceeding;provided that(1) the communication does not directly or indirectly seek to influence the outcome of any pending proceeding; (2) the communication does not directly or indirectly identify or otherwise refer to any pending proceeding; and (3) the communication does not occur at a time when the Director or the other party to the communication knows that a proceeding in which the other party to the communication is interested is under active consideration by the Administrator. Note: Authority cited: Section 1777.7, Labor Code; and Section 11400.20, Government Code. Reference: Section 1777.7, Labor Code; and Sections 11430.10, 11430.20, 11430.30, 11430.40, 11430.50, 11430.60, 11430.70 and 11430.80, Government Code. s 232.08. Intervention and Participation by other Interested Persons. (a) A bonding company and any Surety on a bond that secures the performance of the job covered by the Determination shall be permitted to intervene as a matter of right in any pending review filed by the Affected Contractor, Subcontractor, or Responsible Officer from the Determination in question; provided that, intervention is sought at or before the first prehearing conference held pursuant to Rule 31 [Section 232.31] below and within either 15 days after the bonding company or Surety was served with a copy of the Determination, or 15 days after the filing of the request for review, whichever is later. Thereafter, any request to intervene by such a bonding company or Surety shall be treated as a motion for permissive participation under subpart (c) of this Rule. A bonding company or Surety shall have the burden of proof with respect to any claim that it did not receive notice of the Determination until after the filing of the Request for Review. (b) The employee(s), labor union, or Joint Labor-Management Committee, or apprenticeship program (joint or unilateral) who filed the formal complaint which led the Chief DAS to issue the Determination of civil penalty or debarment shall be permitted to intervene in a pending review filed by the Affected Contractor, Subcontractor, or Responsible Officer from the Determination of civil penalty or debarment in question; provided that, intervention is sought at or before the first prehearing conference held pursuant to Rule 31 [Section 232.31] below and there is no good cause to deny the request. Thereafter, any request to intervene by such employee(s), labor union, or Joint Labor-Management Committee or apprenticeship program shall be treated as a motion for permissive participation as an interested Person under subpart (d) of this Rule. (c) Any other Person may move to participate as an interested Person in a proceeding in which that Person claims a substantial interest in the issues or underlying controversy and in which that Person's participation is likely to assist and not hinder or protract the hearing and determination of the case by the Hearing Officer and the Administrator. Interested Persons who are permitted to participate under this Rule shallnotbe regarded as Parties to the proceeding for any purpose, but may be provided notices and the opportunity to present arguments under such terms as the Hearing Officer deems appropriate. (d) Rights to intervene or participate as an interested Person are only in accordance with this Rule. Intervention or permissive participation under this Rule shall not expand the scope of issues under review nor shall it extend any rights or interests which have been forfeited as a result of an Affected Contractor, Subcontractor, or Responsible Officer's own failure to file a timely Request for Review. The Hearing Officer may impose conditions on an intervenor's or other interested Person's participation in the proceeding, including but not limited to those conditions specified in Government Code s11440.50(c). (e) No Person shall be required to seek intervention in a review proceeding as a condition for pursuing any other remedy available to that Person for the enforcement of the public works apprenticeship requirements of section 1777.5 of the Labor Code. Note: Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code. s 232.09. Representation at Hearing. (a) A Party may appear in person or through an authorized Representative, who need not be an attorney at law; however, a Party shall use the Director's Authorization For Representation By Non-Attorney form, revised 1/15/02, to authorize representation by any non-attorney who is not an owner, officer, or managing agent of that Party. (b) Upon formal notification that a Party is being represented by a particular individual or firm, service of subsequent notices in the matter shall be made on the Representative, either in addition to or instead of the Party, unless and until such authorization is terminated or withdrawn by further written notice. Service upon an authorized Representative shall be effective for all purposes and shall control the determination of any notice period or the running of any time limit for the performance of any acts, regardless of whether or when such notice may also have been served directly on the represented Party. (c) An authorized Representative shall be deemed to control all matters respecting the interests of the represented Party in the proceedings. (d) Parties and their Representatives shall have a continuing duty to keep the appointed Hearing Officer and all other Parties to the proceeding informed of their current address and telephone number. Note: Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code. s 232.10. Proper Method of Service. (a) Unless a particular method of service is specifically prescribed by statute or these Rules, service may be made by: (1) personal delivery; (2) priority or first class mailing postage prepaid through the U. S. Postal Service; (3) any other means authorized under Code of Civil Procedure section 1013; or (4) pursuant to Government Code section 11440.20(b), by facsimile or other electronic means. (b) Service is complete at the time of personal delivery or mailing, or at the time of transmission as determined under Rule 11 [Section 232.11] below. (c) Proof of service shall be filed with the document and may be made by: (1) affidavit or declaration of service; (2) written statement endorsed upon the document served and signed by the party making the statement; or (3) copy of letter of transmittal. (d) Service on a Party who has appeared through an attorney or other Representative shall be made upon such attorney or Representative. (e) In each proceeding, the Hearing Officer shall maintain an official address record which shall contain the names and addresses of all Parties and their Representatives, agents, or attorneys of record. Any change or substitution in such information must be communicated promptly in writing to the Hearing Officer. The official address record may also include the names and addresses of interested Persons who have been permitted to participate under Rule 08(d) [Section 232.08]. Note: Authority cited: Section 1777.7, Labor Code; and Section 11400.20, Government Code. Reference: Section 1777.7, Labor Code; and Section 11440.20, Government Code. s 232.11. Filing and Service of Documents by Facsimile or Other Electronic Means. (a) In individual cases the Hearing Officer pursuant to Government Code section 11440.20(b) may authorize the filing and service of documents by facsimile or by other electronic means, subject to reasonable restrictions on the time of transmission and the page length of any document or group of documents that may be transmitted by facsimile or other electronic means, and subject to any further requirements on the use of cover sheets or the subsequent filing and service of originals or hard copies of documents as the Hearing Officer deems appropriate. Filing and service by facsimile or other electronic means shall not be authorized under terms that substantially disadvantage any Party appearing or participating in the proceeding as a matter of right. A document transmitted by facsimile or other electronic means shall not be considered received until the next Working Day following transmission unless it is transmitted on a Working Day and the entire transmission is completed by no later than 4:00 p.m. Pacific Time. (b) Filings and service by facsimile or other electronic means shall not be authorized or accepted as a substitute for another method of service that is required by statute or these Rules, unless the Party served has expressly waived its right to be served in the required manner. Note: Authority cited: Section 1777.7, Labor Code; and Section 11400.20, Government Code. Reference: Section 1777.7, Labor Code; and Section 11440.20, Government Code. s 232.12. Administrative Adjudication Bill of Rights. (a) The provisions of the Administrative Adjudication Bill of Rights found in Article 6 of Chapter 4.5 of Title 2, Division 3, Part 1 (commencing with section 11425.10) of the Government Code shall apply to these review proceedings to the extent not inconsistent with a state or federal statute, a federal regulation, or a court decision which applies specifically to the Department. The enumeration of certain rights in these Rules may expand but shall not be construed as limiting the same or similar provision of the Administrative Adjudication Bill of Rights; nor shall the enumeration of certain rights in these Rules be construed as negating other statutory rights not stated. (b) Ex parte communications between the appointed Hearing Officer and the Administrator shall be in accordance with Government Code section 11430.80(b). (c) The presentation or submission of any written communication by a Party or other interested Person during the course of a review proceeding shall be governed by the requirements of Government Code s11440.60 (b) and (c). (d) Unless otherwise indicated by express reference within the body of one of these Rules, the provisions of Chapter 5 of Title 2, Division 3, Part 1 (commencing with section 11500) of the Government Code shall not apply to these review proceedings. Note: Authority cited: Section 1777.7, Labor Code; and Section 11400.20, Government Code. Reference: Section 1777.7, Labor Code; and Sections 11415.20, 11425.10 and 11430.80(b), Government Code. s 232.20. Service and Contents of Determinations. (a) A Determination of civil penalty or debarment shall be served on the contractor, subcontractor, and responsible officer, if applicable, by first class and certified mail pursuant to the requirements of Code of Civil Procedure section 1013. A copy of the notice shall also be served by certified mail on any bonding company issuing a bond that secures the performance of the job covered by the Determination and to any Surety on the bond if its identities of such companies are known or reasonably ascertainable. The identity of any Surety issuing a bond for the benefit of an Awarding body as designated obligee shall be deemed "known or reasonably ascertainable," and the Surety shall be deemed to have received the notice required under this subpart if sent to the address appearing on the face of the bond. (b) A Determination of civil penalty or debarment shall be in writing and shall include the following information: (1) a description of the nature of the violation and basis for the Determination; and (2) the amount of penalties due, including a specification of amounts to be withheld from available contract payments, and any period of debarment. (c) A Determination of civil penalty or debarment shall also include the following information: (1) the name and address of the office of the Administrator to whom a Request for Review must be sent, as well as the name and address of the office of the Chief DAS on whom a copy of the Request for Review must be served; (2) information on the procedures for obtaining review of the Determination; (3) notice of the opportunity to request a settlement meeting under Rule 21 [Section 232.21] below; and (4) the following statement which shall appear in bold or another type face that makes it stand out from the other text: Failure by a contractor, subcontractor, or responsible officer to submit a timely Request for Review will result in a final order which shall be binding on the contractor, subcontractor, or responsible officer. Labor Code section 1777.7(c)(1). Note: Authority cited: Section 1777.7, Labor Code; and Section 11400.20, Government Code. Reference: Section 1777.7, Labor Code; and Sections 11440.20 and 11425.50, Government Code. s 232.21. Opportunity for Early Settlement. (a) Any Party may request a meeting with the Chief DAS for the purpose of attempting to settle the dispute regarding the Determination. (b) A settlement meeting may be conducted subject only to the agreement of the Parties, including agreement to any particular Hearing Officer to act as the Settlement Officer, and agreement to waive any right to disqualify the Office of the Director - Legal Unit from representing the Director or any division of the Department other than DAS in the event any part of the dispute goes to court. The settlement meeting may be held in person or by telephone. (c) Nothing herein shall preclude the Parties from meeting or attempting to settle a dispute at any time. (d) Neither the making or pendency of a request for a settlement meeting, nor the fact that the Parties have met or have failed or refused to meet as authorized by this Rule shall serve to extend the time for filing a Request for Review under Rule 22 [Section 232.22] below. (e) No evidence of anything said or any admission made for the purpose of, in the course of, or pursuant to, such a settlement meeting shall be admissible or subject to discovery in any administrative or civil proceeding. No writing prepared for the purpose of, in the course of, or pursuant to, such a settlement meeting, other than a final settlement agreement, shall be admissible or subject to discovery in any administrative or civil proceeding. Where a separate Settlement Officer has conducted the settlement meeting, all communications by and between the parties and the Settlement Officer are completely confidential, and not to be shared by the parties or by the Settlement Officer with the Hearing Officer, other attorneys working in the Office of the Director - Legal Unit, or clients of the Office of the Director - Legal Unit. Note: Authority cited: Section 1777.7, Labor Code; and Section 11400.20, Government Code. Reference: Section 1777.7, Labor Code; and Section 11415.60, Government Code. s 232.22. Filing of Request for Review. (a) Any Request for Review of a Determination of civil penalty or debarment shall be transmitted in writing to the office of the Administrator within 30 days after service of the Determination. Failure to request review within 30 days shall result in the Determination becoming final and not subject to further review under these Rules. (b) A Request for Review shall be transmitted to the office of the Administrator at the following address: Department of Industrial Relations Office of the Director - Legal Unit Attention: Lead Hearing Officer P.O. Box 420603 San Francisco, CA 94142-0603 (c) A Request for Review shall be deemed filed on the date of mailing, as determined by the U.S. Postal Service postmark date on the envelope or the overnight carrier's receipt in accordance with Rule 03(b) [Section 232.03(b)] above, or on the date of receipt by the designated office of the Administrator, whichever is earlier. (d) A copy of the Request for Review must be served on the Chief DAS, at the address as designated on the Determination from which review is sought. (e) A Request for Review either shall clearly identify the Determination from which review is sought, including the date of the Determination, or it shall include a copy of the Determination as an attachment. A Request for Review shall also set forth the basis upon which the Determination is being contested. A Request for Review shall be liberally construed in favor of its sufficiency; however, the Hearing Officer may require the Party seeking review to provide a further specification of the issues or claims being contested and a specification of the basis for contesting those matters. Note: Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code. s 232.23. Transmittal of Request for Review to Department. Within ten (10) days followings its receipt of a Request for Review, the Chief DAS shall transmit to the Office of the Director - Legal Unit, the Request for Review and copies of the Determination of civil penalty or debarment at the following address. Department of Industrial Relations Office of the Director - Legal Unit Attention: Lead Hearing Officer P.O. Box 420603 San Francisco, CA 94142-0603 Note: Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code. s 232.24. Disclosure of Evidence. (a) Within ten (10) days following its receipt of a Request for Review, the Chief DAS shall also notify the Affected Contractor, Subcontractor, or Responsible Officer, if applicable, of its opportunity and the procedures for reviewing evidence to be utilized by the Chief DAS at the hearing on the Request for Review. (b) The Chief DAS shall be deemed to have provided the opportunity to review evidence required by this Rule if it (1) gives the Affected Contractor, Subcontractor, or Responsible Officer the option, at the Affected Contractor's, Subcontractor's, or Responsible Officer's own expense, to either (A) obtain copies of all such evidence through a commercial copying service or (B) inspect and copy such evidence at the office of the Chief DAS during normal business hours; or if (2) the Chief DAS at its own expense forwards copies of all such evidence to the Affected Contractor, Subcontractor, or Responsible Officer. (c) The evidence required to be provided under this Rule shall include the identity of witnesses whose testimony the Chief DAS intends to present, either in person at the hearing or by declaration or affidavit. This provision shall not be construed as requiring the Chief DAS to prepare or provide any separate listing of witnesses whose identities are disclosed within the written materials made available under subpart (a). (d) The Chief DAS shall make evidence available for review as specified in subparts (a) through (c) within 20 days of its receipt of the Request for Review; provided that, this deadline may be extended by written request or agreement of the Affected Contractor, Subcontractor, or Responsible Officer. The Chief DAS's failure to make evidence available for review as required by Labor Code section 1777.7(c) and this Rule, shall preclude the Chief DAS from introducing such evidence in proceedings before the Hearing Officer or the Administrator. (e) This Rule shall not preclude the Chief DAS from relying upon or presenting any evidence first obtained after the initial disclosure of evidence under subparts (a) through (d), provided that, such evidence is promptly disclosed to the Affected Contractor, Subcontractor, or Responsible Officer. This Rule also shall not preclude the Chief DAS from presenting previously undisclosed evidence to rebut new or collateral claims raised by another Party in the proceeding. Note: Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code. s 232.25. Withdrawal of Request for Review; Reinstatement. (a) An Affected Contractor, Subcontractor, or Responsible Officer may withdraw a Request for Review by written notification at any time before a decision is issued or by oral motion on the hearing record. The Hearing Officer may grant such withdrawal by letter, order or decision served on the Parties. (b) For good cause, a Request for Review so dismissed may be reinstated by the Hearing Officer or the Administrator upon a showing that the withdrawal resulted from misinformation given by the Chief DAS or otherwise from fraud or coercion. A motion for reinstatement must be filed within 60 days of service of the letter, order or decision granting withdrawal of the Request for Review or, in the event of fraud which could not have been suspected or discovered with the exercise of reasonable diligence, within 60 days of discovery of such fraud. The motion shall be accompanied by a declaration containing a statement that any facts therein are based upon the personal knowledge of the declarant. (c) Notwithstanding any application or showing made under subpart (b) of this Rule, neither the Hearing Officer nor the Administrator may reinstate any Request for Review where the underlying Determination has become final and entered as a court judgment. Note: Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code. s 232.26. Dismissal or Amendment of Determinations. (a) Upon motion to the appointed Hearing Officer, the Chief DAS may dismiss or amend a Determination as follows: (1) A Determination may be dismissed or amended to eliminate or reduce a charge of violation from serious and knowing to knowing, an amount of monetary penalty, or a period of debarment that is not warranted under the facts and circumstances of the case, or that has been satisfied, or to conform to an order of the Hearing Officer or the Administrator. (2) For good cause, a Determination may be amended to revise or increase a charge from knowing to serious and knowing, an amount of monetary penalty, or a period of debarment based upon a recomputation or the discovery of new evidence subsequent to the issuance of the original Assessment or Notice. (b) The Hearing Officer shall grant any motion to dismiss or amend a Determination downward under subparts (a)(1) absent a showing that such dismissal or amendment will result in the forfeiture of substantial substantive rights of another Party to the proceeding. The Hearing Officer may grant a motion to amend a Determination upward under subpart (a)(2) under such terms as are just, including where appropriate the extension of an additional opportunity for early settlement under Rule 21 [Section 232.21]. Unless the Hearing Officer determines otherwise, an amended Determination shall be deemed fully controverted without need for filing an additional or amended Request for Review. (c) The Administrator may, upon the record on review of the Determination and without amendment, increase or decrease the penalty - whether civil penalty or debarment - based upon consideration of the factors listed in Labor Code section 1777.7(f). Note: Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code. s 232.27. Early Disposition of Untimely Assessment, Withholding, or Request for Review. (a) Upon the application of any Party or upon his or her own motion, the appointed Hearing Officer may issue an Order to Show Cause why a Determination or a Request for Review should not be dismissed as untimely under the relevant statute. (b) An Order to Show Cause issued under subpart (a) of this Rule shall be served on all Parties who have appeared or been served with any prior notice in the matter and shall provide the Parties with at least 10 days to respond in writing to the Order to Show Cause and an additional 5 days following the service of such responses to reply to any submission by any other Party. Evidence submitted in support or opposition to an Order to Show Cause shall be by affidavit or declaration under penalty of perjury. There shall be no oral hearing on an Order to Show Cause issued under this Rule unless requested by a Party or by the Hearing Officer. (c) After the time for submitting responses and replies to the Order to Show Cause has passed or after the oral hearing, if any, the Hearing Officer may do one of the following: (1) recommend that the Administrator issue a decision setting aside the Determination or dismissing the Request for Review as untimely under the statute; (2) find the Determination or Request for Review timely and direct that the matter proceed to hearing on the merits; or (3) reserve the timeliness issue for further consideration and determination in connection with the hearing on the merits. (d) A decision by the Administrator which sets aside a Determination or which dismisses a Request for Review as untimely shall be subject to reconsideration and to judicial review in the same manner as any other Final Order or Decision of the Administrator. A determination by the Hearing Officer that the Determination or Request for Review was timely or that the timeliness issue should be reserved for further consideration and determination in connection with the hearing on the merits shallnotbe subject to appeal or review except as part of any reconsideration or appeal from the Decision of the Administrator made after the hearing on the merits. Note: Authority cited: Section 1777.7, Labor Code; and Section 11400.20, Government Code. Reference: Section 1777.7, Labor Code; and Section 11440.20, Government Code. s 232.28. Finality of Determinations When No Timely Request for Review is Filed; Authority of Awarding Body to Disburse Withheld Funds. (a) Upon the failure of an Affected Contractor, Subcontractor or Responsible Officer to file a timely Request for Review under Labor Code section 1777.7(c) and Rule 22 [Section 232.22] above, the Determination of civil penalty or debarment shall become a "final order" as to the Affected Contractor, Subcontractor, or Responsible Officer that the Chief DAS may certify and file with the superior court in accordance with Labor Code section 1777.7(c)(6). (b) Where a Determination of civil penalty or debarment has become final as to at least one but not as to every Affected Contractor, Subcontractor, or Responsible Officer, the Awarding Body shall continue to withhold and retain the amounts required to satisfy any penalties at stake in a review proceeding initiated by any other Affected Contractor, Subcontractor, or Responsible Officer until there is a final order in that proceeding that is no longer subject to judicial review. Note: Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code. s 232.29. [Reserved]. s 232.30. Scheduling of Hearing; Continuances and Tolling. (a) The appointed Hearing Officer shall establish the place and time of the hearing on the merits, giving due consideration to the needs of all Parties and the statutory time limits for hearing and deciding the matter. Parties are encouraged to communicate scheduling needs to the Hearing Officer and all other Parties at the earliest opportunity. It shall not be a violation of Rule 07 [Section 232.07]'s prohibition on ex parte communications for the Hearing Officer or his or her designee to communicate with Parties individually for purposes of clearing dates and times and proposing locations for the hearing. The Hearing Officer may also conduct a prehearing conference by telephone or any other expeditious means for purposes of establishing the time and place of the hearing. (b) Once a hearing date is set, a request for a continuance that is not joined in by all other Parties or that is for more than 30 days will not be granted absent a showing of extraordinary circumstances, giving due regard to the potential prejudice to other Parties in the case and other Persons affected by the matter under review. Absent an enforceable waiver (see subpart (d) below), no continuance will be granted nor any proceeding otherwise delayed if doing so is likely to prevent the Hearing Officer from commencing the hearing on the matter within the statutory time limit. (c) A request for a continuance that is for 30 days or less and is joined by all Parties shall be granted upon a showing of good cause. Notwithstanding subpart (b) above, a unilateral request for a continuance made by the Party who filed the Request for Review shall be granted upon a showing of good cause if the new date for commencing the hearing is no more than 120 days after the date of service of the Determination of civil penalty or debarment (d) If a Party makes or joins in any request that would delay or otherwise extend the time for hearing or deciding a review proceeding beyond any prescribed time limit, such request shall also be deemed a waiver by that Party of that time limit. (e) The time limits for hearing and deciding a review proceeding shall also be deemed tolled (1) when proceedings are suspended to seek judicial enforcement of a subpoena or other order to compel the attendance, testimony, or production of evidence by a necessary witness; (2) when the proceedings are stayed or enjoined by any court order; (3) between the time that a proceeding is dismissed and then ordered reinstated under Rule 25 [Section 232.25] above; (4) upon the order of a court reinstating or requiring rehearing of the merits of a proceeding; or (5) during the pendency of any other cause beyond the Administrator's direct control (including but not limited to natural disasters, temporary unavailability of a suitable hearing facility, or absence of budget authority) that prevents the Administrator or any appointed Hearing Officer from carrying out his or her responsibilities under these Rules. Note: Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code. s 232.31. Prehearing Conference. (a) Upon the application of any Party or upon his or her own motion, the appointed Hearing Officer may conduct a prehearing conference for any purpose that may expedite or assist the preparation of the matter for hearing or the disposition of the Request for Review. The prehearing conference may be conducted by telephone or other means that is convenient to the Hearing Officer and the Parties. (b) The Hearing Officer shall provide reasonable advance notice of any prehearing conference conducted pursuant to this Rule. The Notice shall advise the Parties of the matters which the Hearing Officer intends to cover in the prehearing conference, but the failure of the Notice to enumerate some matter shall not preclude its discussion or consideration at the conference. The Notice shall advise the Parties that failure to appear at the prehearing conference may subject the Parties to default, pursuant to Rule 46 [Section 232.46]. (c) With or without a prehearing conference, the Hearing Officer may issue such procedural Orders as are appropriate for the submission of evidence or briefs and conduct of the hearing, consistent with the substantial rights of the affected Parties. Note: Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code. s 232.32. Consolidation and Severance. (a) The Hearing Officer may consolidate for hearing and decision any number of proceedings where the facts and circumstances are similar and consolidation will result in conservation of time and expense. Where the Hearing Officer proposes to consolidate proceedings on his or her own motion, the Parties shall be given reasonable notice and an opportunity to object before consolidation is ordered. (b) The Hearing Officer may sever consolidated proceedings for good cause. Note: Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code. s 232.33. Prehearing Motions; Cut Off Date. (a) Any motion made in advance of the hearing on the merits, any opposition thereto, and any further reply shall be in writing and directed to the appointed Hearing Officer. No particular format shall be required; however, the following information shall appear prominently on the first page: (1) the case name (i.e., names of the Parties); (2) any assigned case number; (3) the name of the Hearing Officer to whom the paper is being submitted; (4) the identity of the Party submitting the paper; (5) the nature of the relief sought; and (6) the scheduled date, if any, for the hearing on the merits of the Request for Review. The motion shall also include a Proof of Service, as defined in Rule 10 [Section 232.10] above, showing that copies have been served on all other Parties to the proceeding. (b) Prehearing motions shall be served and filed no later than 20 days prior to the hearing on the merits of the Request for Review. Any opposition shall be served and filed no later than 10 days after service of the motion or at least 7 days prior to the hearing on the merits, whichever is earlier. The Hearing Officer may in his or her discretion decide the motion in writing in advance of the hearing on the merits or reserve the matter for further consideration and determination at the hearing on the merits. (c) There shall be no right to a separate oral hearing on any prehearing motion, except in those instances in which an oral hearing has been specially requested by a Party or the Hearing Officerandin which the enforcement or forfeiture of a fundamental right is at stake. When the Hearing Officer determines that such an oral hearing is necessary or appropriate, it may be conducted by telephone or other manner that is convenient to the Parties. (d) With the exception of timeliness challenges under Rule 27 [Section 232.27], prehearing motions which seek to dispose of a Request for Review or any related claim or defense are disfavored and ordinarily will not be considered prior to the hearing on the merits. Note: Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code. s 232.34. Evidence by Affidavit or Declaration. (a) At any time 20 or more days prior to commencement of a hearing, a Party may serve upon all other Parties a copy of any affidavit or declaration which the proponent proposes to introduce in evidence, together with a notice as provided in subpart (b). Unless another Party, within 10 days after service of such notice, delivers to the proponent a request to cross-examine the affiant or declarant, the right to cross-examine such affiant or declarant is waived and the affidavit or declaration, if introduced in evidence, shall be given the same effect as if the affiant or declarant had testified in person. If an opportunity to cross-examine an affiant or declarant is not afforded after request therefor is made as herein provided, the affidavit or declaration may be introduced in evidence, but shall be given only the same effect as other hearsay evidence. (b) The notice referred to in subpart (a) shall be substantially in the following form with the appropriate information inserted in the places enclosed by brackets: "The accompanying affidavit or declaration of [name of affiant or declarant] will be introduced as evidence at the hearing in [title and other information identifying the proceeding]. [Name of affiant or declarant] will not be called to testify orally, and you will not be entitled to question the affiant or declarant unless you notify [name of the proponent, Representative, agent or attorney] at [address] that you wish to cross-examine the affiant or declarant. Your request must be mailed or delivered to [name of proponent, Representative, agent or attorney] on or before [specify date atleast10 days after anticipated date of service of this notice on the other Parties]." (c) If a timely request is made to cross-examine an affiant or declarant under this Rule, the burden of producing that witness at the hearing shall be upon the proponent of the witness. If the proponent fails to produce the witness, the affidavit or declaration may be introduced in evidence, but shall be given only the same effect as other hearsay evidence under Rule 232.44. Note: Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code. s 232.35. Subpoena and Subpoena Duces Tecum. (a) Subpoenas and subpoenas duces tecum may be issued for attendance at a hearing and for the production of documents at any reasonable time and place or at a hearing. (b) Subpoenas and subpoenas duces tecum shall be issued by the Hearing Officer at the request of a Party, or by the attorney of record for a Party, in accordance with sections 1985 to 1985.6, inclusive, of the Code of Civil Procedure. The burden of serving a subpoena that has been issued by the Hearing Officer shall be upon the Party who requested the subpoena. (c) Service of subpoenas and subpoenas duces tecum, objections thereto, and mileage and witness fees shall be governed by the provisions of Government Code sections 11450.20 through 11450.40. (d) Subpoenas and subpoenas duces tecum shall be enforceable through the Contempt and Monetary Sanctions provision set forth in Rule 47 [Section 232.47] below. A Party aggrieved by the failure or refusal of any witness to obey a subpoena or subpoena duces tecum shall have the burden of showing to the satisfaction of the Hearing Officer that the subpoena or subpoena duces tecum was properly issued and served and that the testimony or evidence sought was necessary to prove or disprove a significant claim or defense in the proceeding. Note: Authority cited: Section 1777.7, Labor Code; and Section 11400.20, Government Code. Reference: Section 1777.7, Labor Code; and Section 11450.05, Government Code. s 232.36. Written Notice to Party in Lieu of Subpoena. (a) In the case of the production of a Party of record in the proceeding or of a Person for whose benefit a proceeding is prosecuted or defended, the service of a subpoena upon any such witness is not required if written notice requesting the witness to attend, with the time and place of the hearing, is served on the attorney of the Party or Person. For purposes of this Rule, a Party of record in the proceeding or Person for whose benefit a proceeding is prosecuted or defended includes an officer, director, or managing agent of any such Party or Person. (b) Service of written notice to attend under this Rule shall be made in the same manner and subject to the same conditions provided in section 1987 of the Code of Civil Procedure for service of written notice to attend in a civil action or proceeding. (c) The Hearing Officer shall have authority under Rule 47 [Section 232.47] below to sanction a Party who fails or refuses to comply with a written notice to attend that meets the requirements of this Rule and has been timely served in accordance with section 1987 of the Code of Civil Procedure. However, the Hearing Officer may not initiate contempt proceedings against the witness for failing to appear based solely on non-compliance with a written notice to attend served on the Party's attorney. A Party seeking sanctions for another Party's failure or refusal to comply with a written notice to attend shall have the burden of showing to the satisfaction of the Hearing Officer that the written notice to attend was properly issued and timely served and that the testimony or evidence sought was necessary to prove or disprove a significant claim or defense in the proceeding. Note: Authority cited: Section 1777.7, Labor Code; and Section 11400.20, Government Code. Reference: Section 1777.7, Labor Code; and Sections 11450.50, 11455.10, 11455.20 and 11455.30, Government Code. s 232.37. Depositions and Other Discovery. (a) There shall be no right to take oral depositions or obtain any other form of discovery that is not expressly authorized under these Rules. (b) Oral depositions may be conducted only by stipulation of all Parties to the proceedings or by order of the appointed Hearing Officer upon a showing of substantial good cause. Oral depositions will be permitted only for purposes of obtaining the testimony of witnesses who are likely to be unavailable to testify at the hearing. (c) Nothing in this Rule shall preclude the use of deposition testimony or other evidence obtained in separate proceedings, if such evidence is otherwise relevant and admissible. Note: Authority cited: Section 1777.7, Labor Code; and Section 11400.20, Government Code. Reference: Section 1777.7, Labor Code; and Section 11450.30, Government Code. s 232.40. Notice of Appointment of Hearing Officer; Objections. (a) Notice of the Appointment of a Hearing Officer under Rule 04 [Section 232.04] above shall be provided to the Parties as soon as practicable and no later than when the matter is noticed for a prehearing conference or hearing. (b) The Administrator or Chief Counsel under Rule 04 [Section 232.04] may appoint a different Hearing Officer to conduct and hear the review or to conduct and dispose of any preliminary or procedural matter in a given case. (c) A Party wishing to object to the appointment of a particular Hearing Officer, including for any one or more of the grounds specified in sections 11425.30 and 11425.40 of the Government Code or section 1777.7 of the Labor Code, shall within 10 days after receiving notice of the appointment and no later than the start of any hearing on the merits, whichever is earlier, file a motion to disqualify the appointed Hearing Officer together with a supporting affidavit or declaration. The motion shall be filed with the Chief Counsel of the Office of the Director at the address indicated in Rule 23 [Section 232.23] above. Notwithstanding the foregoing time limits, if a Party subsequently discovers facts constituting grounds for the disqualification of the Hearing Officer, including but not limited to that the Hearing Officer has received a prohibited ex parte communication in the pending case, the motion shall be filed as soon as practicable after the facts constituting grounds for disqualification are discovered. (d) Upon receipt of a motion to disqualify the Hearing Officer, the Administrator may: (1) consider and decide the motion or appoint another Hearing Officer to consider and decide the motion, in which case the challenged Hearing Officer shall first be given an opportunity to respond to the motion, but no proceedings shall be conducted by the challenged Hearing Officer until the motion is determined; or (2) appoint another Hearing Officer to hear the Request for Review, in which case the motion shall be deemed moot. Note: Authority cited: Section 1777.7, Labor Code; and Section 11400.20, Government Code. Reference: Section 1777.7, Labor Code; and Sections 11425.30 and 11425.40, Government Code. s 232.41. Time and Place of Hearing. (a) A hearing on the merits of a timely Request for Review shall be commenced within 90 days after the date it is received by the office of the Administrator. The hearing shall be conducted at a suitable location within the county where the appointed Hearing Officer maintains his or her regular office, unless the hearing is moved to a different county in accordance with subpart (b) below. (b) Upon the agreement of the Parties or upon a showing of good cause by either the Party who filed the Request for Review or the Chief DAS, the hearing shall be conducted at a suitable location within either (1) the county where a majority of the subject public works employment was performed, or (2) any other county that is proximate to or convenient for the Parties and necessary witnesses. (c) A suitable location under this section means one that is open and accessible to members of the public and which includes appropriate facilities for the recording of testimony. Any facility that is regularly used by any state agency or by the Awarding Body for public hearings and that will reasonably accommodate the anticipated number of Parties and witnesses involved in the proceeding, is presumed suitable in the absence of a contrary showing. Parties seeking to change the location of a hearing under subpart (b) shall make reasonable efforts to identify, agree upon, and arrange for the availability of a suitable location within a county specified in subpart (b)(1) or (b)(2). Note: Authority cited: Section 1777.7, Labor Code; and Section 11400.20, Government Code. Reference: Section 1777.7, Labor Code; and Section 11425.20, Government Code. s 232.42. Open Hearing; Confidential Evidence and Proceedings; and Exclusion of Witnesses. (a) Subject to the qualifications set forth below, the hearing shall be open to the public. If all or part of the hearing is conducted by telephone, television, or other electronic means, the Hearing Officer shall conduct the hearing from a location where members of the public may be physically present, and members of the public shall also have a reasonable right of access to the hearing record and any transcript of the proceedings. (b) Notwithstanding the provisions of subpart (a), the Hearing Officer may order closure of a hearing or make other protective orders to the extent necessary to: (1) preserve the confidentiality of information that is privileged, confidential, or otherwise protected by law; (2) ensure a fair hearing in the circumstances of the particular case; or (3) protect a minor witness or a witness with a developmental disability from intimidation or other harm, taking into account the rights of all persons. (c) Upon motion of any Party or upon his or her own motion, the Hearing Officer may exclude from the hearing room any witnesses not at the time under examination. However, a Party to the proceeding and the Party's Representative shall not be excluded. (d) This section does not apply to any prehearing or settlement conference. Note: Authority cited: Section 1777.7, Labor Code; and Section 11400.20, Government Code. Reference: Section 1777.7, Labor Code; and Section 11425.20, Government Code. s 232.43. Conduct of Hearing. (a) Testimony shall be taken only on oath or affirmation under penalty of perjury. (b) Every Party shall have the right to call and examine witnesses; to introduce exhibits; to question opposing witnesses on any matter relevant to the issues even though that matter was not covered in the direct examination; to impeach any witness regardless of which Party first called the witness to testify; and to rebut any opposing evidence. A Party may be called by an opposing Party and examined as if under cross-examination, whether or not the Party called has testified or intends to testify on his or her own behalf. (c) The Hearing Officer may call and examine any Party or witness and may on his or her own motion introduce exhibits. (d) The Hearing Officer shall control the taking of evidence and other course of proceedings in a hearing and shall exercise that control in a manner best suited to ascertain the facts and safeguard the rights of the Parties. Prior to taking evidence, the Hearing Officer shall define the issues and explain the order in which evidence will be presented; provided that, for good cause the Hearing Officer later may vary the order of presentation as circumstances warrant. Note: Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code. s 232.44. Evidence Rules; Hearsay. (a) The hearing need not be conducted according to technical rules relating to evidence and witnesses. Any relevant evidence shall be admitted if it is the sort of evidence on which responsible persons are accustomed to rely in the conduct of serious affairs, regardless of the existence of any common law or statutory rule which might make improper the admission of such evidence over objection in civil actions. (b) The rules of privilege shall be recognized to the same extent and applied in the same manner as in the courts of this state. (c) The Hearing Officer may exclude evidence if its probative value is substantially outweighed by the probability that its admission will necessitate undue consumption of time. (d) Hearsay evidence is admissible but shall not be sufficient in itself to support a finding unless it either would be admissible over objection in a civil action or no Party raises an objection to such use. Unless previously waived, an objection or argument that evidence is insufficient in itself to support a finding because of its hearsay character shall be timely if presented at any time before submission of the case for decision. Note: Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code. s 232.45. Official Notice. (a) A Hearing Officer may take official notice of (1) the Director's General Prevailing Wage Determinations, the Director's Precedential Coverage Decisions, precedential decisions of the Administrator, and wage data, studies, and reports issued by the Division of Labor Statistics and Research; (2) any other generally accepted technical fact within the fields of labor and employment that are regulated by the Director under Divisions 1, 2, and 3 of the Labor Code; and (3) any fact which either must or may be judicially noticed by the courts of this state under Evidence Code sections 451 and 452. (b) The Parties participating in a hearing shall be informed of those matters as to which official notice is proposed to be taken and given a reasonable opportunity to show why and the extent to which official notice should or should not be taken. (c) The Hearing Officer or the Director shall state in a decision, order, or on the record the matters as to which official notice has been taken. Note: Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code. s 232.46. Failure to Appear; Relief from Default. (a) Upon the failure of any Party to appear at a duly noticed hearing, the Hearing Officer may enter a default for failure to appear, or proceed in that Party's absence and may recommend whatever decision is warranted by the available evidence, including any lawful inferences that can be drawn from an absence of proof by the non-appearing Party. (b) For good cause and under such terms as are just, the appointed Hearing Officer or the Director may relieve a Party from the effects of any failure to appear and order that a review proceeding be reinstated or reheard. A Party seeking relief from non-appearance shall file a written motion at the earliest opportunity and no later than 10 days following a proceeding of which the Party had actual notice. Such application shall be supported by an affidavit or declaration based on the personal knowledge of the declarant, and copies of the application and any supporting materials shall be served on all other Parties to the proceeding. No application shall be granted unless and until the other Parties have been afforded a reasonable opportunity to make a showing in opposition. An Order reinstating a proceeding or granting a rehearing under this section may be conditioned upon providing reimbursement to the Department and the other Parties for the costs associated with the prior non-appearance. (c) Notwithstanding any application or showing made under subpart (b) of this Rule, neither the Hearing Officer nor the Administrator may reinstate any Request for Review where the underlying Determination of civil penalty or debarment has become final and entered as a court judgment. Note: Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code. s 232.47. Contempt and Monetary Sanctions. (a) If any Person in proceedings before a Hearing Officer disobeys or resists any lawful order or refuses, without substantial justification, to respond to a subpoena, subpoena duces tecum, or refuses to take the oath or affirmation as a witness or thereafter refuses to be examined or is guilty of misconduct during a hearing or so near the place thereof as to obstruct the proceedings, or violates the prohibition against ex parte communications under Rule 07 [Section 232.07] above, the Hearing Officer may do any one or more of the following: (1) certify the facts to the Superior Court in and for the county where the proceedings are held for contempt proceedings pursuant to Government Code section 11455.20; (2) exclude the Person from the hearing room; (3) prohibit the Person from testifying or introducing certain matters in evidence; and/or (4) establish certain facts, claims, or defenses if the Person in contempt is a Party. (b) Either the Hearing Officer by separate order or the Administrator in his or her decision may order a Party, the Party's authorized Representative, or both, to pay reasonable expenses, including attorney's fees, incurred by another Party as a result of bad faith actions or tactics that are frivolous or solely intended to cause unnecessary delay as defined in section 128.5 of the Code of Civil Procedure. Such order or the denial of such an order shall be subject to judicial review in the same manner as a decision of the Administrator on the merits. The order shall be enforceable in the same manner as a money judgment or by the contempt sanction. Note: Authority cited: Section 1777.7, Labor Code; and Section 11400.20, Government Code. Reference: Section 1777.7, Labor Code; and Sections 11455.10, 11455.20 and 11455.30, Government Code. s 232.48. Interpreters. (a) Proceedings shall be conducted in the English language. The notice advising a Party of the hearing date shall also include notice of the Party's right to request an interpreter for a Party or witness who cannot speak or understand English, or who can do so only with difficulty, or who is deaf or hearing impaired as defined under Evidence Code section 754. (b) A request for an interpreter for a Party or witness shall be submitted as soon as possible after the requesting Party becomes aware of the need for an interpreter and prior to the commencement of the hearing. The request should include information that (1) will enable the Hearing Officer and Department to obtain an interpreter with appropriate skills; and (2) will assist the Hearing Officer in determining whether the Department or the requesting Party should pay for the cost of the interpreter. (c) Upon receipt of a timely request, the Hearing Officer shall direct the Department to provide an interpreter and shall also decide whether the Department or the requesting Party shall pay the cost of the interpreter, based upon an equitable consideration of all the circumstances, including the requesting Party's ability to pay. (d) A person is qualified to serve as an interpreter if he or she (1) is on the current State Personnel Board List of Certified Administrative Hearing Interpreters maintained pursuant to Government Code section 11435.25; and (2) has also been examined and determined by the Department to be sufficiently knowledgeable of the terminology and procedures generally used in these proceedings. (e) In the event that a qualified interpreter under subpart (d) is unavailable or if there are no certified interpreters for the language in which assistance is needed, the Hearing Officer may qualify and appoint another interpreter to serve as needed in a single hearing or case. (f) Before appointment of an interpreter, the Hearing Officer or a Party may conduct a brief supplemental examination of the prospective interpreter to see if that person has the qualifications necessary to serve as an interpreter, including whether he or she understands terms and procedures generally used in these proceedings, can explain those terms and procedures in English and the other language being used, and can interpret those terms and procedures into the other language. An interpreter shall not have had any prior substantive involvement in the matter under review, and shall disclose to the Hearing Officer and the Parties any actual conflict of interest or appearance of conflict. Any condition that interferes with the objectivity of an interpreter constitutes a conflict of interest. A conflict may exist if an interpreter is an employee of, acquainted with, or related to a Party or witness to the proceeding, or if an interpreter has an interest in the outcome of the proceeding. (g) The Hearing Officer shall disqualify an interpreter if the interpreter cannot understand and interpret the terms and procedures used in the hearing or prehearing conference, has disclosed privileged or confidential communications, or has engaged in conduct which, in the judgment of the Hearing Officer, creates an appearance of bias, prejudice, or partiality. (h) Nothing in this section limits any further rights extended by Evidence Code section 754 to a Party or witness who is deaf or hard of hearing. Note: Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code. s 232.49. Hearing Record; Recording of Testimony and other Proceedings. (a) The Hearing Officer and the Administrator shall maintain an official record of all proceedings conducted under these Rules. In the absence of a determination under subpart (b) below, all testimony and other proceedings at any hearing shall be recorded by audiotape. However, no recording by audiotape or otherwise shall be required of a duly noticed hearing at which none of the Parties appear. Recorded testimony or other proceedings need not be transcribed unless requested for purposes of further court review of a decision or order in the same case. (b) Upon the application of any Party or upon his or her own motion, the Hearing Officer may authorize the use of a certified court reporter, videotape, or other appropriate means to record the testimony and other proceedings. Any application by a Party under this subpart shall be made at a prehearing conference or by prehearing motion filed no later than 10 days prior to the scheduled date of hearing. Upon the granting of any such application, it shall be the responsibility of the Party or Parties who made the application to procure and pay for the services of a qualified person and any additional equipment needed to record the testimony and proceedings by the requested means. Ordinarily the granting of such application will be conditioned on the applicant's paying for certified copies of the transcript for the official record and for the other Parties. The failure of a requesting Party to comply with this requirement shall not be cause for delaying the hearing on the merits, but instead shall result in the proceedings being tape recorded in accordance with subpart (a). (c) The Parties may, at their own expense, arrange for the recording of testimony and other proceedings through a different means other than the one authorized by the Hearing Officer, provided that it does not in any way interfere with the Hearing Officer's control and conduct of the proceedings, and further provided that, it shall not be regarded as an official record for any purpose absent a stipulation by all of the Parties or order of the Hearing Officer. Note: Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code. s 232.50. Burdens of Proof on Wages and Penalties. (a) The Chief DAS has the burden of coming forward with evidence that the Affected Contractor, Subcontractor, or Responsible Officer (1) was served with a Determination of civil penalty or debarment in accordance with Rule 20 [Section 232.20]; (2) was provided a reasonable opportunity to review evidence to be utilized at the hearing in accordance with Rule 24 [Section 232.24]; (3) that such evidence provides prima facie support for the Determination of civil penalty or debarment; (4) where the civil penalty is set above zero, that the Chief DAS has considered all of the circumstances listed in Labor Code section 1777.7(f); (5) where debarment is sought, that the violation is serious, and that the Chief DAS has considered all of the circumstances listed in Labor Code section 1777.7(f); and, (6) where a Determination has issued against a prime contractor for the violations of a subcontractor, that the evidence provides prima facie support to show knowledge of the prime contractor or failure by the prime contractor to comply with requirements as listed under Labor Code section 1777.7(d). (b) If the Chief DAS meets its initial burden under subpart (a), the Affected Contractor, Subcontractor, or Responsible Officer has the burden of producing evidence to disprove a knowing violation of Labor Code section 1777.5, to disprove the circumstances relied on by the Chief DAS under Labor Code section 1777.7(f), and to disprove knowledge of the prime contractor or failure ot the prime contractor to comply with the requirements as listed under Labor Code section 1777.7(d). (c) All burdens of proof and burdens of producing evidence shall be construed in a manner consistent with relevant sections of the Evidence Code, and the quantum of proof required to establish the existence or non-existence of any fact shall be by a preponderance of the evidence, unless a higher standard is prescribed by law. Note: Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code. s 232.51. [Reserved]. s 232.52. Oral Argument and Briefs. (a) Parties may submit prehearing briefs of reasonable length under such conditions as the appointed Hearing Officer shall prescribe. Parties shall also be permitted to present a closing oral argument of reasonable length at or following the conclusion of the hearing. (b) There shall be no automatic right to file a post-hearing brief. However, the Hearing Officer may permit the Parties to submit written post-hearing briefs, under such terms as are just. The Hearing Officer shall have discretion to determine, among other things, the length and format of such briefs and whether they will be filed simultaneously or on a staggered (opening, response, and reply) basis. (c) In addition to or as an alternative to post-hearing briefs, the Hearing Officer may also prepare proposed findings or a tentative decision or may designate a Party to prepare proposed findings and thereafter give the Parties a reasonable opportunity to present arguments in support of or opposition to any proposed findings or tentative decision prior to the issuance of a decision by the Director under Rule 60 [Section 232.60] below. Note: Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code. s 232.53. Conclusion of Hearing; Time for Decision. (a) The hearing shall be deemed concluded and the matter submitted either upon the completion of all testimony and post-hearing arguments or upon the expiration of the last day for filing any post-hearing brief or other authorized submission, whichever is later. Thereafter, the Administrator shall have 45 days within which to issue a written decision affirming, modifying, or dismissing the Determination of civil penalty or debarment. (b) For good cause, the Hearing Officer may vacate the submission and reopen the hearing for the purpose of receiving additional evidence or argument, in which case the time for the Administrator to issue a written decision shall run from the date of resubmission. Note: Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code. s 232.60. Decision. (a) The appointed Hearing Officer shall prepare a recommended decision for the Administrator's review and approval. The decision shall contain a statement of the factual and legal basis for the decision, consistent with the requirements of Labor Code section 1777.7 and Government Code section 11425.50. (b) A recommended decision shall have no status or effect unless and until approved by the Administrator and issued in accordance with subpart (c) below. (c) A copy of the decision shall be served by first class mail on all Parties in accordance with the requirements of Code of Civil Procedure section 1013. If a Party has appeared through an authorized Representative, service shall be made on that Party at the last known address on file with the Chief DAS in addition to service on the authorized Representative. Note: Authority cited: Section 1777.7, Labor Code; and Section 11400.20, Government Code. Reference: Section 1777.7, Labor Code; and Section 11425.50, Government Code. s 232.61. Reconsideration. (a) Upon the application of any Party or upon his or her own motion, the Administrator may reconsider or modify a decision issued under Rule 60 [Section 232.60] above for the purpose of correcting any error therein. (b) The decision must be reconsidered or modified within 15 days after its date of issuance pursuant to Rule 60(c) [Section 232.60(c)]. Thereafter, the decision may not be reconsidered or modified, except that a clerical error may be corrected at any time. (c) The modified or reconsidered decision shall be served on the Parties in the same manner as a decision issued under Rule 60 [Section 232.60]. (d) A Party is not required to apply for reconsideration before seeking judicial review of a decision of the Administrator. An application for reconsideration made by any Party shall not extend the time for seeking judicial review pursuant to Labor Code section 1777.7(c)(5) unless the Administrator issues a modified or reconsidered decision within the 15-day time limit prescribed in subpart (b) of this section. Note: Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code. s 232.62. Final Decision; Time for Seeking Review. (a) The decision of the Administrator issued pursuant to Section Rule 60 [Section 232.60] above shall be the final decision of the Director from which any Party may seek judicial review pursuant to the provisions of Labor Code section 1777.7(c)(6) and Code of Civil Procedure section 1094.5; provided however, that if the Administrator has issued a modified decision pursuant to and within the 15-day limit of the Administrator's reconsideration authority under Section Rule 61 [Section 232.61] above and Labor Code section 1777.7(c)(6), the right of review and time for seeking such review shall extend from the date of service of the modified decision rather than from the original decision. (b) The modification of a decision to correct a clerical error after expiration of the 15-day time limit on the Administrator's reconsideration authority shallnotextend the time for seeking judicial review. (c) The time for seeking judicial review shall be determined from the date of service of the decision of the Administrator under Code of Civil Procedure section 1013, including any applicable extension of time provided in that statute. (d) Any petition seeking judicial review of a decision under these Rules may be served (1) upon the Administrator by serving the Office of the Director - Legal Unit where the appointed Hearing Officer who conducted the hearing on the merits regularly maintains his or her office; and (2) upon the Chief DAS by the serving the regular office of the attorney who represented the Chief DAS at the hearing on the merits. The intent of this subpart is to authorize and designate a preferred method for giving the Administrator and the Chief DAS formal notice of a court action seeking review of a decision of the Administrator under these Rules; it does not preclude the use any other service method authorized by law. Note: Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code. s 232.63. Preparation of Record for Review. (a) Upon notice that a Party intends to seek judicial review of a decision of the Administrator and the payment of any required deposit, the Department, under the direction of the Hearing Officer, shall immediately prepare a hearing record consisting of all exhibits and other papers and a transcript of all testimony which the Party has designated for the inclusion in the record on review. (b) The Party who has requested the record or any part thereof shall bear the cost of its preparation, including but not necessarily limited to any court reporter transcription fees and reasonable charges for the copying, binding, certification, and mailing of documents. Absent good cause, no record will be released to a Party or filed with a court until adequate funds to cover the cost of preparing the record have been paid by the requesting Party to the Department or to any third party designated to prepare the record. However, upon notice that a Party seeking judicial review has been granted informa pauperisstatus under California Rule of Court 985, the Department shall bear the cost of preparing and filing the record where necessary for a proper review of the proceedings. (c) The pendency of any request for the Department to prepare a hearing record shall not extend the time limits for filing a petition for review under Labor Code section 1777.7(c)(5) and Code of Civil Procedure section 1094.5. Note: Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code. s 232.64. Request for Participation by Administrator in Judicial Review Proceeding. Although the Administrator should be named as the Respondent in any action seeking judicial review of a final decision, the Administrator ordinarily will rely upon the Parties to the hearing (as Petitioner and Real Party in Interest) to litigate the correctness of the final decision in the writ proceeding and on any appeal. The Administrator may participate actively in proceedings raising issues that specifically concern the Administrator's authority under the statutes and regulations governing the payment of prevailing wages on public work contracts, or the validity of related laws, regulations, or the Director's decisions as to public works coverage or generally applicable prevailing wage rates, or the Administrator's precedential decisions under Labor Code section 1777.7(g). Any Party may request the Administrator to file a response in the action by including a separate written request with any court pleading being served on the Administrator in accordance with Rule 62(d) [Section 232.62(d)]. Any such separate written request should specify briefly what issues are raised by the petition that extend beyond the facts of the case and warrant the Administrator's participation. Note: Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code. s 232.70. Limitations Period for Determinations. (a) A determination for violation of Labor Code section 1777.5 shall be issued and served on the Affected Parties no later than three years after date of accrual. Note: Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code. s 233. Appeals to the California Apprenticeship Council from Willful Hearings. Note: Authority cited: Section 3071, Labor Code. Reference: Sections 3082 and 3083, Labor Code. s 234. Determination of Willful Noncompliance. Note: Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code. s 234.1. Penalties Imposed Under Labor Code Section 1777.7. If a contractor is found to have violated Labor Code Section 1777.5 in connection with more than one public works contract, penalties shall be imposed separately and consecutively for each violation. Note: Authority cited: Section 1777.7, Labor Code. Reference: Section 1777.7, Labor Code. s 234.2. Administrative Procedures Are Not the Exclusive Remedy For Violations. The procedures in this Article are not intended to supersede, supplant, replace or limit any other means of enforcing the laws and regulations herein that may exist. The public agencies and political subdivisions administering them -the Chief, the Administrator and Council -or interested private parties, may initiate court proceedings where authorized under statutes in an appropriate case without recourse to (or during) administrative proceedings described under this Article. See, e.g., Labor Code Section 3084.5; Bus. & Prof. Code Section 17200, et seq. The initiation of administrative proceedings against a subcontractor shall not abrogate any responsibility attributed to any other contractor by statute. Note: Authority cited: Section 1777.7, Labor Code. Reference: Section 3084.5, Labor Code; and Section 17200, et seq., Business and Professions Code. s 235. Scope. Provisions of this Article apply only to those classes designed to provide related and supplemental instruction for apprentices and offered by local education agencies as authorized under Section 3074 of the California Labor Code. The provisions of this article apply only in the event that there is a joint agreement between a local education agency and an apprenticeship program sponsor that excess costs incurred by the local education agency in connection with the program sponsored by the apprenticeship program sponsor shall be payable by the apprenticeship program sponsor. These regulations do not mandate such joint agreement. Once such joint agreement is reached, it shall be provided for as set forth in this article. Note: Authority cited: Section 3074, Labor Code. Reference: Section 3074, Labor Code. s 236. Definitions. For the purpose of this article the following definitions apply: (a) LEA (Local Education Agency) means any public education agency authorized by law to provide related and supplemental instruction for apprentices. (b) Apprenticeship Program Sponsor means a joint apprenticeship committee, a unilateral apprenticeship committee or a party to a unilateral apprenticeship program where there is no apprenticeship committee established to administer apprenticeship in the occupation, area and industry. In any case the program sponsor must have approved written standards on file with the Division of Apprenticeship Standards. (c) Joint Agreement means a written agreement between an LEA and an apprenticeship program sponsor(s) which stipulates the method of calculating the excess costs in accordance with this article and provides for the method of payment of such excess costs, if any, to said LEA by the apprenticeship program sponsor(s). (d) Revenue earned means all revenue received by the LEA, as provided by law, for the hours of teaching time devoted to each apprentice enrolled in and attending classes of related and supplemental instruction conducted by the LEA. (e) Excess costs means all allowable costs of the LEA for conducting related and supplemental instruction classes that exceed revenue earned by the LEA from the attendance of apprentices in related and supplemental instruction classes or programs. (f) Attendance of apprentices means each hour of teaching time for each apprentice enrolled in and attending classes of related and supplemental instruction in accordance with Section 3074 of the Labor Code as reported on forms approved by the Superintendent of Public Instruction or the Chancellor. Note: Authority cited: Section 3074, Labor Code. Reference: Section 3074, Labor Code; and Sections 8152 and 8153, Education Code. s 237. General Terms and Conditions. Pursuant to this article: (a) Revenue earned and resulting costs of apprenticeship classes will be based on the attendance of apprentices only. (b) Any joint agreement shall be completed prior to the beginning of course instruction and shall be reviewed annually, or as mutually agreed upon. Sponsors will be responsible only for those excess costs, if any, generated by their particular apprentices. Note: Authority cited: Section 3074, Labor Code. Reference: Section 3074, Labor Code; and Sections 8152 and 8153, Education Code. s 238. Calculation of Costs. The costs of each apprenticeship program conducted by an LEA pursuant to a joint agreement is to be calculated separately. (a) The allowable costs of an apprenticeship program will consist of the following as jointly agreed upon: (1) Direct Costs. Identifiable expenses incurred to conduct the apprenticeship program in the classroom or at its location including instructional salaries and benefits, books and supplies, equipment replacement, contracted services, and capital outlay. Where the expense is not exclusively for the apprenticeship program, only the prorated portion applicable to the apprenticeship program may be charged. (2) Direct Support Charges. Identifiable expenses incurred in a support program directly benefitting the apprenticeship program. Where the expense is not exclusively for the apprenticeship program, only the prorated portion applicable to the apprenticeship program may be charged. The determination as to what items of direct support are applicable and the method or basis of charging to the apprenticeship program shall be mutually agreed upon and made a part of the joint agreement between the apprenticeship program sponsor(s) and the LEA. (3) Indirect Support Charges. Identifiable expenses incurred for routine services not performed as a special service for a particular apprenticeship program but supportive of all programs conducted by the LEA. Where the expense is not exclusively for the apprenticeship program, only the prorated portion applicable to the apprenticeship program may be charged. The determination as to what items of noninstructional support are applicable and the method or basis of charging indirect support to the apprenticeship program shall be mutually agreed upon and made a part of the joint agreement between the apprenticeship program sponsor(s) and the LEA. Note: Authority cited: Section 3074, Labor Code. Reference: Section 3074, Labor Code. s 239. Determining Excess Costs. If the costs of an apprenticeship program are greater than the revenue earned, the excess revenue earned from any other apprenticeship program(s) conducted by the LEA must be allocated on a pro rata basis to reduce the excess costs of the remaining program(s). Any excess costs remaining after allocation of any excess revenue earned can be claimed for payment from the apprenticeship program sponsor(s) pursuant to Section 240. If, after allocation of any excess revenue earned, no excess costs remain, no payment is required. Note: Authority cited: Section 3074, Labor Code. Reference: Section 3074, Labor Code. s 240. Payment. Upon the close of the school year or at other such time as may be specified in the joint agreement, all excess costs incurred by the LEA shall be verified to the apprenticeship program sponsor(s) and shall be payable by the apprenticeship program sponsor(s) directly to the LEA in accordance with the joint agreement between such sponsor(s) and the LEA. All LEA's providing related and supplemental instruction for apprentices that have executed a joint agreement with an apprenticeship program sponsor(s) shall submit a copy of the agreement and report any excess costs payments received to the Chancellor of the California Community Colleges or Superintendent of Public Instruction, as appropriate, and to the Division of Apprenticeship Standards on forms provided. Note: Authority cited: Section 3074, Labor Code. Reference: Section 3074, Labor Code. s 241. Payment. Note: Authority cited: Section 3074, Labor Code. Reference: Section 3074, Labor Code. s 242. Scope. Note: Authority cited: Sections 54, 55 and 1777.8, Labor Code. Reference: Sections 1777.8, 3073 and 3077, Labor Code. s 242.1. Definitions. Note: Authority cited: Sections 54, 55 and 1777.8, Labor Code. Reference: Sections 1777.8, 3070, 3073, 3075 and 3077, Labor Code. s 242.2. Assessment Fee Determination and Collection. Note: Authority cited: Sections 54, 55, and 1777.8, Labor Code. Reference: Section 1777.8, Labor Code. s 242.3. Program Sponsor Registration Fee. Note: Authority cited: Sections 54, 55 and 1777.8, Labor Code. Reference: Sections 1777.5 and 1777.8, Labor Code. s 242.4. Collection of Excess Fees. Note: Authority cited: Sections 54, 55 and 1777.8, Labor Code. Reference: Section 1777.8, Labor Code. s 242.5. Non-Payment of Fees. Note: Authority cited: Sections 54, 55 and 1777.8, Labor Code. Reference: Section 1777.8, Labor Code. s 242.6. Revised Assessment. Note: Authority cited: Sections 54, 55 and 1777.8, Labor Code. Reference: Section 1777.8, Labor Code. s 250. Authority. Note: Authority cited: Section 3071, Labor Code. Reference: Sections 3090 and 3093, Labor Code. s 251. Declaration of Policy. A bona fide state training program is defined as one that is approved by the Division of Apprenticeship Standards as being consistent with Labor Code Sections 3090 and 3093 and the applicable provisions of this Code. Note: Authority cited: Section 3071, Labor Code. Reference: Sections 3090 and 3093, Labor Code. s 252. Definitions. (a) "Competent evidence" as used in Section 259 is a transcript or abstract of the records required to be maintained pursuant to Section 255(b)(5), or an attestation by the training program sponsor stating that all training has been fully completed, on forms to be furnished by the Division of Apprenticeship Standards, demonstrating that the training program has been fully completed, certified by the training program sponsor, and endorsed by a representative of the Division of Apprenticeship Standards. (b) "Training program sponsor" is a joint training committee, a unilateral training committee or the party to a unilateral training program where there is no training committee established or any combination thereof, and may include a school to career partnership. (c) A "Training Committee" means those persons designated by the sponsor to act for it in the administration of the program. (d) The term "trainee" means a person at least 16 years of age who has entered into a written agreement called a "trainee agreement" in accordance with Section 3093 of the Labor Code. Note: Authority cited: Section 3071, Labor Code. Reference: Sections 3090 and 3093, Labor Code. s 253. Operation of Training Programs. The administration and operation of training programs shall be supervised by a training committee or single employer, which shall approve trainee agreements, adjust disputes and perform such other functions and duties as are agreed to in the training standards. A training program is not restricted to a local area of coverage and may provide for local, regional or statewide coverage in its standards. Note: Authority cited: Section 3071, Labor Code. Reference: Section 3090, Labor Code. s 254. Training Programs. (a) Bona fide state training programs for other than apprenticeable occupations may be established through the adoption of written training standards by the interested parties, approved by the Division of Apprenticeship Standards. (b) Application for approval shall be rejected when it is found to be inconsistent, incompatible or in conflict with apprenticeship policies or programs. (c) To be approved, other on-the-job training programs must meet the following criteria: (1) The program is for an occupation other than an apprenticeable occupation and is either for workers entering the labor market for the first time or for workers entering new occupations by reason of having been displaced from former occupations by economic, industrial, technological or scientific changes or developments; (2) Such program is in accord with and agreed to by the parties to any applicable collective bargaining agreement and, where appropriate will include joint employer-employee cooperation; (3) The training plan, content and duration of the program are adequate to qualify the trainee for the job for which the trainee is to be trained; (4) There is reasonable assurance that the job for which the trainee is to be trained will be available at the end of the training period; (5) The job for which the trainee is to be trained is a recognized occupation; (6) The job for which the trainee is to be trained is one to which appointment is based upon skills and knowledge and not on such factors as length of service; (7) The job for which the trainee is to be trained customarily requires a period of on-the-job training of not less than three months; (8) Provision is made in the training standards for (i) vestibule or other pre-job training, if any, or (ii) related and supplemental instruction, if any, either full time before employment or part time combined with the on-the-job training. Related and supplemental classroom instruction, where appropriate, is the responsibility of and will be administered by state and local school boards responsible for vocational education; (9) There are adequate facilities, equipment, and personnel in the training establishment to provide satisfactory training; (10) Appropriate credit is given each trainee for previous training and work experience, if any, and wages and, the applicable training period are adjusted accordingly; and (11) Provision is made for trainees to be selected, employed and trained under fair and impartial procedures without discrimination. Note: Authority cited: Section 3071, Labor Code. Reference: Sections 3071 and 3090, Labor Code. s 255. Content of Training Standards. Training programs shall be established by written training standards agreed to by interested employers, employer associations and, if any, by an interested labor union where applicable, and approved by the Division of Apprenticeship Standards, if consistent with these regulations. Training standards may be approved by the Division of Apprenticeship Standards provided they contain the following: (a) A statement of the: (1) occupation(s); (2) party or parties to whom the standards apply and the geographic area; (3) definition and duties of the trainee; (b) Provisions for: (1) establishment of a training committee, if applicable; (2) administration of the standards; (3) establishment of rules and regulations governing the program; (4) determining the qualifications of employers if other than single employer program; (5) a system to record trainee progress; (6) graduated minimum wage schedule to be paid during the term of training; (7) discipline of trainees, including a description of provisions for fair hearings, if any. Disciplinary measures may include provision for the suspension of a trainee from the training program for a fixed period not to exceed sixty (60) days; (8) termination or recommendation of cancellation of trainee agreements; (9) recommending issuance of a State Certificate of Training; (10) revision of standards; (11) training and education of the trainee in first aid, safe working practices and in the recognition of occupational health and safety hazards; (12) a selection procedure; (13) approval of the standards, and any revision of the standards, by the Division of Apprenticeship Standards. (c) The names and signatures of the parties. (d) Any apprenticeship committee provided for in this California Code of Regulations may serve as an apprenticeship and training committee to cover both apprenticeship and training programs. Note: Authority cited: Section 3071, Labor Code. Reference: Section 3090, Labor Code. s 256. Wages. Training standards and trainee agreements shall contain graduated wage schedules to be paid trainees that provide for reasonable uniform progressive wage increases during the term of training, except where other schedules are provided in applicable collective bargaining agreements, provided that in no case shall a training program be approved with a beginning wage which is lower than the minimum wages fixed by any federal or state law or regulation. Note: Authority cited: Section 3071, Labor Code. Reference: Sections 3071 and 3090, Labor Code. s 257. Overtime Provision. Overtime shall not interfere with or impair the training and shall not be detrimental to the health and safety of trainees. Note: Authority cited: Sections 3071 and 3093, Labor Code. Reference: Sections 3071 and 3093, Labor Code. s 258. Working Conditions. Trainees shall work under and with competent workers skilled in the occupation for which they are being trained and shall be assigned to working and learning tasks so that they master the on-the-job training provided for in the training standards. Note: Authority cited: Section 3071, Labor Code. Reference: Sections 3071, 3090 and 3093, Labor Code. s 259. State Certificates of Training. (a) A "Certificate of Training" attesting to the completion of training will be issued under the authority of the California Apprenticeship Council by the Division of Apprenticeship Standards upon request and upon receipt of such competent evidence as may be required by the California Apprenticeship Council. (b) The certificate shall signify completion of training under standards and trainee agreements approved under State Law and these regulations. (c) Completion of the entire training program by the trainee shall be attested to by the training program sponsor. The training program sponsor will attest to the related and supplemental instruction after consulting with the appropriate school authorities regarding the completion of the educational requirements of related and supplemental subjects. (d) The certificate is in recognition of completion of training. The certificate may be granted to a trainee only when the trainee: (1) in addition to credit for previous on-the-job training and related school instruction, which is of an approved nature, shall have completed not less than an additional twelve and one-half (12 1/2) percent of the total training program but not less than a three months as a trainee under these regulations; and (2) demonstrated to the satisfaction of the training program sponsor mastery of the skills and knowledge of the prescribed program. (e) The training program sponsor in recognition of unusual ability and progress in mastering the skills of the occupations and the related and supplemental education program may decrease the training period for individual trainees by not more than twelve and one-half (12 1/2) percent. (f) Credit toward the training for work experience prior to the training may be given by the training program sponsor after verification and/or examination. Credit for partial completion of the education requirements for related and supplemental instruction may be given by the training program sponsor after consultation with the appropriate school authorities concerning the mastery of the related instruction ordinarily required of the trainees. (g) In instances where school classes are not available or where attendance will result in an undue hardship on the trainee, the training program sponsor, after consultation with the appropriate school officials, may make arrangements for acceptance of educational experiences such as home study or correspondence courses as fulfilling the relate and supplemental educational requirement. Note: Authority cited: Section 3071, Labor Code. Reference: Sections 3071 and 3093, Labor Code. s 260. Compliance. Selection procedures must be in writing, approved by the training program sponsors, and (a) Each training program sponsor shall: (1) file a written copy of its selection procedures with the Chief DAS, which shall: (A) be signed by the secretary and/or chair of the training committee; or (B) be signed by the party to a unilateral training program where there is no training committee established; and (C) signify the date of approval. (2) provide each applicant making application with a copy of its selection procedure in summary form; (3) have available for the study and/or perusal of any applicant, at the place(s) applications are accepted, a copy of its complete selection procedure which is on file with the Chief DAS. (b) The employer, when authorized by the training committee to select the trainee, will have agreed in writing to abide by the standards and selection procedures. (c) Exemption from this Article may be granted by the Chief DAS for good cause. Requests for exemption from Article 5, or any part thereof, of this code shall be made in writing to the Chief DAS and shall contain a statement of reasons supporting the request. Note: Authority cited: Sections 3071 and 3090, Labor Code. Reference: Sections 3071 and 3091, Labor Code. s 261. Content of Selection Procedures. Selection procedures shall include such provisions as may be necessary to afford all applicants full and fair opportunity to apply for training and shall be without discrimination on the basis of sex, race, color, religion, ancestry, national origin, disability, sexual orientation, age, political affiliation or creed. (a) They shall include the following: (1) Required procedure for making written application. (2) Procedure for handling applications, that is, the method of dating and recording applications and the acceptance and rejection of applicants and how the applicants are notified of their acceptance or rejection. (3) Required minimum age limitations, if any. (4) Required formal education, if any, or equivalency if permitted. (5) Required physical examination, if any. (6) Procedure for the scheduling of tests and oral interviews, if any. (7) Required tests, if any, and by whom they are administered. (8) Where applicable, the relative weight given for tests and oral interviews in the overall evaluation of the applicants. (9) Procedure for acceptance, rejection and referral of applicants to job openings and how the applicants are so notified. (10) Procedure for testing, rating and placing applicants with previous experience in a higher wage bracket (training period). (b) Selection procedures shall not include the following: (1) Numerical rating of applicants based on their educational experience in excess of minimum educational requirements. (2) Test designed to determine the skill and knowledge of the occupation itself. (3) A requirement for a driver's license as a condition of accepting or processing an application. (4) A requirement of residency as a condition of accepting or processing an application. Note: Authority cited: Sections 3071 and 3090, Labor Code. Reference: Section 3071, Labor Code. s 262. Filing of Complaints. (a) Any interested person may file a complaint with the Administrator of Apprenticeship or the Administrator of Apprenticeship upon his/her own initiative may issue a complaint, when there is cause to believe that a decision, order or action of a training program sponsor (as defined in Section 252(b)) has been unfair or unreasonable; or that there has been a violation of: (1) Chapter 4, Division 3 of the Labor Code; (2) California Code of Regulations Title 8, Chapter 2, Part II; (3) Training Standards; (4) Trainee Agreements; (5) Selection Procedures; (6) Rules, Regulations or Policies established by a training program sponsor. (b) Complaints filed with, or by, the Administrator of Apprenticeship shall be filed in writing within ninety (90) days of the date of the alleged violation or within thirty (30) days of a decision by, an order by, or an action of a program sponsor to adjust the matter locally, whichever is latest, and shall contain the following: (1) The full name and address of the party (person, organization, or other party) filing the complaint (hereinafter referred to as the "charging party"). (2) The full name and address of the party (person, organization or other party) against whom the complaint is made (hereinafter referred to as the "respondent"). (3) A clear and concise statement of the facts constituting the alleged complaint. (4) The signature of the person filing the complaint or an authorized officer or agent in the case of an organization, employer, labor union, training program sponsor or other interested party. (5) A declaration by the person signing the complaint, under penalties of law, that its contents are true and correct to the best of his/her knowledge and belief. (c) Upon receipt or issuance of a complaint the Administrator of Apprenticeship shall cause a copy of such complaint to be served upon the respondent(s). (d) Complaints may be withdrawn only with the consent of the Administrator of Apprenticeship. (e) The Administrator of Apprenticeship shall dismiss any complaint when it is found that the controversies or differences concerning the training agreement were adjusted locally or that there are provisions in a collective bargaining agreement for handling such disputes. s 262.1. Discipline -Cancellation. Note: Authority cited: Section 3071, Labor Code. Reference: Sections 3073 and 3090, Labor Code. s 263. Investigations, Holding of Hearings and Determinations. (a) The Administrator of Apprenticeship, upon the timely receipt or issuance of a complaint under Section 262, shall investigate the matter to determine whether the complaint has merit, and in the course of such investigations, the Administrator of Apprenticeship may take such steps as he/she deems necessary under the circumstances to bring about an amicable adjustment of the controversy. The Administrator of Apprenticeship shall dismiss any complaint that is not timely filed and may, following an investigation, dismiss any complaint that is found to be without merit. In such cases the Administrator of Apprenticeship shall prepare a statement of his/her findings and determinations and file it with the California Apprenticeship Council, and notify all parties in writing in accordance with the Code of Civil Procedure Sections 1013a and 2015.5 of his/her determination to dismiss the complaint. (b) If the matter is not dismissed, withdrawn or settled satisfactorily, the Administrator of Apprenticeship shall hold a hearing in accordance with the following procedure: (1) He/she shall fix the time and place of the hearing and notify all interested parties not less than two weeks in advance in writing in accordance with the Code of Civil Procedure Sections 1013a and 2015.5 specifying the time and place of the hearing. (2) The interested parties shall be given an opportunity to present evidence and oral or written arguments in support of their positions. (3) The hearing need not be conducted according to technical rules relating to evidence and witnesses. (4) All witnesses testifying before the Administrator of Apprenticeship shall testify under oath. (5) A full transcript of the hearing shall be taken by a qualified person. (c) The Administrator of Apprenticeship or his/her duly authorized representative may conduct the investigation, hold the hearing and decide on the complaint. The Administrator of Apprenticeship may however delegate or authorize a representative only to hold a hearing and to report, reserving the authority to decide on the complaint. In that case, the duly authorized representative shall hold a hearing and submit to the Administrator of Apprenticeship the entire record of the hearing together with his/her written recommendations. The Administrator of Apprenticeship shall read the record and the written recommendations before deciding on the complaint. (d) In deciding on the complaint, the Administrator of Apprenticeship or his/her duly authorized representative shall prepare a statement of findings of fact, make a decision, file it with the California Apprenticeship Council and notify all parties in writing in accordance with the Code of Civil Procedure Sections 1013a and 2015.5 of the decision and of any action taken. Note: Authority cited: Section 3071, Labor Code. Reference: Sections 3081, 3082, 3090 and 3093, Labor Code. s 264. Appeals to the California Apprenticeship Council. (a) The following procedures shall be followed when an appeal is filed with the Council within ten (10) days from the date the parties are given notification of the determination. The parties shall be deemed to have been given notification five (5) days after notice has been sent to their address of record. (1) The Chair of the Council shall appoint three (3) members of the Council to act as an appeal board. This appeal board shall consist of one member of the Council representing an employee organization and one member representing an employer organization; the third member will be a member who does not represent either of the aforementioned groups and shall act as chair of the appeal board. (2) The appeal board shall review the entire record and may hold an appeal hearing thereon. (3) In the event of a hearing, the designated chair of the appeal board shall fix the time and place of the hearing on the appeal and notify all interested parties to the appeal not less than two weeks in advance in writing in accordance with the Code of Civil Procedure Sections 1013a and 2015.5 specifying the time and place of the hearing. (4) The hearing on the appeal shall be limited to a review of the record before the Administrator of Apprenticeship and to oral or written arguments by interested parties to the appeal; except where the appeal board finds that there is relevant evidence which, in the exercise of reasonable diligence, could not have been produced or which was improperly excluded at the hearing before the Administrator of Apprenticeship. In such cases, the appeal board may admit such evidence to supplement the record and exercise its independent judgment upon all of the evidence in the record. The appeal board may, in its independent judgment, refer the matter to the program sponsor for reconsideration of its prior action, in an attempt to resolve the matter amicably. (5) The appeal board shall submit a written report to the Council summarizing the evidence, findings of fact, and recommended decision. The Council shall take appropriate action on the recommended decision. If for any reason the Council rejects the appeal board's recommended decision, a complete copy of the record shall be furnished each member of the Council for independent review and consideration before any action is taken by the Council in rendering a decision. (6) The Council will timely notify all parties to the appeal of its decision in writing in accordance with the Code of Civil Procedure Sections 1013a and 2015.5. Note: Authority cited: Section 3071, Labor Code. Reference: Sections 3082-3084, 3090 and 3093, Labor Code. s 265. Compliance. Note: Authority cited: Sections 3071 and 3090, Labor Code. Reference: Sections 3071 and 3091, Labor Code. s 266. Content of Selection Procedures. Note: Authority cited: Sections 3071 and 3090, Labor Code. Reference: Section 3071, Labor Code. s 267. Review and Compliance. Note: Authority cited: Section 3071, Labor Code. Reference: Sections 3071, 3090 and 3093, Labor Code. s 268. Local Training Programs. Note: Authority cited: Section 3071, Labor Code. Reference: Section 3090, Labor Code. s 269. Local Joint Training Programs. s 270. Local Unilateral Training Programs. s 271. State and Regional Joint Training Advisory Committees. Note: Authority cited: Sections 3071 and 3090, Labor Code. Reference: Section 3071, Labor Code. s 272. When Issued. Note: Authority cited: Section 3071, Labor Code. Reference: Sections 3071 and 3093, Labor Code. Note: Authority cited: Section 3071, Labor Code. Reference: Sections 3071 and 3093, Labor Code. s 280. Purpose and Intent. Note: Authority cited: Section 3071, Labor Code. Reference: Sections 3090 and 3093, Labor Code. s 281. Declaration of Policy. A state approved journeyman on-the-job training program is defined as one that is developed by its program sponsor and approved by the Division of Apprenticeship Standards as being consistent with Labor Code Sections 3090 and 3093 and applicable provisions of this Code. Note: Authority cited: Section 3071, Labor Code. Reference: Sections 3090 and 3093, Labor Code. s 282. Approval of Training Standards. (a) Voluntarily developed training standards for journeyman on-the-job training programs shall be approved by the Division of Apprenticeship Standards if those standards meet the following criteria: (1) They are agreed to and submitted in writing by the parties to any applicable collective bargaining agreement, by an employer, an employer association, or a union or its representative, and signed by the parties affected. (2) The program is designed for journeymen in an apprenticeable occupation to keep them abreast of current techniques, methods and materials and to provide them opportunities for advancement in their industries and does not replace apprentices in approved apprenticeship programs. (3) The period of training is of not less than three months' duration. (4) There are adequate facilities, equipment and personnel to provide training. (5) Provision is made for: (A) Training in safety and safe practices. (B) Necessary related and supplemental instruction, where applicable. Related and supplemental instruction will be administered by state and local boards responsible for vocational education. (C) Adequate supervision and administration of the program. (D) Adequate records to be kept to show the progress made by each journeyman in training toward the training objective. (E) Journeymen in training to be selected, employed and trained under fair and impartial procedures without discrimination on the basis of sex, race, religion, color, ancestry, national origin, disability, sexual orientation, political affiliation, creed or age. (F) Recommending issuance of State Certificates of Training to journeymen in training upon successful completion of training, attested to by the journeyman training program sponsor(s) by competent evidence which is defined as a transcript or abstract of the records required to be maintained pursuant to Section 282(a)(5)(D). (G) Each journeyman in training to sign an agreement based on the provisions of the training standards, with a copy filed with the training program sponsor. (b) Journeyman on-the-job programs may be administered by a joint training committee, a unilateral training committee or a single employer. Note: Authority cited: Section 3071, Labor Code. Reference: Sections 3090 and 3093, Labor Code. s 290.0. General. Scope and Application: Improper electrical connections can result in fire or other damage to property and can cause injury and death. Any individual may apply for certification showing that the individual possesses the skill, knowledge and training to safely and competently make electrical connections of 100 volt-amperes or more in the course of doing work for an electrical contractor. Note: Authority cited: Section 3099, Labor Code. References: Section 3099, Labor Code. s 290.1. Definitions. Approved Curriculum is a program of classes covering the areas of subject matter content offered by an Educational Provider pursuant to a plan of classroom instruction approved by the Curriculum Committee. Certified Electrician is one who has been certified pursuant to Labor Code section 3099.2 and these regulations under any of the certification categories established by DAS. Chief DAS is the Chief of the Division of Apprenticeship Standards. Curriculum Committee is the Electrician Certification Curriculum Committee established pursuant to Labor Code section 3099(a)(3). Curriculum Standards are the standards for subject matter content for classroom instruction adopted by the Curriculum Committee. DAS is the Division of Apprenticeship Standards. Director is the Director of Industrial Relations. Educational Provider is a community college or public school district or public educational institution, or a state-licensed private post-secondary institution under contract with a public educational institution, community college or public school district. Electrical Contractor is one who holds a C-10 license from the State Contractors License Board. Electrician Trainee is one who is registered with DAS pursuant to Labor Code section 3099.4 and these regulations. Fire/Life Safety Technician is one who performs work for an Electrical Contractor involving the installation, construction or maintenance of systems covered by Article 760 of the National Electrical Code. General Electrician is one who performs work for an electrical contractor installing, constructing or maintaining any electrical system that is covered by the National Electric Code. National Electrical Code is the National Electrical Code 1999, National Fire Protection Association, Quincy, MA 02269. NICET is the National Institute for Certification in Engineering Technologies. Nonresidential Lighting Technician is one who performs work for an Electrical Contractor repairing, servicing and maintaining existing nonresidential lighting fixtures and installing retrofit upgrade fixtures. Such work does not include the installation of branch circuits or the alteration of existing branch circuits except a Nonresidential Lighting Technician may reconnect to existing power within 3 feet. Residential Electrician is one who: (1) performs work for an electrical contractor installing, constructing, or maintaining any electrical system that is covered by the National Electrical Code in single family homes and multi family units, including hotels and motels, where the primary occupancy of the building is considered residential and the maximum voltage received from a utility company is a 3 phase, 4 wire, 120/208 or 120/240 volts. (2) performs work installing the required panel boards and feeders for commercial tenant space in a multi-family/multi-use occupancies falling under subsection (b)(1) above, where less than 50 percent of the first floor level is used for commercial tenant space, but not performing any tenant improvement for these spaces. (3) does not perform work in occupancies that fall under the scope of Article 517 of the National Electrical Code. Voice Data Video Technician is one who performs work for an electrical contractor installing, constructing or maintaining any system that falls within the scope of National Electrical Code, Articles 725, 770 (non-composite cables only), 800 (non-hybrid cables only), 810 and 820. Note: Authority cited: Sections 3099 and 3099.4, Labor Code. Reference: Sections 3099-3099.4, Labor Code. s 291.0. Types of Certification. An applicant may apply for certification as a General Electrician, a Residential Electrician, a Voice Data Video Technician, a Fire/Life Safety Technician or a Nonresidential Lighting Technician. Note: Authority cited: Section 3099, Labor Code. Reference: Section 3099, Labor Code. s 291.1. Eligibility for Certification. (a) In order to be certified, an applicant must have the required experience as set forth herein, and pass a certification examination under Section 291.3. An applicant must provide proof of experience which may be done by showing: (1) successful completion of an apprenticeship program approved by the California Apprenticeship Council, the federal Bureau of Apprenticeship Training, or a state apprenticeship council authorized by the federal Bureau of Apprenticeship Training to approve apprenticeship programs, in the classification for which certification is sought; or (2) on-the-job experience, as follows: General Electrician: 8000 hours of work for an Electrical Contractor installing, constructing or maintaining electrical systems covered by the National Electrical Code. The 8000 hours must consist of work in two or more of the following areas, and the maximum number of hours in a particular area that may be counted toward the 8000 hour total are as follows: Stock room and Material handling - 300 hours Residential Wiring - 3000 hours Commercial Wiring - 6000 hours Industrial Wiring - 6000 hours Voice Data and Video installation - 1500 hours Underground Conduit installation - 750 hours Troubleshooting and Maintenance - 1500 hours Finish Work and fixtures - 600 hours Fire/Life Safety, Nurse call - 600 hours Residential Electrician: 4800 hours of work for an Electrical Contractor installing, constructing, or maintaining electrical systems covered by the National Electric Code. The 4800 hours must consist of work in one or more of the following areas, and the maximum number of hours in a particular area that may be counted toward the 4800 hour total are as follows: Stock room and material handling - 300 hours Residential Wiring - 4800 hours Voice Data and Video installation - 150 hours Underground Conduit installation - 300 hours Troubleshooting and Maintenance - 600 hours Finish work and fixture - 600 hours Fire/Life Safety - 300 hours Voice Data Video Technician: 4000 hours of work for an Electrical Contractor installing, constructing or maintaining any system that falls within the scope of National Electrical Code, Articles 725, 770 (non-composite cables only), 800 (non-hybrid cables only), 810 and 820. The 4000 hours must consist of work in one or more of the following areas, and the maximum number of hours in a particular area that may be counted toward the 4000 hour total are as follows: Stock room and material handling - 300 hours Installations, including wire pulling, terminations, control panels devices and finish work - 4000 hours Troubleshooting and Maintenance - 750 hours Trade Specific training related to Voice, Data, Video - 300 hours Fire/Life Safety Technician: 4000 hours of work for an Electrical Contractor, involving the installation, construction or maintenance of systems as covered in Article 760 of the National Electrical Code.The 4000 hours must consist of work in one or more of the following areas, and the maximum number of hours in a particular area that may be counted toward the 4000 hour total are as follows: Stock room and material handling - 300 hours Installations, including wire pulling, terminations, control panels devices and finish work - 4000 hours Troubleshooting and Maintenance - 750 hours Nurse Call systems - 300 hours Proprietary systems training related to Fire/Life Safety - 300 hours The experience requirement for Fire/Life Safety Technician may also be satisfied by proof of NICET certification in Fire Alarm Systems at Level II or above. Nonresidential Lighting Technician: 2,000 hours of work installing, repairing and maintaining nonresidential lighting while employed by a contractor engaged in the business of nonresidential lighting maintenance and retrofit installations. The 2,000 hours must consist of work in one or more of the following areas, and the maximum number of hours in a particular area that may be counted towards the 2,000 hour total are as follows: Stockroom and material handling - 150 hours Maintenance of lighting fixtures - 1750 hours Installation of retrofit fixtures - 1500 hours Trouble shooting and repairing - 500 hours (b) Where an applicant holds a license as an electrician in another state and it is determined by the Chief DAS that the requirements for experience to hold a license in that state are comparable to the requirements of Section 291.1(a)(1) or Section 291.1(a)(2), the Chief may deem the applicant to have the required experience for certification. (c) Where the applicant can show other experience, including military experience or relevant work for a low voltage systems contractor holding a C-7 license, the applicant may apply to the Chief DAS for credit toward some or all of the experience required under Section 291.1(a)(2) The Chief DAS may grant credit if the Chief determines that the experience is comparable to experience for which credit would be granted under Section 291.1(a)(1) or Section 291.1(a)(2). Note: Authority cited: Section 3099, Labor Code. References: Section 3099, Labor Code. s 291.2. Application for Certification and Examination. (a) Any individual desiring to be certified as set forth in Section 291.0 must submit an application for certification and examination as set forth herein. The application and all information and attachments shall be submitted under penalty of perjury, and accompanied by all applicable fees as set forth herein. No application will be accepted for processing by the DAS unless accompanied by all required fees as set forth in Section 292.0 herein. (b) Applications may be obtained from any District Office for the DAS, or from the DAS website at www.dir.ca.gov/das, and shall be filed by mailing the completed application to the following address: Division of Apprenticeship Standards Attn: Electrician Certification Unit P.O. Box 420603 San Francisco, CA 94142-0603 (c) The application shall include: (1) Type of certification desired. (2) Full name of the applicant and any other names the applicant has used to work as an electrician within five years previous to the date of the application. (3) Date of Birth and Driver's license or state identification card number. (4) Mailing Address. (5) Telephone Number (Day and Evening). (6) Request for Spanish language examination if applicable. (d) The applicant shall submit proof of experience as required under Section 291.1 with the application. Except as provided in subsections (f) and (g), only applicants who have the required experience are eligible to take the certification examination. (e) Within 30 days of the receipt of an application, the DAS shall inform the applicant in writing whether the applicant is eligible to take the certification examination, or whether the application is deficient or the applicant has not submitted sufficient proof of experience to take the certification examination. If the applicant is eligible to take the certification examination, the DAS shall provide the applicant with information about taking the examination. If the applicant does not take the examination within one year after being notified by DAS of eligibility to take the examination, the applicant must submit a new application to DAS and pay the required application and testing fee again. If the application is deficient or the applicant has not submitted sufficient proof of experience, the DAS shall return the application materials and refund all fees to the applicant. The DAS shall advise the applicant of the information or documentation required and why the proof of experience is insufficient. The applicant may submit a new application and pay the required application and testing fees. (f) A registered apprentice performing electrical work as part of an apprenticeship program approved under Labor Code sec. 3070 et seq., a federal Bureau of Apprenticeship Training program, or a state apprenticeship program authorized by the federal Bureau of Apprenticeship Training, who is within one year of completion of the apprenticeship term, is eligible to take the certification examination. Upon passing the examination, the apprentice shall be certified immediately upon completion of the term of apprenticeship. (g) An Electrician Trainee who has completed an Approved Curriculum for the classification for which certification is sought and is currently registered as an Electrician Trainee is eligible to take the certification examination. The Electrician Trainee must submit a certificate of completion of an Approved Curriculum with the application and pay the required application and testing fees. The Electrician Trainee shall not be certified until he or she passes the examination and submits proof of experience as required under Section 291.1. The Electrician Trainee must renew registration to continue as an Electrician Trainee until certified. Note: Authority cited: Sections 3099 and 3099.4, Labor Code. References: Sections 3099-3099.4, Labor Code. s 291.3. Certification Examination. (a) All applicants must pass the written examination, established by the Chief DAS for the type of certification desired. (b) The examination shall be validated by an independent test validation organization based on content developed by a job analysis. (c) A description of the examination content and identification of relevant reference works will be provided by DAS upon request. (d) The examination for each type of certification shall be given at least once per year, in at least two locations, one in Northern California and one in Southern California. DAS may give the examinations at additional times and in additional locations for the convenience of the applicant pool. (e) Applicants requesting special accommodations for the examination on account of disability shall submit such requests to the Chief DAS or its designee. The Chief DAS or its designee shall respond promptly to such requests and may require additional information and/or documentation from the applicant. (f) DAS shall provide for the administration of the certification examinations in Spanish, and to the extent practicable, other non-English languages spoken by a substantial number of applicants, as defined in Section 7296.2 of the Government Code, except insofar as the ability to understand warning signs, instructions, and other information in English is necessary for safety reasons. (g) At the time of the examination, the applicant may be required to present valid photo identification and may be photographed for a certification card. (h) DAS shall make information about electrician certification available in non-English languages spoken by a substantial number of construction workers, as defined in Section 7296.2 of the Government Code. Such information shall contain the basic information DAS makes available to the public in English regarding electrician certification and shall be sufficient to inform interested persons of the process by which one may become certified. Note: Authority cited: Section 3099, Labor Code. References: Sections 3099-3099.3, Labor Code. s 291.4. Retesting. An applicant may take the test as many times as he or she wishes under one application for one year following the date of the notification of eligibility to take the examination so long as there is at least 60 days between each sitting. The applicant must make payment of the test fee each time the test is taken. After one year following the date of notification of eligibility, an unsuccessful applicant must submit a new application and make new payment of fees. Note: Authority cited: Section 3099, Labor Code. References: Section 3099, Labor Code. s 291.5. Renewal and Replacements. (a) Certification shall be renewed every three (3) years. To be eligible for renewal an applicant must provide proof under penalty of perjury of 32 hours further electrical education from an Educational Provider relevant to the type of certification, and must certify under penalty of perjury that he or she has worked in the industry 2000 hours within the previous three years. (b) Within 30 days of the receipt of a renewal application, the DAS shall inform the applicant in writing either that certification has been renewed, or that the application is deficient or that applicant has submitted insufficient proof of further education. If the application is deficient or applicant has submitted insufficient proof of further education, DAS shall inform the applicant of the information or documentation required and why the proof of further education is insufficient. (c) An individual who allows certification to lapse shall be required to retake the certification examination. A successful renewal application must be postmarked or received at DAS 30 days before the end of the certification period in order for certification to be renewed without a lapse. (d) Any person whose certification card has been lost or mutilated may request a replacement card from the DAS. Such request shall be in writing and accompanied with a current address and phone number and replacement fee in the amount of 30% of the renewal fee specified in Section 292.0(c). (e) For purposes of any continuing education or recertification requirement, individuals who become certified prior to the deadline for certification shall be treated as having become certified on the first anniversary of their certification date that falls after the certification deadline. Note: Authority cited: Sections 3099 and 3099.4, Labor Code. References: Sections 3099-3099.4, Labor Code. s 292.0. Fees. (a) The fee for initially applying for certification is $75.00. (b) The fee for taking or retaking the examination is $100.00. (c) The fee for renewal of certification is $100.00. (d) The fee for registering as an Electrician Trainee is $25.00. Note: Authority cited: Sections 3099 and 3099.4, Labor Code. References: Sections 3099-3099.5, Labor Code. s 293.0. Denial, Suspension, or Revocation of Certification; Appeals. (a) The Chief DAS may for good cause deny certification to an applicant. Good cause shall exist when the applicant does not satisfy the requirements of Section 291.1 or has failed the certification examination. The Chief DAS shall provide the applicant with written notice of the denial at the address shown on the application for certification or other address known to the DAS. (b) The Chief DAS may for good cause and after notice and, if requested, a hearing, suspend or revoke the certification of a person certified pursuant to this Subchapter. Good cause shall be deemed to exist if the person certified has committed gross negligence or fraud, or engaged in repeated acts of negligence during the performance of activities subject to the certification or if the person obtained certification through mistake, misrepresentation or fraud. (c) For suspension or revocation of a certification, notice of the intention to suspend or revoke the certification shall be given in writing and served upon the person certified. Service shall be by personal service or certified mail to the person's address as shown on the certification application or other address known to the DAS. The notice shall specify the reasons for the action proposed to be taken by the DAS and the applicant's right to request a hearing. (d) Any applicant may appeal the denial of certification to the Chief DAS. The appeal shall be in writing and made within 30 days of service of the denial. The applicant shall have the burden of establishing that he/she qualifies for certification. The Chief DAS shall rule on the appeal, and shall have discretion to hold a hearing on the appeal before the Chief DAS or his or her authorized representative prior to the ruling. Any hearing must commence within 90 days after the DAS receives the appeal of the denial of certification. The ruling shall be in writing and shall be sent to the applicant within 90 days after the DAS receives the appeal, or within 90 days after the last day of hearing, whichever is later. The decision of the Chief DAS shall be final, except for judicial review provided by law. (e) An individual served with notice of the intention of the Chief DAS to suspend or revoke his or her certification may request a hearing with the Director by filing a written request for hearing with the Director within 30 days of service of the notice. Where no timely request for hearing has been made, the effective date of the suspension or revocation is deemed the 31st day following service of the notice of intention. The Director shall schedule a hearing before the Director or his or her authorized representative within 90 days after the Director receives the request for hearing. Following the hearing, the Director shall issue a written ruling that shall be sent to the appellant within 90 days after the last day of hearing. The decision of the Director shall be final except for judicial review provided by law. Note: Authority cited: Section 3099, Labor Code. References: Section 3099, Labor Code. s 294.0. Enforcement. Any person who displays a certificate, or otherwise claims to be certified, who is not certified shall be prohibited from taking the test for certification for a period of five (5) years. Note: Authority cited: Section 3099, Labor Code. References: Section 3099, Labor Code. s 295.0. Publication of Names; Responsibility To Provide a Current Address. (a) DAS shall publish, either electronically or in print, a current list of Certified Electricians and Electrician Trainees. Copies of this list shall be available to the public upon request and shall be updated yearly. The list shall include the zip code of the electrician's or trainee's mailing address. (b) Applicants, Electrician Trainees, and Certified Electricians shall be responsible for notifying DAS of changes in mailing address. Note: Authority cited: Section 3099, Labor Code. References: Sections 3099 and 3099.4, Labor Code. s 296.0. Curriculum Committee; Curriculum Standards; Approved Curriculum. (a) The Curriculum Committee is comprised of the State Superintendent of Public Instruction, the Chancellor of the California Community Colleges, and the Chief DAS, or their respective designees. The Curriculum Committee shall meet at least twice a year, and a unanimous vote shall be necessary for committee action. Each committee member may appoint up to three non-voting advisory members to attend committee meetings. The Chief DAS or its designee will act as secretary for the committee. The address of the Curriculum Committee is: DIVISION OF APPRENTICESHIP STANDARDS ATTN: ELECTRICIAN CERTIFICATION CURRICULUM COMMITTEE P.O. BOX 420603 SAN FRANCISCO, CA 94142-0603 (b) The Curriculum Committee shall adopt Curriculum Standards that satisfy the requirements of Labor Code section 3099.4. DAS shall publish the Curriculum Standards, either electronically or in print, and they shall be available to the public upon request. (c) To apply for approval of its curriculum, an Educational Provider must submit to the Curriculum Committee a copy of its proposed curriculum, proof that the proposed curriculum has been certified by the State Department of Education or approved by the Chancellor of the California Community Colleges, and a document that identifies how each element in the Curriculum Standards is covered in the proposed curriculum. Within 90 days of the receipt of an application, the Curriculum Committee shall inform the Educational Provider in writing either that the proposed curriculum is approved or that the application or the proposed curriculum is deficient, in which case the Curriculum Committee shall inform the Educational Provider the information or documentation required to complete the application and why the proposed curriculum is deficient. (d) An Approved Curriculum may satisfy the Curriculum Standards in whole or in part. An Educational Provider must include language in publications regarding its Approved Curriculum that notifies which elements of the Curriculum Standards are covered, and which are not. (e) DAS shall publish, either electronically or in print, a list of Educational Providers with Approved Curriculum. The list shall be made available to the public upon request. Note: Authority cited: Sections 3099 and 3099.4, Labor Code. References: Sections 3099 and 3099.4, Labor Code. s 296.1. Applying for and Renewing Registration as an Electrician Trainee. (a) An individual who is enrolled in or has completed an Approved Curriculum may register with DAS as an Electrician Trainee by submitting an application as set forth herein. The application and all information and attachments must be submitted under penalty of perjury and accompanied by the applicable fee as set forth in Section 292.0. No application will be accepted for processing unless accompanied by the required fee. (b) Applications may be obtained from any District Office for DAS or from DAS's website. Applications must be filed by mailing the completed application to the following address: DIVISION OF APPRENTICESHIP STANDARDS ATTN: ELECTRICIAN CERTIFICATION UNIT P.O. BOX 420603 SAN FRANCISCO, CA 94142-0603 (c) The application must include: (1) Full name of the applicant and any other names the applicant has used to work in the electrical industry within five years previous to the date of application. (2) Date of birth and driver's license or state identification card number. (3) Mailing address. (4) Telephone number (Day and Evening). (5) Proof of enrollment in or completion of an Approved Curriculum. (6) Name, mailing address, and telephone number of current employer in the electrical industry, if any. (d) Within 90 days of the receipt of an application, the DAS shall inform the applicant in writing either that the application is accepted for filing or that it is deficient or that the applicant has submitted insufficient proof of enrollment in or completion of an Approved Curriculum. If the application is deficient or the applicant has submitted insufficient proof of enrollment in or completion of an Approved Curriculum, the DAS shall inform the applicant of the information or documentation required and why the proof of enrollment in or completion of an Approved Curriculum is insufficient. (e) An Electrician Trainee must renew his or her registration with DAS on an annual basis, by submitting a renewal application. The renewal application requirements are the same as that for the registration application, as set forth in subsections (a) through (c) above, except that no fee is required for renewal and the following additional information is required: (1) Copies of transcripts showing Approved Curriculum classwork completed during the prior year; and, (2) A list of the Electrician Trainee's employers in the electrical industry and on-the-job experience acquired during the prior year. (f) Within 90 days of the receipt of a renewal application, the DAS shall inform the applicant in writing either that the registration has been renewed or that the application is deficient or that the applicant has submitted insufficient proof of further classwork or experience, in which case DAS shall inform the applicant of the information or documentation required and why the proof of further classwork or experience is insufficient. Note: Authority cited: Sections 3099 and 3099.4, Labor Code. References: Sections 3099 and 3099.4, Labor Code. s 296.2. Enrollment in an Approved Curriculum. (a) An individual is considered to be enrolled in an Approved Curriculum if the individual: (1) is enrolled in a program that provides at least 50 hours of classroom instruction in an Approved Curriculum per semester if the program offers three semesters of instruction per year; or (2) is enrolled in a program that provides at least 75 hours of classroom instruction in an Approved Curriculum per semester if the program offers two semesters of classroom instruction per year. (b) Upon receipt of an application for registration or renewal of registration as an Electrician Trainee, DAS may request verification of the applicant's enrollment from the Educational Provider. An Educational Provider must notify DAS within 30 days if an Electrician Trainee withdraws or is withdrawn from courses after enrolling. (c) DAS will cancel the registration of an Electrician Trainee who ceases to be enrolled in an Approved Curriculum. Note: Authority cited: Sections 3099 and 3099.4, Labor Code. References: Sections 3099 and 3099.4, Labor Code. s 296.3. Employment of Electrician Trainees. (a) An employer who employs an Electrician Trainee to perform work for which certification would otherwise be required must ensure that the trainee is under the direct, on-site supervision of a Certified Electrician who is responsible for supervising no more than one trainee. By employing an Electrician Trainee to perform work for which certification would otherwise be required, the employer attests that adequate supervision will be provided. (b) An employer that fails to provide adequate supervision to an Electrician Trainee may be barred by the Chief DAS from employing trainees in the future. (c) The Chief DAS shall serve written notice of the intention to bar an employer from employing Electrician Trainees. Service shall be by personal service or certified mail to the employer's address on file with the Contractor's State License Board or other address known to DAS. The notice shall specify the reasons for the action proposed to be taken by the DAS and the employer's right to request a hearing. The employer may request a hearing with the Director within 30 days of service of the notice. The Director shall schedule a hearing before the Director or his or her authorized representative within 90 days after the Director receives the applicant's request for hearing with the Director. Following the hearing, the Director shall issue a written ruling that shall be sent to the appellant within 90 days after the last day of hearing. The decision of the Director shall be final except for judicial review provided by law. Note: Authority cited: Sections 3099 and 3099.4, Labor Code. References: Sections 3099 and 3099.4, Labor Code. s 296.4. Denial or Cancellation of Registration as an Electrician Trainee; Appeals. (a) The Chief DAS may for good cause deny an individual registration as an Electrician Trainee or cancel an individual's registration as an Electrician Trainee. The Chief DAS shall provide the individual with written notice of the denial or cancellation at the address shown on the application for registration or other address known to the DAS. Good cause shall be deemed to exist if the individual does not meet the requirements for registration or has committed gross negligence or fraud, or engaged in repeated acts of negligence during the performance of activities subject to the registration or if the person obtained registration through mistake, misrepresentation or fraud. (b) An applicant or registrant may appeal the denial or cancellation of registration to the Chief DAS. The appeal shall be in writing and made within 30 days of service of the notice. The appellant shall have the burden of establishing that appellant qualifies for registration. The Chief DAS shall rule on the appeal, and shall have discretion to hold a hearing on the appeal before the Chief DAS or his or her authorized representative prior to the ruling. Any hearing must commence within 90 days after the DAS receives the applicant's appeal of the denial of registration. The ruling shall be in writing and shall be sent to the appellant within 90 days after the DAS receives the appeal, or within 90 days after the last day of hearing, whichever is later. The decision of the Chief DAS shall be final, except for judicial review provided by law. Note: Authority cited: Sections 3099 and 3099.4, Labor Code. References: Sections 3099 and 3099.4, Labor Code. Note: Authority cited: Section 1418(a), Labor Code; Section 35730.5(a), Health and Safety Code and Section 12935(a), Government Code. Reference: Part 4.5 of Division 2, Labor Code and Part 2.8 of Division 3 of Title 2, Government Code. Note: Authority cited: Section 1418(a), Labor Code; Section 35730.5(a), Health and Safety Code and Section 12935(a), Government Code. Reference: Part 4.5 of Division 2, Labor Code and Part 2.8 of Division 3 of Title 2, Government Code. Note: Authority cited: Section 1418(a), Labor Code; Section 12935(a), Government Code. Reference: Sections 1420.1 and 1420.15, Labor Code; Sections 12941, 12942, Government Code. s 300. Definitions. Note: Authority cited: Section 1418(a), Labor Code. Reference: Section 1410, et seq., Labor Code. <<(Chapter Originally Printed 1-12-74)>> s 330. Definitions. In this chapter unless otherwise specifically indicated: (a) "Chief" means the Chief Administrative Officer of the Division of Occupational Safety and Health. (b) "Working days" means Mondays through Fridays but shall not include Saturday, Sunday or State Holidays. In computing 15 working days, the day of receipt of any notice shall not be included, and the last day of the 15 working days shall be included. (c) "Inspection" means any inspection of an employer's factory, plant, establishment, construction site, or other area, workplace or environment where work is performed by an employee of an employer and includes any inspection conducted pursuant to a complaint, any reinspection, or follow-up inspection. (d) "Code" means the California Labor Code. (e) "Order" included within the term "order" are the General Orders adopted by the Industrial Safety Board or the Industrial Accident Commission, Rules and Regulations promulgated by the Director of the Department of Industrial Relations and the Division of Occupational Safety and Health, decisions, requirements and orders made by the Division of Occupational Safety and Health. (f) "Carcinogen" includes the following recognized cancer causing substances for which standards have been adopted: (1) Any of the following substances and any compound, mixture, or product containing such substances: (A) 2-acetylaminofluorene. (B) 4-aminodiphenyl. (C) Benzidine (and its salts). (D) Bis (chloromethyl) ether. (E) 3,3 ' -dichlorobenzidine (and its salts). (F) 4-dimethylaminoazobenzene. (G) Beta-naphthylamine. (H) 4-Nitrobiphenyl. (I) N-nitrosodimethylamine. (J) Beta-propriolactone. (K) Methyl chloromethyl ether. (L) Alpha-naphthylamine. (M) 4,4 ' -Methylenebis (2-Chloroaniline.) (N) Ethyleneimine. (2) Asbestos, including chrysotile, amosite, crocidolite, tremolite, anthophyllite, and actinolite. (3) Vinyl chloride. (4) 1,2- dibromo -3 chloropropane (DBCP). (5) Coke oven emissions (6) Acrylonitrile. (7) Inorganic Arsenic. (8) Ethylene Dibromide (EDB) (9) Ethylene Oxide (10) Any other substance for which standards are adopted and in effect due to cancer causing properties and any compound, mixture, or product containing such a substance, except as specifically exempted from such standards. (g) "Order To Take Special Action" means any order written by the Chief or his or her authorized representative which requires the employer to comply with applicable provisions of Division 5 of the California Labor Code, or with specific standards, orders or regulations of the Standards Board whose enforcement upon the employer are at the discretion of the Division (h) "Serious injury or illness" means any injury or illness occurring in a place of employment or in connection with any employment which requires inpatient hospitalization for a period in excess of 24 hours for other than medical observation or in which an employee suffers a loss of any member of the body or suffers any serious degree of permanent disfigurement, but does not include any injury or illness or death caused by the commission of a Penal Code violation, except the violation of Section 385 of the Penal Code, or an accident on a public street or highway. Note: Authority cited: Sections 54, 55, 6308, 6318 and 9004, Labor Code; and Bendix Forest Products Corporation v. Division of Occupational Safety and Health (1979) 25 Cal. 3d 465, (158 Cal. Rptr. 882). Reference: Sections 6302(h), 6308 and 6318 and 9004, Labor Code. s 331. Advance Notice. The intent of these regulations is the complete avoidance of the advance notice to employers of pending inspections or investigations unless there are important advantages in performance of inspections to be gained by the Division of Occupational Safety and Health. Any advance notification not allowed under these rules may constitute a violation of Labor Code Section 6321, punishable by a fine of not more than $1,000 or by imprisonment for not more than six months, or by both. Note: Authority cited: Sections 54, 55 and 6321, Labor Code. Reference: Section 6321, Labor Code. s 331.1. When Advance Notice Justified. (a) Except when the investigation or inspection is to be made as the result of an employee complaint, situations justifying advance notice include the following: (1) Situations of apparent imminent danger where prompt abatement is essential; (2) Situations when, to be effective, the inspection must be arranged to assure availability of essential personnel or access to the site, equipment, or process; (3) Other situations where, in the judgment of the Chief or his designee, the giving of advance notice is advantageous for achieving a thorough inspection. (b) When the investigation or inspection is to be made as the result of an employee complaint, advance notice is to be authorized only if the situation appears to present imminent danger to the health or safety of an employee or employees. Note: Authority cited: Sections 54, 55 and 6321, Labor Code. Reference: Section 6321, Labor Code. s 331.2. Time of Advance Notice. The lapse of time between advance notice and the inspection shall not exceed a minimum that is consistent with the reason for such notice. In no instance will advance notice be given more than 24 hours prior to the scheduled inspection or investigation except in unusual circumstances, where imminent danger exists or where practical considerations mandate a longer period. Note: Authority cited: Sections 54, 55 and 6321, Labor Code. Reference: Section 6321, Labor Code. s 331.3. Notification to Employee Representative. Any employer receiving advance notice shall promptly inform the employee representative of this fact, if there is one. s 331.4. Arrangement for Inspection. The employer receiving advance notice shall make any necessary arrangements at his place of business so that the inspection can proceed on schedule as planned. s 332. Form of Citation. The citation form shall set forth: (a) The name of the employer, the employer's address and the workplace inspected; (b) The nature of the violation, in specific terms with reference to the provision of the code, standard, regulation or order alleged to have been violated; (c) Time allowed for correction of alleged violation; (d) Rights of employees respecting the time fixed for correction of violations; (e) Posting requirements (f) Time within which an employer may contest a citation; and (g) Such other information as the Division of Occupational Safety and Health deems appropriate for clear understanding of the form issued. Note: Authority cited: Sections 54, 55 and 6317, Labor Code. Reference: Section 6317, Labor Code. s 332.1. Issuance of Notice. (a) If, after an inspection or investigation, the Division determines that a violation exists which is not classified as willful, serious, repeated, or related to a failure to abate, the Division may issue a Notice in lieu of citation if either of the following requirements are met: (1) The violation does not bear a direct relationship upon employee safety or health, or; (2) The violation bears a direct, but not immediate relationship upon employee safety or health, and is general or regulatory in nature. (b) The Notice may be issued only if the criteria set forth in subdivision (a) hereof are satisfied, and in addition thereto, the employer agrees to abate the violative condition within a reasonable time as determined by the Division and agrees that the Notice will not be appealed. The agreement shall be indicated by the signature of the employer, or authorized employer representative, on the Notice itself. (c) A Notice shall not be issued if the number of first instance violations, either general or regulatory, is 10 or more. Note: Authority Cited: Sections 54, 55 and 6317, Labor Code. Reference: Section 6317, Labor Code. s 332.2. Issuance of Special Order. If upon inspection or investigation the Division determines that an unsafe condition, device, or place of employment poses a threat to the health and safety of an employee which cannot be made safe under existing standards or orders of the Standards Board the Division may issue a special order. Note: Authority cited: Sections 54, 55 and 6308, Labor Code. Reference: Sections 6305 and 6308, Labor Code. s 332.3. Issuance of Order to Take Special Action. After inspection or investigation the Division may require the employer to comply with applicable provisions of Division 5 of the California Labor Code or with specific standards or orders of the Standards Board whose enforcement upon the employer are at the discretion of the Division. Note: Authority cited: Sections 54, 55 and 6308. Reference: Section 6308, Labor Code. s 332.4. Posting of Citation, Special Order, Order to Take Special Action, and Notice of No Violation After Investigation. Citations issued pursuant to Labor Code Section 6317, Special Orders or Orders to Take Special Action issued pursuant to Labor Code Section 6308, and Notices of No Violation After Investigation issued pursuant to Labor Code Section 6318, or copies thereof, shall be posted at or near the referenced site of the violation or condition giving rise to the citation or order. The posted Citation, Special Order, Order to Take Special Action, or Notice of No Violation After Investigation shall be positioned so as to be easily read by employees working nearby. All postings shall be maintained for a period of three working days or until the unsafe condition is abated, whichever is longer. Note: Authority cited: Sections 54, 55, 6308 and 6318, Labor Code. Reference: Sections 6305, 6308 and 6318, Labor Code. s 333. Notice of Proposed Assessment of Civil Penalties. Where a civil penalty is indicated, the Division shall after, or concurrent with the issuance of a citation, and within a reasonable time after the date the violation occurred, notify the employer by certified mail of the civil penalty proposed by the Division respecting the item(s) set forth as violation(s) in the citation. Any citation and/or Notice of Proposed Civil Penalty shall be deemed to be the final order of the Appeals Board, not subject to review by or appeal to any court or agency, unless within 15 working days from the date of the receipt of such citation or such notice of proposed civil penalty, the employer notifies the Appeals Board in writing of his intention to contest the citation and/or the civil penalty, with respect to violations alleged by the division, abatement periods, amount of proposed penalties, and the reasonableness of the changes required by the division to abate the condition. Note: Authority cited: Sections 54, 55 and 6319, Labor Code. Reference: Section 6319, Labor Code. s 334. Classification of Violations and Definitions. For purposes of penalty assessments, violations of occupational safety and health standards, violations of California Health and Safety Code Sections 2950 and 25910, orders, special orders and regulations are classified as follows: (a) Regulatory Violation -is a violation, other than one defined as Serious or General that pertains to permit, posting, recordkeeping, and reporting requirements as established by regulation or statute. For example, failure to obtain permit; failure to post citation, poster; failure to keep required records; failure to report industrial accidents, etc. (b) General Violation -is a violation which is specifically determined not to be of a serious nature, but has a relationship to occupational safety and health of employees. (c) Serious Violation. (1) A "serious violation" shall be deemed to exist in a place of employment if there is a substantial probability that death or serious physical harm could result from a violation, including, but not limited to, circumstances where there is a substantial probability that either of the following could result in death or great bodily injury: (A) A serious exposure exceeding an established permissible exposure limit or (B) A condition which exists, or from one or more practices, means, methods, operations, or processes which have been adopted or are in use, in the place of employment. (2) Notwithstanding subsection (c)(1), a serious violation shall not be deemed to exist if the employer can demonstrate that it did not, and could not with the exercise of reasonable diligence, know of the presence of the violation. (3) As used in subsection (c)(1), "substantial probability" refers not to the probability that an accident or exposure will occur as a result of the violation, but rather to the probability that death or serious physical harm will result assuming an accident or exposure occurs as a result of the violation. (4) For Carcinogens -is a violation of any standard, order, or special order respecting the use of a carcinogen, as defined in 8 California Code of Regulations 330(f). However, the violation shall not be considered serious if the employer can demonstrate that he did not, and could not with the exercise of reasonable diligence, know of the presence of the violation or he can demonstrate that the Division should have determined that the violation was minor and resulted in no substantial health hazard. (d) Repeat Violation (1) General -is a violation where the employer has corrected, or indicated correction of an earlier violation, for which a citation was issued, and upon a later inspection is found to have committed the same violation again within a period of three years immediately preceding the latter violation. For the purpose of considering whether a violation is repeated, a repeat citation issued to employers having fixed establishments (e.g., factories, terminals, stores . . .) will be limited to the cited establishment; for employers engaged in businesses having no fixed establishments (e.g., construction, painting, excavation . . .) a repeat violation will be based on prior violations cited within the same Region of the Division. (2) Field Sanitation Violations -Is a violation of the State Field Sanitation Standard, currently set forth in 8 CCR 3457, or of the Federal Field Sanitation Standard, currently set forth in 29 CFR 1928.110, where the employer has corrected, or indicated correction of an earlier violation, for which a citation was issued, and upon a later inspection is found to have committed the same violation within a period of five years immediately preceding the latter violation. For the purpose of considering whether a violation is repeated, a repeat violation will be based on prior violations cited within the State. (e) Willful Violation -is a violation where evidence shows that the employer committed an intentional and knowing, as contrasted with inadvertent, violation, and the employer is conscious of the fact that what he is doing constitutes a violation of a safety law; or, even though the employer was not consciously violating a safety law, he was aware that an unsafe or hazardous condition existed and made no reasonable effort to eliminate the condition. (f) Abatement Date -is the date by which the employer is allowed and required to correct the condition constituting the violation. Note: Authority cited: Sections 54, 55 and 6319, Labor Code. Reference: Sections 6302(i),6319, 6432 and 6712, Labor Code; and Sections 2950 and 25910, Health and Safety Code. s 335. Factors Considered in Assessing Civil Penalties. In the assessment of civil penalties, the following factors shall be considered: (a) The Gravity of the Violation -the Division establishes the degree of gravity of General and Serious violations from its findings and evidence obtained during the inspection/investigation, from its files and records, and other records of governmental agencies pertaining to occupational injury, illness or disease. The degree of gravity of General and Serious violations is determined by assessing and evaluating the following criteria: (1) Severity. (A) General Violation. i. When the safety order violated pertains to employee illness or disease, Severity shall be based upon the degree of discomfort, temporary disability and time loss from normal activity (including work) which an employee is likely to suffer as a result of occupational illness or disease which could result from the violation. Depending on the foregoing, Severity shall be rated as follows: LOW - No time loss from work or normal activity; or minimum discomfort. MEDIUM - Loss of part or all of a day from work or normal activity including time for medical attention; or moderate tem- porary discomfort. HIGH - Loss of more than one day from regular work or normal activity including time for medical attention; or consid- erable temporary discomfort. ii. When the safety order violated does not pertain to employee illness or disease, Severity shall be based upon the type and amount of medical treatment likely to be required or which would be appropriate for the type of injury that would most likely result from the violation. Depending on such treatment, Severity shall be rated as follows: LOW - Requiring first-aid only. MEDIUM - Requiring medical attention but not more than 24-hour hospitalization. HIGH - Requiring more than 24-hour hospitalization. (B) Serious Violation. The Severity of a Serious violation is considered to be HIGH. (2) Extent. i. When the safety order violated pertains to employee illness or disease, Extent shall be based upon the number of employees exposed: LOW - 1 to 5 employees. MEDIUM - 6 to 25 employees. HIGH - 26 or more employees. ii. When the safety order violated does not pertain to employee illness or disease, Extent shall be based upon the degree to which a safety order is violated. It is related to the ratio of the number of violations of a certain order to the number of possibilities for a violation on the premises or site. It is an indication of how widespread the violation is. Depending on the foregoing, Extent is rated as: LOW - When an isolated violation of the standard occurs, or less than 15% of the units are in violation. MEDIUM - When occasional violation of the standard occurs or 15-50% of the units are in violation. HIGH - When numerous violations of the standard occur, or more than 50% of the units are in violation. (3) Likelihood. Likelihood is the probability that injury, illness or disease will occur as a result of the violation. Thus, Likelihood is based on (i) the number of employees exposed to the hazard created by the violation, and (ii) the extent to which the violation has in the past resulted in injury, illness or disease to the employees of the firm and/or industry in general, as shown by experience, available statistics or records. Depending on the above two criteria, Likelihood is rated as: LOW, MODERATE OR HIGH (b) The Size of the Business of the Employer -is based upon the number of individuals employed at the time of the inspection/investigation. Size of the Business is evaluated based upon the following classifications of the number of persons employed: 10 or fewer employees. 10 or fewer employees. 11 to 25 employees. 26 to 60 employees. 61 to 100 employees. More than 100 employees. (c) The Good Faith of the Employer -is based upon the quality and extent of the safety program the employer has in effect and operating. It includes the employer's awareness of CAL/OSHA, and any indications of the employer's desire to comply with the Act, by specific displays of accomplishments. Depending on such safety programs and the efforts of the employer to comply with the Act, Good Faith is rated as: GOOD - Effective safety program. FAIR - Average safety program. POOR - No effective safety program. (d) The History of Previous Violations -is the employer's history of compliance, determined by examining and evaluating the employer's records in the Division's files. Depending on such records, the History of Previous Violations is rated as: GOOD - Within the last three years, no Serious, Repeat, or Willful violations and less than one General or Regulatory viola- tion per 100 employees at the establishment. FAIR - Within the last three years, no Serious, Repeat, or Willful violations and less than 20 General or Regulatory viola- tions per 100 employees at the establishment. POOR - Within the last three years, a Serious, Repeat, or Willful violation or more than 20 General or Regulatory viola- tions per 100 employees at the establishment. For the purpose of this subsection, establishment and the three-year computation, shall have the same meaning as in Section 334(d) of this Article. s 336. Assessment of Civil Penalties. Civil penalties for Regulatory, General, Serious, Repeat, Willful, and Failure to Abate violations shall be assessed in the following manner: (a) Regulatory Violation - (1) In General -Any employer who commits any Regulatory violation (as provided in Section 334(a) of this article) shall be assessed a civil penalty of up to $7000 for each such violation. Except as set forth in parts (2) through (6) of this subsection, a minimum proposed penalty of $500, representing the gravity of the violation, shall be assessed against employers who commit Regulatory violations. The proposed penalty shall be adjusted for Size, Good Faith, and History; however, an abatement credit shall not be granted. (2) For Carcinogens -A minimum proposed penalty of $1,000 for all carcinogen standard regulatory violations, other than reporting use violations, representing the gravity of the violation, shall be assessed against the employers who commit such violations. The proposed penalty shall be adjusted for Size, Good Faith and History; however, an abatement credit shall not be granted. (3) For Carcinogens Failure to Report Use. Any employer who violates a reporting requirement respecting the use of a carcinogen as defined in Title 8 of the California Code of Regulations section 330(f), shall be assessed a minimum proposed civil penalty of $2,500. The proposed penalty shall be adjusted for Size, Good Faith, and History; however, an abatement credit shall not be granted. (4) For Violation of Permit or Registration Requirements. Any employer who violates the permit requirements of article 2, Permits -Excavations, Trenches, Construction and Demolition, and The Underground Use of Diesel Engines in Work in Mines and Tunnels, commencing with section 341 of Title 8 of the California Code of Regulations, or the Registration requirements of article 2.5, Registration -Asbestos-Related Work commencing with section 341.6 of Title 8 of the California Code of Regulations, shall be assessed a minimum proposed civil penalty of $1,250. The proposed penalty shall be adjusted for Size, Good Faith, and History; however, an abatement credit shall not be granted. (5) For Violation of Elevator Permit and Posting Requirements. Any person owning or having custody, management, or operation of an elevator who operates any such elevator without a valid permit, or who fails to post the permit as required, may be assessed a civil penalty pursuant to the provisions of this article of up to $1000. (6) For Failure to Report Serious Injury or Illness, or Death of an Employee - Any employer who fails to timely report an employee's injury or illness, or death, in vioaltion of section 342(a) of Title 8 of the California Code of Regulations, shall be assessed a minimum penalty of $5,000. (b) General Violation -Any employer who violates any occupational safety and health standard, order or special order and such violation is determined to be a General violation (as provided in section 334(b) of this article) may be assessed a civil penalty of up to $7000 for each such violation. Gravity of a General Violation -The Base Penalty of a General violation is determined by evaluating Severity (as provided in section 335(a)(1)(A) of this article). If the Severity is: LOW - The Base Penalty shall be $1,000. MEDIUM - The Base Penalty shall be $1,500. HIGH - The Base Penalty shall be $2,000. The Base Penalty for the General violation determined under this subsection is then subjected to an adjustment for Extent (as provided in section 335(a)(2) of this article). If the Extent is: LOW - 25% of the Base Penalty shall be subtracted. MEDIUM - No adjustment shall be made. HIGH - 25% of the Base Penalty shall be added. The Base Penalty for the General violation thus far determined is further subjected to an adjustment for Likelihood (as provided in section 335(a)(3) of this article). If Likelihood is: LOW - 25% of the Base Penalty shall be subtracted. MEDIUM - No adjustment shall be made. HIGH - 25% of the Base Penalty shall be added. The resulting figure is called the Gravity-based penalty. (c) Serious Violation (1) In General -Any employer who violates any occupational safety and health standard, order, or special order, and such violation is determined to be a Serious violation (as provided in section 334(c)(1) of this article) shall be assessed a civil penalty of up to $25,000 for each such violation. Because of the extreme gravity of a Serious violation an initial base penalty of $18,000 shall be assessed. The Base Penalty for the Serious violation determined under this subsection is then subjected to an adjustment for Extent (as provided in section 335(a)(2) of this article). If the Extent is: LOW - 25% of the Base Penalty shall be subtracted. MEDIUM - No adjustment shall be made. HIGH - 25% of the Base Penalty shall be added. The Base Penalty for the Serious violation thus far determined is further subjected to an adjustment for Likelihood (as provided in section 335(a)(3) of this article). If Likelihood is: LOW - 25% of the Base Penalty shall be subtracted. MEDIUM - No adjustment shall be made. HIGH - 25% of the Base Penalty shall be added. The resulting figure is called the Gravity-based penalty. (2) For Carcinogens -Any employer who violates any occupational safety and health standard, order, or special order respecting the use of a carcinogen, and such violation is determined to be a Serious violation (as provided in section 334(c)(4) of this article) shall be assessed a total civil penalty of $2000 for each such violation. This penalty is not subject to adjustment. (3) Serious Violation Causing Death or Serious Injury, Illness or Exposure -If the employer commits a Serious violation and the Division has determined that the violation caused death or serious injury, illness or exposure as defined pursuant to Labor Code section 6302, the penalty shall not be reduced pursuant to this subsection, except the penalty may be reduced for Size as set forth in subsection (d)(1) of this section. The penalty shall not exceed $25,000. (4) Operation of an Elevator in an Unsafe Condition or in Violation of an Order Prohibiting Use. Any person owning or having custody, management or operation of an elevator who operates or permits the operation of the elevator in a condition which is dangerous to life or the safety of any person, or who operates or permits the operation of the elevator in violation of any Order Prohibiting Use issued by the Division, may be assessed a civil penalty pursuant to the provisions of this article of up to $2000. (5) For Tower Cranes -Any employer who violates any tower crane standard, order or special order and such violation is determined to be a serious violation (as provided in section 334(c)(1) of this article) shall be assessed a penalty of $2,000. The penalty shall not be subject to adjustment as set forth in subsections (d) and (e) of this section. (d) Further Adjustment of Regulatory, General, and Serious Violations -Subject to the provisions of parts (5) through (9) of this subsection, the Gravity-based Penalty established under either subsection (a), (b) or (c) of this section, shall be appropriately adjusted by giving due consideration to the following factors: (1) The Size of the Business If the Size of the Business (as provided under section 335(b) of this article) is: 10 or fewer - 40% of the Gravity-based employees Penalty shall be subtracted. 11-25 - 30% of the Gravity-based employees Penalty shall be subtracted. 26-60 - 20% of the Gravity-based employees Penalty shall be subtracted. 61-100 - 10% of the Gravity-based employees Penalty shall be subtracted. More than - No adjustment shall be made. 100 employees (2) The Good Faith of the Employer -If the Good Faith of the Employer (as provided under section 335(c) of this article) is: GOOD - 30% of the Gravity-based Penalty shall be subtracted. FAIR - 15% of the Gravity-based Penalty shall be subtracted. POOR - No adjustment shall be made. (3) The History of Previous Violations -If the employer's History of Compliance (as provided under section 335(d) of this article) is: GOOD - 10% of the Gravity-based Penalty shall be subtracted. FAIR - 5% of the Gravity-based Penalty shall be subtracted. POOR - No adjustment shall be made. Following the preceding adjustments of the Gravity-based Penalty, the resultant penalty is termed Adjusted Penalty. (4) If an employer cited for a violation of a safety and health provision within title 8 of the California Code of Regulations was, at the time of citation, making a good faith effort to abate the alleged violation, pursuant to written recommendations of a Consultant of the CAL/OSHA Consultation Service, the following penalty adjustments may apply: (A) General Violation. All penalties assessed for such General violations may be waived by the Division. (B) Serious Violation. All penalties for such Serious violations may be subject to an additional adjustment reducing the proposed penalty 50%. (5) Serious Violations Respecting the Use of a Carcinogen -The penalty for any Serious violation respecting the use of a carcinogen as set forth in subsection (c)(2) of this section is not subject to adjustment pursuant to this subsection and shall not be otherwise reduced. (6) Regulatory Violations of the Permit and Registration Requirements -The minimum penalty for any Regulatory violation of the permit or registration requirements as set forth in subsection (a)(4) of this section is $250. (7) Serious Violations Causing Death or Serious Injury, Illness or Exposure - Subject to the provisions of subsection (c)(3) of this section, the penalty for any Serious violation determined by the Division to have caused death or serious injury, illness or exposure as defined pursuant to Labor Code section 6302, shall not be adjusted pursuant to this subsection, except for Size set forth in part (1) of this subsection. (8) Injury Prevention Program -The penalty for any Serious violation shall not be subject to adjustment pursuant to this subsection other than for Size as set forth in part (1) of this subsection where the employer does not have an operative injury prevention program as set forth in Labor Code section 6401.7 and applicable regulations of the California Occupational Safety and Health Standards Board. (9) False Declarations of Abatement -Subject to the provisions of subsection (e) of this section, where it is determined after reinspection that the employer has not complied with the abatement requirements of the Division and employer has previously submitted a statement affirming compliance therewith, the recomputed penalty shall not be adjusted pursuant to this subsection, except for Size as set forth in part (1) of this subsection. (10) No civil penalty shall be assessed against any new employer for a period of one year after the date the new employer establishes a business in the state for a regulatory or general violation of the Injury and Illness Prevention Program Standard adopted pursuant to Labor Code section 6401.7 and applicable regulations of the California Occupational Safety and Health Standards Board, if the employer has made a good faith effort to comply with the requirement set forth therein. (11) No civil penalty shall be assessed against an employer who adopts, posts, and implements in good faith the Model Injury and Illness Prevention Program for Non-High-Hazard Employment prepared by the Division for a first violation of the Injury and Illness Prevention Program standard adopted pursuant to Labor Code section 6401.7 and applicable regulations of the California Occupational Safety and Health Standards Board. (12) For an employer who commits a repeat violation (as provided under section 334(d) of this article), the penalty shall not be subject to adjustment pursuant to this subsection, other than for Size as set forth in part (1) of this subsection. (e) Abatement Credit for General and Serious Violations -The Adjusted Penalty for General and Serious violations is reduced by 50% on the presumption that the employer will correct the violations by the abatement date. The resultant penalty is termed Proposed Penalty. The following types of violations are not subject to an abatement credit: (1) Violations designated as Repeat or Willful; (2) Serious violations for which extent and likelihood are rated high; (3) Serious violations respecting the use of a carcinogen; and (4) Serious violation causing death or serious injury, illness or exposure as defined pursuant to Labor Code section 6302. (f) Penalty for Failure to Abate Regulatory, General or Serious Violations -If the employer fails to abate the violation by the date permitted for its correction or fails to submit to the Division a signed statement of abatement of a violation within ten working days of the date set by the Division for correction of the violative condition, any abatement credit extended pursuant to subsection (e) of this Section shall be rescinded and this amount assessed as part of the failure to abate penalty. In addition, a penalty shall be assessed that is based upon the initial Gravity-based penalty for each calendar day that the previously cited violation continues unabated after expiration of the abatement period. Subject to the provisions of part (1) hereof, the Gravity-based penalty is reduced by the reevaluated adjustment factors. The adjustment factors of Size, Good Faith, and History shall be determined by evaluation of the circumstances at the time of the subsequent inspection when the failure to abate is discovered. The daily additional penalty for failure to abate a violation shall not exceed $15,000. Limitations: (1) Except (A) where the gravity of the violation is high and exposure to employees is continuous, or (B) the employer has exhibited a high degree of negligence in failing to correct the violation, the daily penalty for failure to abate a Regulatory or General violation may be further reduced up to 90% for the first 120 days the violation continues to exist and up to 50% thereafter where the violation does not bear a direct relationship on employee health and safety. The daily penalty for a Serious violation may be reduced up to 50% where the adjustment factors calculated pursuant to subsection (c) of this section are Low and the History and Good Faith calculated pursuant to subsection (d) of this section are Good. (2) When a violation consisted of a number of instances and upon subsequent inspection some instances are found to have been abated and others have not, the daily penalty shall be calculated in proportion to the extent that the violation has been abated. (3) Failure to Abate a Serious Violation Causing Death or Serious Injury, Illness or Exposure -If the employer fails to abate a Serious violation and the Division has determined that the failure to abate caused death or serious injury, illness, or exposure as defined pursuant to Labor Code section 6302, the penalty shall not be adjusted pursuant to this subsection, except for Size as set forth in subsection (d)(1) of this section. (4) Failure to Abate a Serious Violation of Crane Standard, Order, or Special Order Causing Death or Serious Injury -If the employer fails to abate a serious violation of a crane standard, order, or special order and the Division has determined that the failure to abate caused death or serious injury as defined pursuant to Labor Code 6302, the penalty shall be $14,000 for each calendar day. The penalty is not subject to adjustment. (5) False Declaration of Abatement -If it is determined after reinspection that the employer has not complied with the abatement requirements of the Division, and the employer has previously submitted a statement affirming compliance therewith, the recomputed penalty shall not be adjusted pursuant to this subsection, except for Size pursuant to part (1) of subsection (d) of this section. (g) Repeat Violation - (1) In General -If a Regulatory, General, or Serious violation is repeated (as provided under section 334(d) of this article) the Proposed Penalty is adjusted upward as follows: 1st repeat - the Proposed Penalty is multiplied by two. 2nd repeat - the Proposed Penalty is multiplied by four. 3rd repeat - the Proposed Penalty is multiplied by ten. The resultant penalty shall not exceed $70,000. (2) For Carcinogens -If a Serious violation respecting the use of a carcinogen or a Regulatory violation concerning a reporting requirement respecting the use of a carcinogen is repeated (as provided in section 334(d) of this article), the total civil penalty shall be as follows: (A) For repeated Regulatory violations concerning a reporting requirement. 1st repeat - $5,000 2nd repeat - $10,000 3rd repeat - $20,000 (B) For repeated Serious violations respecting the use of a carcinogen. 1st repeat - $10,000 2nd repeat - $20,000 3rd repeat - $40,000 These penalties are not subject to adjustment. (3) Repeated Violation Causing Death or Serious Injury, Illness or Exposure - The computation of the Proposed Penalty for a repeated violation shall not be subject to reduction, other than the Size pursuant to part (1) of subsection (d) of this section, where the violation is determined by the Division to have caused death or serious injury, illness or exposure within the meaning of Labor Code section 6302. (h) Willful Violation -If a Regulatory, General, or Serious violation is determined to be willful (as provided under section 334(e) of this article) the Proposed Penalty is adjusted upward as follows: Regulatory, General and Serious -the Proposed Penalty is multiplied by five. However, the penalty for any willful violation shall not be less than $5,000 and shall not exceed $70,000. (1) Willful Violation Causing Death or Serious Injury, Illness or Exposure -The computation of the Proposed Penalty for a willful violation shall not be subject to reduction, other than the Size pursuant to part (1) of subsection (d) of this section, where the violation is determined by the Division to have caused death or serious injury, illness or exposure within the meaning of Labor Code section 6302. (i) Serious Repeated or Willful Repeated Violation of Crane Standard, Order, or Special Order Causing Death or Serious Injury -If the employer commits a serious repeated or willful repeated violation of a crane standard, order, or special order, and the Division has determined that the violation caused death or serious injury as defined pursuant to Labor Code 6302, the penalty shall be $140,000. This penalty is not subject to adjustment. (j) Rounding of the Fractions Amounts of the civil penalties are rounded down to the next whole dollar during the calculation stages, and final figures are adjusted downward to the next lower five dollar ($5) value. (k) Multiple Violations Pertaining To A Single Hazard. When a single hazard is the subject matter of multiple violations resulting in civil penalties, the Division may, in its discretion, depart from the preceding criteria to mitigate the cumulative effect of such penalties. (1) This subsection does not apply to any penalty assessed for a Serious, Willful or Repeated violation or a failure to abate a Serious violation where such violation or violations have been determined by the Division to have caused death or serious injury, illness or exposure pursuant to Labor Code section 6302. This subsection does not apply to any Regulatory, General or Serious violation where the employer does not have an operative injury prevention program as set forth in subsection (d) of this section. Note: Authority cited: Sections 54, 55, 6319, 6319.3, 6401.7 and 9060, Labor Code. Reference: Sections 6314.5, 6318, 6319, 6320, 6401.7, 6409.1, 6427-6432, 6434, 7320, 7321, 7321.5, 7381 and 9060, Labor Code. s 336.1. Single Violation. s 336.10. Determination of Citable Employer. On multi-employer worksites, both construction and non-construction, citations may be issued only to the following categories of employers when the Division has evidence that an employee was exposed to a hazard in violation of any requirement enforceable by the Division: (a) The employer whose employees were exposed to the hazard (the exposing employer); (b) The employer who actually created the hazard (the creating employer); (c) The employer who was responsible, by contract or through actual practice, for safety and health conditions on the worksite; i.e., the employer who had the authority for ensuring that the hazardous condition is corrected (the controlling employer); or (d) The employer who had the responsibility for actually correcting the hazard (the correcting employer). Note: The employers listed in subsections (b) through (d) may be cited regardless of whether their own employees were exposed to the hazard. Note: Authority cited: Sections 54 and 55, Labor Code. Reference: Sections 50.7, 6317, 6400, 6401, 6402, 6403, 6404, 6405, 6406 and 6407, Labor Code. s 336.11. Determination of Applicability of Defenses. Prior to issuing any citation to an exposing employer, the Division shall first determine whether available information indicates that the employer meets each of the defenses listed below. If the Division concludes that all five defenses have been met, the citation shall not be issued. These defenses are: (a) The employer did not create the hazard. (b) The employer did not have the responsibility or the authority to have the hazard corrected. (c) The employer did not have the ability to correct or remove the hazard. (d) The employer can demonstrate that the creating, the controlling and/or the correction employers, as appropriate, were specifically notified or were aware of the hazards to which his/her employees were exposed. (e) The employer took appropriate feasible steps to protect his/her employees from the hazard, instructed them to recognize the hazard and, where necessary, informed them how to avoid the dangers associated with it. For the purposes of this section, where an extreme hazard is involved, appropriate feasible steps include removing the employer's employees from the job, if there is no other way to protect them from the hazard. Note: Authority cited: Sections 54 and 55, Labor Code. Reference: Sections 50.7, 6317, 6400, 6401, 6402, 6403, 6404, 6405, 6406 and 6407, Labor Code. s 337. Development and Maintenance of List. (a) Establishment of Initial List. Substances designated in the sources specified in Labor Code section 6382(b) shall be considered in formulating the initial list. The Director shall presume all such substances to be potentially hazardous to human health when present occupationally except those which the Director determines do not pose any adverse acute or chronic risk to human health as present occupationally. Those substances which do not pose any risk shall be removed from the list. Evidence of risk shall include any immediate or long-term adverse effect which causes impairment of function, alteration of structure, or increased susceptibility to disease or contributes to adverse effects of other substances. In making a determination of risk, the Director shall consider available scientific data including, but not limited to, data from human epidemiological studies, data from short-term in vitro studies, and data from animal bioassay tests. Animal bioassay data is admissible and generally indicative of potential effects in humans. For purposes of this regulation, substances are present occupationally when there is a possibility of exposure either as a result of normal work operations or a reasonably foreseeable emergency resulting from workplace operations. A reasonably foreseeable emergency is one which a reasonable person should anticipate based on usual work conditions, a substance's particular chemical properties (e.g., potential for explosion, fire, reactivity), and the potential for human health hazards. A reasonably foreseeable emergency includes, but is not limited to, spills, fires, explosions, equipment failure, rupture of containers, or failure of control equipment which may or do result in a release of a hazardous substance into the workplace. (b) Administrative Procedure Followed by the Director for the Development of the Initial List. The Director shall hold a public hearing concerning the initial list. The record will remain open 30 days after the public hearing for additional written comment. Requests to exempt a substance in a particular physical state, volume, or concentration from the provisions of Labor Code sections 6390 to 6399.2 may be made at this time. If no comments in opposition to such a request are made at the public hearing or received during the comment period, or if the Director can find no valid reason why the request should not be considered, it will be incorporated during the Director's preparation of the list. After the public comment period the Director shall formulate the initial list and send it to the Standards Board for approval. After receipt of the list or a modified list from the Standards Board, the Director will adopt the list and file it with the Office of Administrative Law. (c) Concentration Requirement. In determining whether the concentration requirement of a substance should be changed pursuant to Labor Code section 6383, the Director shall consider valid and substantial evidence. Valid and substantial evidence shall consist of clinical evidence or toxicological studies including, but not limited to, animal bioassay tests, short-term in vitro tests, and human epidemiological studies. Upon adoption, a regulation indicating the concentration requirement for a substance shall consist of a footnote on the list. (d) Procedures for Modifying the List. The Director will consider petitions from any member of the public to modify the list or the concentration requirements, pursuant to the procedures specified in Government Code section 11347.1. With petitions to modify the list, the Director shall make any necessary deletions or additions in accordance with the procedures herein set forth for establishing the list. The Director will review the existing list at least every two years and shall make any necessary additions or deletions in accordance with the procedures herein set forth for establishing the list. (e) Criteria for Modifying the List. Petitions to add or remove a substance on the list, modify the concentration level of a substance, or reference when a particular substance is present in a physical state which does not pose any human health risk must be accompanied with relevant and sufficient scientific data which may include, but is not limited to, short-term tests, animal studies, human epidemiological studies, and clinical data. If the applicant does not include the complete content of a referenced study or other document, there must be sufficient information to permit the Director to identify and obtain the referenced material. The petitioner bears the burden of justifying any proposed modification of the list. The Director shall consider all evidence submitted, including negative and positive evidence. All evidence must be based on properly designed studies for toxicological endpoints indicating adverse health effects in humans, e.g., carcinogenicity, mutagenicity, neurotoxicity, organ damage/effects. For purposes of this regulation, animal data is admissible and generally indicative of potential effects in humans. The absence of a particular category of studies shall not be used to prove the absence of risk. Negative results generally indicate the absence of statistically positive results in appropriate studies. As all tests for toxicological effects have inherent insensitivities, negative results must be reevaluated in light of the limits of sensitivity of each study, its test design, and the protocol followed. In evaluating different results among proper tests, as a general rule, positive results shall be given more weight than negative results for purposes of including a substance on the list or modifying the list in reference to concentration, physical state or volume, so that appropriate information may be provided regarding those positive results. In each case, the relative sensitivity of each test shall be a factor in resolving such conflicts. Note: Authority cited: Section 6380, Labor Code. Reference: Sections 6361, 6380, 6380.5, 6382 and 6383, Labor Code. s 338. Special Procedures for Supplementary Enforcement of State Plan Requirements Concerning Proposition 65. (a) This section sets forth special procedures necessary to comply with the terms of the approval by the United States Department of Labor of the California Hazard Communication Standard, pertaining to the incorporation of the occupational applications of the California Safe Drinking and Toxic Enforcement Act (hereinafter Proposition 65), as set forth in 62 Federal Register 31159 (June 6, 1997). This approval specifically placed certain conditions on the enforcement of Proposition 65 with regard to occupational exposures, including that it does not apply to the conduct of manufacturers occurring outside the State of California. Any person proceeding "in the public interest" pursuant to Health and Safety Code s 25249.7(d) (hereinafter "Supplemental Enforcer") or any district attorney or city attorney or prosecutor pursuant to Health and Safety Code s 25249.7(c) (hereinafter "Public Prosecutor"), who alleges the existence of violations of Proposition 65, with respect to occupational exposures as incorporated into the California Hazard Communication Standard (hereinafter "Supplemental Enforcement Matter"), shall comply with the requirements of this section. No Supplemental Enforcement Matter shall proceed except in compliance with the requirements of this section. (b) 22 CCR s 12903, setting forth specific requirements for the content and manner of service of sixty-day notices under Proposition 65, in effect on April 22, 1997, is adopted and incorporated by reference. In addition, any sixty-day notice concerning a Supplemental Enforcement Matter shall include the following statement: "This notice alleges the violation of Proposition 65 with respect to occupational exposures governed by the California State Plan for Occupational Safety and Health. The State Plan incorporates the provisions of Proposition 65, as approved by Federal OSHA on June 6, 1997. This approval specifically placed certain conditions with regard to occupational exposures on Proposition 65, including that it does not apply to the conduct of manufacturers occurring outside the State of California. The approval also provides that an employer may use the means of compliance in the general hazard communication requirements to comply with Proposition 65. It also requires that supplemental enforcement is subject to the supervision of the California Occupational Safety and Health Administration. Accordingly, any settlement, civil complaint, or substantive court orders in this matter must be submitted to the Attorney General." (c) A Supplemental Enforcer or Public Prosecutor who commences a Supplemental Enforcement Matter shall serve a file-endorsed copy of the complaint upon the Attorney General within ten days after filing with the Court. (d) A Supplemental Enforcer or Public Prosecutor shall serve upon the Attorney General a copy of any motion, or opposition to a motion for summary judgment or summary adjudication of issues, a demurrer, motion for preliminary or injunctive relief, or other dispositive motion, and all memoranda of points and authorities in support of or opposing such motions. These materials shall be served upon the Attorney General on the same day which they are served on the opposing party. A Supplemental Enforcer or Public Prosecutor shall serve upon the Attorney General any decision or order of a court granting or denying summary adjudication, a demurrer, preliminary or final injunctive relief, penalties, or damages relating to a Supplemental Enforcement Matter within five working days after receipt. (e) A Supplemental Enforcer or Public Prosecutor who agrees to a settlement of a Supplemental Enforcement Matter shall serve the settlement upon the Attorney General within two working days after the agreement is signed by the parties. Where the settlement is submitted to a court for its approval, the Supplemental Enforcer or Public Prosecutor shall notify the court in writing upon presentation of the settlement of its submission to the Attorney General pursuant to this regulation. The submission to the Attorney General shall contain the entire agreement between the parties. (f) When this section requires that any document or information be provided to the Attorney General, service shall be in a manner prescribed by Code of Civil Procedure s 1010 et seq. The envelope in which the document is transmitted shall state prominently "Hazard Communication Standard/Proposition 65 Supplemental Enforcement Matter." The Attorney General may then specify that further documents be served upon a particular office and deputy. (g) The special procedures set forth in subsections (a) through (f) shall be followed for motions or other applications for judicial enforcement of any existing or future settlement agreements pertaining to Proposition 65, with reference to occupational exposures. (h) Where, in the judgment of the Director and the Attorney General, a Supplemental Enforcer or Public Prosecutor has not complied with the provisions of this section, or the provisions of the OSHA approval decision of June 6, 1997, the Attorney General may seek to intervene in the action, or take such actions within his authority as he deems appropriate to assure compliance. Note: Authority cited: Sections 54, 55 and 6380, Labor Code; and 62 Fed. Reg. 31159 (June 6, 1997). Reference: Sections 54, 55 and 6380, Labor Code; and 62 Fed. Reg. 31159 (June 6, 1997). s 339. The Hazardous Substances List. (a) Purpose. The following is the List of Hazardous Substances prepared by the Director pursuant to Labor Code Section 6380. The substances on this list are subject to the provisions of Labor Code Sections 6360 through 6399.7 and Section 5194 in Title 8 of the California Code. (b) Definitions. (1) CAS number means the unique identification number assigned by the Chemical Abstracts Service to specific chemical substances. (2) Source means the sublists which the Director used in preparing the Hazardous Substances List pursuant to Labor Code 6382. The source(s) of each hazardous substance on the list is designated by a number in the middle column of the list. The numbers represent the following sources: (1) International Agency for Research on Cancer (IARC); (2) Environmental Protection Agency lists pursuant to the Clean Air and Clean Water Acts; (3) General Industry Safety Order Section M155; (4) California Department of Pesticide Regulation's list of Restricted Materials; (5) Information Alerts put out by the Hazard Evaluation and Information Service pursuant to Labor Code Section 147.2. (3) Synonym means an entry in the list which refers to another entry. This type of entry may identify alternate names for a given substance or associate a particular substance with a class of substances. Synonyms appear in the list as entries of the form: Substance x; see Substance y. The synonym entries included in this list are not all inclusive. HAZARDOUS SUBSTANCES LIST [FNa1] [FNa1] An MSDS is not required for tapes, films, or extruded, molded or coated products containing listed hazardous substances in bound form except when these substances can be released in the workplace under normal conditions of work or in reasonably foreseeable emergencies resulting from workplace operations. CAS No. Source Substance Footnotes 26148685 1 A-alpha-C (2-Amino-9H pyrido[2,3-b]indole) 3688537 1 AF-2 ([2-(2-Furyl)-3 (5-nitro-2-furyl)] acrylamide) 86884 3 ANTU; see 1-(1-Naphthyl)-2 thiourea 83329 2 Acenaphthene 75070 1,2,3 Acetaldehyde 60355 1 Acetamide 64197 2,3 Acetic acid [FN1] 108247 2,3 Acetic anhydride 67641 3 Acetone 75865 2 Acetone cyanohydrin 75058 3 Acetonitrile 81812 3 3-(alpha-Acetonylbenzyl)-4 hydroxycoumarin; see Warfarin CAS No. Source Substance Footnotes 53963 3 2-Acetylaminofluorene 506967 2 Acetyl bromide 79367 2 Acetyl chloride 74862 3 Acetylene 540590 2,3 Acetylene dichloride 79276 3 Acetylene tetrabromide 79345 1,3 Acetylene tetrachloride 50782 3 Acetylsalicylic acid [FN37] 107028 2,3,4 Acrolein 79061 1,3 Acrylamide 79107 3 Acrylic acid 107131 1,2,3,4 Acrylonitrile 50760 1 Actinomycin D 124049 2 Adlpic acid 23214928 1 Adriamycin 1 Aflatoxins 116063 4 Aldicarb 51285 2 Aldifen; see Dinitrophenols 309002 1,2,3,4 Aldrin 107186 2,3,4 Allyl alcohol 107051 2,3 Allyl chloride 106923 3 Allyl glycidyl ether [FN12] 57067 1 Allyl isothiocyanate 2835394 1 Allyl isovalerate 2179591 3 Allyl propyl disulfide 3 Aluminum [FN3] 3 Aluminum, alkyls 7429905 3 Aluminum metal and oxide 20859738 4 Aluminum phosphide 3 Aluminum pyro powders 3 Aluminum, soluble salts [FN2] 10043013 2 Aluminum sulfate; see Aluminum, soluble salts 117793 1 2-Aminoanthraquinone 60093 1 para-Aminoazobenzene 97563 1 o-Aminoazotoluene 1300738 3 Aminodimethylbenzene; see Xylidine 92671 1,3 4-Aminodiphenyl [FN31] 75047 2 Aminoethane; see Ethylamine 141435 3 2-Aminoethanol; see Ethanolamine 82280 1 1-Amino-2-methylanthraquinone 91598 3 2-Aminonaphthalene; see beta-Naphthylamine 712685 1 2-Amino-5-(5-nitro-2furyl)-1,3,4-thiadiazole 121664 1 2-Amino-5-nitrothiazole 504290 3 2-Aminopyridine 504245 4 4-Aminopyridine 1918021 4 4-Amino-3,5,6-trichloropicolinic acid; see Picloram 2432997 1 11-Aminoundecanoic acid 61825 1,3 Amitrole 7773060 2 Ammate; see Ammonium sulfamate 7664417 2,3 Ammonia 631618 2 Ammonium acetate 1863634 2 Ammonium benzoate 1066337 2 Ammonium bicarbonate 7789095 2 Ammonium bichromate; see Chromium compounds 1341497 2 Ammonium bifluoride; see Flouride and inorganic fluoride compounds 10192300 2 Ammonium bisulfite 1111780 2 Ammonium carbamate 506876 2 Ammonium carbonate 3012655 2 Ammonium citrate dibasic 12125029 2,3 Ammonium chloride fume 7788989 2 Ammonium chromate; see Chromium compounds 13826830 2 Ammonium fluoborate 12125018 2 Ammonium fluoride; see Fluoride, and inorganic fluoride compounds 1336216 2 Ammonium hydroxide [FN29] 6009707 2 Ammonium oxalate 16919190 2 Ammonium silicofluoride 7773060 2,3 Ammonium sulfamate 12135761 2 Ammonium sulfide 10196040 2 Ammonium sulfite 3164292 2 Ammonium tartrate 1762954 2 Ammonium thiocyanate CAS No. Source Substance Footnotes 628637, 123922, 2,3 Amyl acetate, all isomers 626380, 625161 1 Anabolic steroids (Androgenic steroids) 62533 1,2,3 Aniline 90040 1,3 o-Anisidine 104949 3 p-Anisidine 191264 1 Anthanthrene 120127 2 Anthracene 7440360 2,3 Antimony [FN3] 2,3 Antimony compounds [FN4] 7647189 2 Antimony pentachloride; see Antimony compounds 28300745 2 Antimony potassium tartrate; see Antimony compounds 7789619 2 Antimony tribromide; see Antimony compounds 10025919 2 Antimony trichloride; see Antimony compounds 77883564 2 Antimony trifluoride; see Antimony compounds 1309644 2 Antimony trioxide 140578 1 Aramite [; see 2-(p-tert Butyphenoxy)isopropyl-2 chloroethyl sulfite) 7440382 1,2,3,4 Arsenic and arsenic compounds [FN32] 1303328 2 Arsenic disulfide; see Arsenic and arsenic compounds 1303282 1,2 Arsenic pentoxide; see Arsenic and arsenic compounds 1327533 1,2 Arsenic trioxide; see Arsenic and arsenic compounds 1303339 1,2 Arsenic trisulfide; see Arsenic and arsenic compounds 784421 3 Arsine 1332214 1,2,3 Asbestos [FN5$] 8052424 3 Asphalt (petroleum) fumes [FN6] 50782 3 Aspirin; see Acetylsalicylic acid 1912249 1,3,4 Atrazine 12174117 1 Attapulgite 492808 1 Auramine 12192573 1 Aurothioglucose 320672 1 5-Azacytidine 115026 1 Azaserine 446866 1 Azathioprine 86500 2,3,4 Azinphos methyl; see O,O-Dimethyl S-(4-oxo benzotri-azino-3-methyl) phosphorodithioate 151564 1 Aziridine; see Ethyleneimine 1072522 1 2-(1-Aziridinyl)ethanol 800248 1 Aziridyl benzoquinone 103333 1 Azobenzene 3333526 3 2,2 ' -Azobisisobutyronitrile decomposition product; see Tetramethyl succinonitrile 6923224 4 Azodrin; see 3-(Dimethoxyphosphinyloxy)-N methyl-cis-crotonamide 154938 1 BCNU; see 1,3-bis (2-Chloroethyl)-1-nitrosourea 2426086 3 BGE; see n-Butyl glycidyl ether 58899 2 BHC; see Hexachlorocyclohexanes 319846 2 alpha-BHC 319857 2 beta-BHC 319869 2 delta-BHC 58899 2 gamma-BHC; see Lindane 86884 3 Bantu; see 1-(1-Naphthyl)-2-thiourea 101279 2 Barban 2,3 Barium, soluble compounds [FN2] 542621 2 Barium cyanide; see Cyanides, inorganic salts 17804352 3 Benomyl 25057890 4 Bentazon 225514 1 Benz[c]acridine 56553 1,2 Benz [a]anthracene 56553 2 1,2-Benzanthracene; see Benz[a]anthracene 71432 1,2,3 Benzene CAS No. Source Substance Footnotes 108907 2,3 Benzene chloride; see Chlorinated benzenes 123319 3 1,4-Benzenediol; see Hydroquinone 108463 2 1,3-Benzenediol; see Resorcinol 118741 1,4 Benzene hexachloride; see Chlorinated benzenes 531851, 531862, 1,2,3 Benzidine (and its salts) [FN31] 92875 1 Benzidine-based dyes 205992 1,2 Benzo [b]fluoranthene 205823 1 Benzo[i[fluoranthene 207089 1,2 Benzo[k]fluoranthene 207089 2 11,12 Benzofluoranthene; see Benzo[k]fluoranthene 205992 2 3,4 Benzofluoranthene; see Benzo[b]fluoranthene 65850 2 Benzoic Acid [FN7] 71432 3 Benzol; see Benzene 100470 2 Benzonitrile 191242 2 1,12-Benzoperylene 191242 2 Benzo(ghi)perylene; see 1,12-Benzoperylene 50328 1,2 Benzo [a]pyrene 91225 2 Benzo(b)pyridine; see Quinoline 105113 1 para-Benzoquinone dioxime 106514 3 p-Benzoquinone; see Quinone 98077 1 Benzotrichloride 98884 2 Benzoyl chloride 94360 3 Benzoyl peroxide 140114 1 Benzyl acetate 100447 1,2,3 Benzyl chloride 1694093 1 Benzyl violet 4B 7440417 1,2,3 Beryllium [FN34] 7787475 1,2 Berrylium chloride; see Beryllium compounds 1,2,3 Beryllium compounds 7787497 1,2 Beryllium fluoride; see Beryllium compounds 7787555 2 Beryllium nitrate; see Beryllium compounds 141662 4 Bidrin; see 3-Hydroxy N,N-dimethyl-cis-crotonamide dimethyl phosphate 92524 3 Biphenyl 2168685 1 Bis(1-aziridinyl)morpholinophosphine sulphide 111911 2 Bis(2-chloroethoxy) methane 111444 2,3 Bis(2-chloroethyl)ether; see Chloroalkyl ethers 494031 1 N,N-Bis(2-chloroethyl)-2 -naphthylamine 154938 1 1,3-Bis(2-chloroethyl)-1 -nitrosourea 154938 1 Bischloroethyl nitrosourea; see 1,3-Bis(2-chloroethyl) 1-nitrosourea 13483186 1 1,2-Bis(chloromethoxy)ethane 56894981 1 1,4-Bis(chloromethoxymethyl)benzene 542881 1,3 Bis(chloromethyl) ether 108601 1 Bis(2-chloro-1-methylethyl) ether 108601 2 Bis(2-chloroisopropyl) ether 115322 1,2 1,1-Bis-(p-chlorophenyl)-2,2,2- trichloroethanol(dicofol) 137268 3 Bis-(dimethylthiocarbamoyl) disulfide 2238075 3 Bis(2,3-epoxypropyl)ether; see Diglycidyl ether 117817 2 Bis(2-ethylhexyl) phthalate; see Phthalate esters 1304821 3 Bismuth telluride; see Tellurium compounds 11056067 1 Bleomycins 129179 1 Blue VRS 3 Borates, tetra, sodium salts [FN8] 1303862 3 Boron oxide [FN8] 10294334 3 Boron tribromide 7637072 3 Boron trifluoride 3844459 1 Brilliant Blue FCF 314409 3 Bromacil 7726956 3 Bromine 7789302 3 Bromine pentafluoride 74975 3 Bromochloromethane 75274 2 Bromodichloromethane 74964 3 Bromoethane; see Ethyl bromide 593602 3 Bromoethylene; see Vinyl bromide 75252 2,3 Bromoform CAS No. Source Substance Footnotes 74839 3 Bromomethane; see Methyl bromide 101553 2 4-Bromophenyl phenyl ether 75638 3 Bromotrifluoromethane 1689845 4 Bromoxynil 106990 1,2,3 1,3-Butadiene 106978 3 Butane 55981 1 1,4-Butanediol dimethanesulfonate (Busulfan) 109795 3 Butanethiol; see n-Butyl mercaptan 71363 3 Butanol; see Butyl alcohol 78933 3 2-Butanone 123739 2 2-Butenal propylene aldehyde; see Crotonaldehyde 2426086 3 1-Butoxy-2,3-epoxypropane; see n-Butyl glycidyl ether 111762 3 2-Butoxyethanol; see Ethylene glycol monobutyl ether 123864, 2,3 Butyl acetate, all isomers 105464, 540885, 110190 141322 3 Butyl acrylate 71363, 3 Butyl alcohol 78922, 75650 109739, 2,3 Butylamine, all isomers 78819, 513495, 13952846, 75649 25013165 1 Butylated hydroxyanisole 128370 1 Butylated hydroxytoluene; see 2,6-Di tert-butyl-p-cresol 85687 2 Butyl benzyl phthalate 299865 3 4-tert-Butyl-2-chlorophenylmethyl methylphosphoramidate 1189851 3 tert-Butyl chromate; see Chromium compounds 2426086 3 n-Butyl glycidyl ether [FN12] 138227 3 n-Butyl lactate 109795 3 n-Butyl mercaptan 89725 3 o-sec-Butylphenol 140578 1 2-(p-tert-Butylphenoxy)isopropyl 2-chloroethyl sulfite 84742 2 n-Butyl phthalate; see Phthalate esters 98511 3 p-tert-Butyltoluene 107926 2 Butyric acid 3068880 1 beta-Butyrolactone 13010474 1 CCNU; see 1-(2-Chloroethyl)-3 cyclohexyl-1-nitrosourea 543908 1,2 Cadmium acetate; see Cadmium compounds 7440439, 1306190 1,2,3,4 Cadmium and cadmium oxide [FN3] 7789426 2 Cadmium bromide; see Cadmium compounds 10108642 1,2 Cadmium chloride; see Cadmium compunds 1,2,3,4 Cadmium compounds 7440702 2 Calcium 7778441 1,2,3 Calcium arsenate; see Arsenic and arsenic compounds 52740166 2 Calcium arsenite; see Arsenic and arsenic compounds 75207 2 Calcium carbide 13765190 1,2 Calcium chromate; see Chromium compounds 156627 3 Calcium cyanamide 592018 2,4 Calcium cyanide; see Cyanides, inorganic salts 26264062 2 Calcium dodecylbenzene-sulfonate [FN9] 1305620 3 Calcium hydroxide 7778543 2 Calcium hypochlorite 1305788 3 Calcium oxide 76222 3 Camphor 56257 1 Cantharidin 105602 3 Caprolactam 2425061 1,3 Captafol 133062 1,2,3 Captan 63252 2,3,4 Carbaryl 86748 1 Carbazole 7786347 2,3,4 alpha-2-Carbomethoxy-1-methylvinyl dimethyl phosphate(mevinphos) 7786347 3 2-Carbomethoxy-l-propen-2-yl dimethyl phosphate; see alpha-2 Carbomethoxy-l-methylvinyl dimethyl phosphate 75150 2,4 Carbon bisulfide; see Carbon disulfide 1333864 1,3 Carbon black-Extracts [FN10] CAS No. Source Substance Footnotes 124389 3 Carbon dioxide 75150 2,3,4 Carbon disulfide 630080 3 Carbon monoxide 558134 3 Carbon tetrabromide 56235 1,2,3,4 Carbon tetrachloride 75445 2,3 Carbonyl chloride; see Phosgene 353504 3 Carbonyl Fluoride 786196 4 Carbophenothion 154938 1 Carmoisine; see 1,3-Bis(2-chloro ethyl)-1-nitrosourea 120809 3 Catechol 1310732 3 Caustic soda; see Sodium hydroxide 110805 5 Cellosolve; see Ethylene glycol mono #yl ether 21351791 3 Cesium hydroxide 305033 1 Chlorambucil 56757 1 Chloramphenicol 57749 1,2,3,4 Chlordane 143500 1,2 Chlordecone 6164983 4 Chlordimeform 115286 1 Chlorendic acid 470906 4 Chlorfenvinphos 1,2,3 Chlorinated benzenes 8001352 3 Chlorinated camphene; see Toxaphene 2 Chlorinated cresols 55720995 3 Chlorinated diphenyl oxide 2 Chlorinated ethanes 2 Chlorinated naphthalenes, (other than those listed elsewhere) 108171262 1 Chlorinated paraffins 2 Chlorinated phenols; see Chlorinated cresols 1 a-Chlorinated toluenes 7782505 2,3 Chlorine 10049044 3 Chlorine dioxide 7790912 3 Chlorine trifluoride 494031 1 Chlornaphazine; see N,N-bis(2 Chloroethyl)-2-naphthylamine 107200 3 Chloroacetaldehyde 532274 3 alpha-Chloroacetophenone 79049 3 Chloroacetyl chloride 1,2,3 Chloroalkyl ethers 108907 2,3 Chlorobenzene; see Chlorinated benzenes 510156 1 Chlorobenzilate 2698411 3 o-Chlorobenzylidene-malononitrile 74975 3 Chlorobromomethane; see Bromochloromethane 126998 3 2-Chloro-1,3-butadiene; see Chloroprene 124481 2 Chlorodibromomethane 75456 1,3 Chlorodifluoromethane (FC-22) 53449219 3 Chlorodiphenyl; see Polychlorobiphenyls 106898 3 1-Chloro-2,3,-epoxypropane; see Epichlorohydrin 75003 2,3 Chloroethane; see Ethyl chloride 107073 3 2-Chloroethanol; see Ethylene chlorohydrin 13010474 1 1-(2-Chloroethyl)-3-cyclohexyl-1nitrosourea 75014 3 Chloroethylene; see Vinyl chloride 13909096 1 1-(2-Chloroethyl)-3-(4-methycyclo hexyl)-1-nitrosourea (Methyl -CCNU) 110758 2 2-Chloroethyl vinyl ether 593704 1 Chlorofluoromethane 67663 1,2,3 Chloroform 75445 2 Chloroformyl chloride; see Phosgene 59507 2 para-Chloro-meta-cresol 74873 3 Chloromethane; see Methyl chloride 107302 3 Chloromethyl methyl ether; see Methyl chloromethyl ether 91587 2 2-Chloronaphthalene 100005 3 1-Chloro-4-nitrobenzene; see p Nitrochlorobenzene 600259 3 1-Chloro-1-nitropropane 76153 3 Chloropentafluoroethane 95578 2 2-Chlorophenol; see Chlorophenols 1 Chlorophenols 1 Chlorophenoxy herbicides 95830 1 4-Chloro-o-phenylenediamine 7005723 2 4-Chlorophenyl phenyl ether 76062 3,4 Chloropicrin 126998 2,3 Chloroprene CAS No. Source Substance Footnotes 1331288 3 o-Chlorostyrene 7790945 2 Chlorosulfonic acid 1897456 1 Chlorothalonil 95498 3 o-Chlorotoluene 100447 3 alpha-Chlorotoluene; see Benzyl chloride 95692 1 p-Chloro-o-toluidine 7745893 4 3-Chloro-p-toluidine hydrochloride 1929824 3 2-Chloro-6-(trichloromethyl) pyridine 75887 1 2-Chloro-1,1,1-trifluoroethane 2921882 2,3 Chlorpyrifos 1066304 2 Chromic acetate; see Chromium compounds 11115745 2 Chromic acid; see Chromium compounds 10101538 2 Chromic sulfate; see Chromium compounds 7440473 2,3 Chromium [FN3] 1,2,3 Chromium compounds 7440473 3 Chromium metal; see Chromium 11115745 2 Chromium troixide; see Chromium compounds 10049055 2 Chromous chloride; see Chromium compounds 14977618 3 Chromyl chloride; 218019 1,2 Chrysenes; see Polynuclear aromatic hydrocarbons 532821 1 Chrysoidine 87296 1 Cinnamyl anthranilate 108316 2,3 Cis-butenedioic anhydride; see Maleic anhydride 15663271 1 Cisplatin 51875 1 Citrinin 6358538 1 Citrus Red no. 2 637070 1 Clofibrate 1420048 4 Clonitralid 2971906 3 Clopidol 3 Coal (Bituminous) dust 65996932 1 Coal-tar pitches 8007452 1,3 Coal tar pitch volatiles [FN11] 7440484 2,3 Cobalt [FN3], [FN34] 10210681 3 Cobalt carbonyl 16842038 3 Cobalt hydrocarbonyl 7789437 2 Cobaltous bromide 544183 2 Cobaltous formate 14017415 2 Cobaltous sulfamate 62748 4 Compound 1080; see Sodium fluoroacetate 7440508 2,3 Copper [FN3] 2,3 Copper compounds [FN39] 3 Cotton dust [FN27] 56724 2 Coumaphos 91645 1 Coumarin 8001589 1 Creosotes 120718 1 p-Cresidine 95487, 106445, 2,3 Cresol (all isomers) 108394,1319773 123739 2,3 Crotonaldehyde 299865 3 Crufomate; see 4-tert-Butyl (-2-chlor ophenylmethyl) methylphos phoramidate 98828 3 Cumene 142712 2 Cupric acetate; see Copper compounds 12002038 2 Cupric acetoarsenite; see Copper compounds 7447394 2 Cupric chloride; see Copper compounds 3251238 2 Cupric nitrate; see Copper compounds 5893663 2 Cupric oxalate; see Copper compounds 10380297 2 Cupric sulfate, ammoniated; see Copper compounds 7758987 2 Cupric sulfate; see Copper compounds 815827 2 Cupric tartrate; see Copper compounds 420042 3 Cyanamide 2,3,4 Cyanides, inorganic salts 100470 2 Cyanobenzene; see Benzonitrile 460195 3 Cyanogen 506774 2,3 Cyanogen chloride 14901087 1 Cycasin 1 Cyclamates 110827 2,3 Cyclohexane 108930 3 Cyclohexanol 108941 3 Cyclohexanone 110838 3 Cyclohexene 66819 4,5 Cycloheximide 108918 3 Cyclohexylamine CAS No. Source Substance Footnotes 121824 3 Cyclonite; see Cyclotrimethylenetrinitramine 542927 3 Cyclopentadiene 12079651 3 Cyclopentadienyltriocarbonyl manganese; see Manganese compounds 287923 3 Cyclopentane 27208373 1 Cyclopenta[c,d]pyrene 50180 1 Cyclophosphamide 6055192 121824 3 Cyclotrimethylene-trinitramine 13121705 3 Cyhexatin; see Tin compounds 94757 2,3,4 2,4-D 94111, 2 2,4-D esters (2,4-dichloro 94791, 94804, 1320189, phenoxyacetic acid esters) 1928387, 1928616, 1929733, 2971382, 25168267, 53467111 94826 4 2,4-DB (2,4-dichloro- phenoxybutyric acid) 72548 2,4 DDD; see TDE 72548 2 4,4-DDD; see TDE 72559 2 DDE; see 1,1-Dichloro-2,2-bis(p chlorophenyl)-ethylene 72559 2 4,4-DDE; see 1,1-Dichloro-2,2-bis(p chlorophenyl)-ethylene 120365 4 2,4-DP (2,4-dichlorophenoxy-propionic acid) 50293 1,2,3,4 DDT-(1,1,1-trichloro-2,2-bis (p-chlorophenyl)ethane) 50293 2 4,4-DDT; see DDT 62737 3 DDVP; see Dichlorvos 78488 4 DEF; see S,S,S Tributyl phosphorotrithioate 2238075 3 DGE; see Diglycidyl ether 68122 3 DMF; see N,N-Dimethylformamide 57147 3 DMH; see Dimethylhydrazine (all isomers) 81889 1 D&C Red No. 19; see Rhodamine B 432034 1 Dacarbazine 80080 1 Dapsone 115902 4 Dasanit; see O,O-Diethyl O-[4 (methylsulfinyl) phenyl] phosphorothioate 20830813 1 Daunomycin 17702419 3 Decaborane 8065483 3,4 Demeton 298033 2 Demeton-O 126750 2 Demeton-S 123422 3 Diacetone alcohol; see 4-Hydroxy 4-methyl-2-pentanone 613354 1 N,N ' -Diacetylbenzidine 10311849 4 Dialifor 2303164 1 Diallate 615054 1 2,4-Diaminoanisole 39156417 1 2,4-Diaminoanisole sulfate 92875 3 4,4 ' -Diaminobiphenyl; see Benzidine (and its salts) 91941 3 4,4 ' Diamino-3,3 ' -dichlorobiphenyl; see Dichlorobenzidine and its salts 101814 1 4,4 ' -Diaminodiphenyl ether 107153 2,3 1,2-Diaminoethane; see Ethylenediamine 95807 1 2,4-Diaminotoluene 119904 1 ortho-Dianisidine; see 3,3-Dimethoxy benzidine 333415 2,3 Diazinon 334883 1,3 Diazomethane 226368 1 Dibenz [a,h]acridine 224420 1 Dibenz [a,j]acridine 53703 1,2 Dibenz [a,h]anthracene 215587 1 Dibenz[a,c]anthracene 224419 1 Dibenz[a,j]anthracene 53703 2 1,2,5,6-Dibenzanthracene; see Dibenz[a,h] anthracene 1,2 Dibenzanthracenes; see Polynuclear aromatic hydrocarbons 194592 1 7H-Dibenzo [c,g]carbazole 5385751 1 Dibenzo[a,e]fluoranthene 192472 1 Dibenzo[h,rst]pentaphene 192654 1 Dibenzo [a,e]pyrene 189640 1 Dibenzo [a,h]pyrene 189559 1 Dibenzo [a,i]pyrene 191300 1 Dibenzo[a,l]pyrene 92842 3 Dibenzothiazine; see Phenothiazine CAS No. Source Substance Footnotes 94360 3 Dibenzoyl Perozide; see Benzoyl peroxide 19287457 3 Diborane 300765 2 Dibrom; see O,O-Dimethyl O (1,2-dibromo-2,2-dichloroethyl) phosphate 96128 1,3 1,2-Dibromo-3-chloropropane 75616 3 Dibromodifluoromethane 106934 2,3 1,2-Dibromoethane; see Ethylene dibromide 102818 3 2-(Dibutylamino) ethanol 128370 1,3 2,6-Di-tert-butyl-p-cresol [FN7] 107664 3 Dibutyl phosphate 84742 3 Dibutyl phthalate; see Phthalate esters 84742 2 Di-n-butyl phthalate; see Phthaltate esters 1918009 2,4 Dicamba 1194656 2 Dichlobenil 117806 2 Dichlone 7572294 1,3 Dichloroacetylene 541731 2 m-Dichlorobenzene 106467 1,2,3 p-Dichlorobenzene 95501 2,3 o-Dichlorobenzene 95501 2 1,2-Dichlorobenzene; see o Dichlorobenzene 541731 2 1,3-Dichlorobenzene; see m Dichlorobenzene 106467 2 1,4-Dichlorobenzene; see p Dichlorobenzene 225321226 1,2,3 Dichlorobenzenes; see Chlorinated benzenes 1,2,3 Dichlorobenzidine (and its salts) 91941 1,2,3 3,3 ' -Dichlorobenzidine; see Dichlorobenzidene (and its salts) 72548 2 1,1-Dichloro-2,2-bis(p-chlorophenyl) ethane; see TDE 72559 2,4 1,1-Dichloro-2,2-bis (p-chlorophenyl) ethylene 75274 2 Dichlorobromomethane; see Bromodichloromethane 28434868 1 3,3 ' -Dichloro-4,4 ' -diaminodiphenyl ether 75718 3 Dichlorodifluoromethane (FC-12) 118525 3 1,3-Dichloro-5,5-dimethyl-hydantoin 107062 1,2 1,2-Dichloroethane; see Ethylene dichloride 75343 2,3 1,1-Dichloroethane; see Ethylidene chloride 156605 2 1,2-trans-Dichloroethylene 540590 2,3 1,2-Dichloroethylene; see Acetylene dichloride 75354 2,3 1,1 Dichloroethylene; see Vinylidene chloride 111444 ,1,3 Dichloroethyl ether; see Chloroaikyl ethers 75092 3 Dichloromethane; see Methylene chloride 75434 3 Dichloromonofluoromethane (FC-21) 117806 2 Dichloronaphthoquinone; see Dichlone 594729 3 1,1-Dichloro-1-nitroethane 120832 2 2,4-Dichlorophenol 94757 2,3,4 2,4-Dichlorophenoxyacetic acid; see 2,4-D 609201 1 2,6-Dichloro-para-phenylenediamine 1836755 1,4 2,4-Dichlorophenyl p-nitrophenyl ether 26638197, 1,2,3 Dichloropropanes 78875, 142289, 78999 78875 1,2 1,2-Dichloropropane; see Dichloropropanes 8003198 2 Dichloropropene-dichloropropane (mixture) 26952238, 1,2,3,4 Dichloropropenes 542756, 78886 709988 4 3,4-Dichloropropionanilide; see Propanil 75990 2,3 2,2-Dichloropropionic acid 8003198 2 1,2-Dichloropropylene 76142 3 1,2-Dichloro-1,1,2,2-tetrafluoro-ethane (FC-114) 62737 2 2,2-Dichlorovinyl dimethyl phosphate; see Dichlorvos 62737 1,2,3 Dichlorvos 102307, 2 Dicloran 99309 115322 1,2 Dicofol; see 1,1-Bis(p-chlorophenyl)-2, 2,2-trichloroethanol [Note: The following TABLE/FORM is too wide to be displayed on one screen. You must print it for a meaningful review of its contents. The table has been divided into multiple pieces with each piece containing information to help you assemble a printout of the table. The information for each piece includes: (1) a three line message preceding the tabular data showing by line # and character # the position of the upper left-hand corner of the piece and the position of the piece within the entire table; and (2) a numeric scale following the tabular data displaying the character positions.] ******************************************************************************* ******** This is piece 1. -- It begins at character 1 of table line 1. ******** ******************************************************************************* CAS No. Source Substance 5124301 3 Dicyclohexylmethane-4,4 ' - diisocyanate 77736 3 Dicyclopentadiene 102545 3 Dicyclopentadienyl iron 60571 1,2,3,4 Dieldrin 84173 1 Dienestrol 1464535 1 Diepoxybutane 111422 3 Diethanolamine 109897 2,3 Diethylamine 100378 3 2-(Diethylamino)ethanol 12391 3 1,4-Diethylene dioxide; see p-Dioxane 111400 3 Diethylenetriamine 60297 3 Diethyl ether; see Ethyl ether 298044 3 O,O-Diethyl S-2-(ethylthio)ethyl phosphorodithioate; see Disulfoton 298022 3 O,O-Diethyl S-(ethylthio)methyl phosphorodithioate; see Phorate 103231 1 Di(2-ethylehexyl)adipate 117817 1 Di-(2-ethylhexyl) phthalate; see Phthalate esters 1615801 1 1,2-Diethylhydrazine 333415 3 O,O-Diethyl O-(2-isopropyl-6-methy 4-pyrimidinyl phosphorothioate; see Diazinon 96220 3 Diethyl ketone 115902, 115913 3,4 O,O-diethyl O-[4-(methylsufiny) phenyl] phosphorothioate (fensulfothion) 56382 3 O,O-Diethyl O-(p-nitrophenyl) phosphorothioate; see Parathion 84662 2,3 Diethyl phthalate; see Phthalate esters 56531 1 Diethylstilbestrol 64675 1 Diethyl sulfate 75616 3 Difluorodibromomethane; see Dibromodifluoromethane 2238075 3 Diglycidyl ether 101906 1 Diglycidyl resorcinol ether 1...+...10....+...20....+...30....+...40....+...50....+...60....+...70....+.... ******************************************************************************* ******* This is piece 2. -- It begins at character 80 of table line 1. ******** ******************************************************************************* Footnotes [FN12] 80..+...90....+....0....+ ******************************************************************************* ******* This is piece 3. -- It begins at character 1 of table line 38. ******** ******************************************************************************* 1563662 2,3,4 94586 1 123319 3 108463 2 794934 1 108838 3 108189 3 108203 3 828002 1 119904 1 91930 1 109875 3 6923224 3,4 127195 3 124403 2,3 60117 1,3 1300738 3 55738540 1 121697 3 108383 2,3 119937 1 108849 3 79447 1 300765 2,3 121755 3 8022002 3 68122 3 108838 3 540738 1 57147, 540738 1,3 67641 3 1...+...10....+...20.... ******************************************************************************* ******* This is piece 4. -- It begins at character 25 of table line 38. ******* ******************************************************************************* 2,3-Dihydro-2,2-dimethyl-7-benzofuranyl methylcarbamate (carbofuran) Dihydrosafrole p-Dihydroxybenzene; see Hydroquinone meta-Dihydroxybenzene; see Resorcinol Dihydroxymethylfuratrizine Diisobutyl ketone Diisopropylamine Diisopropyl ether; see Isopropyl ether Dimethoxane 3,3 ' -Dimethoxybenzidine 3,3 ' -Dimethoxybenzidine-4,4 ' diisocyanate Dimethoxymethane; see Methylal 3-(Dimethoxyphosphinyloxy)-Nmethyl-cis-crotonamide (Monocrotophos) N,N-Dimethylacetamide Dimethylamine 4-Dimethylaminoazobenzene Dimethylaminobenzene; see Xylidine trans-2-[(Dimethylamino) methylimino]-5-[2-(5-nitro-2-furyl)vinyl]1,3,4-oxadiazole N,N-Dimethylaniline Dimethylbenzene; see Xylene, all isomers 3,3 ' -Dimethylbenzidine 1,3-Dimethylbutyl acetate; see sec Hexyl acetate Dimethylcarbamoyl chloride 0,0-Dimethyl 0-(1,2-dibromo-2, 2-dichloroethyl) phosphate (Naled) O,O-Dimethyl S-(1,2 dicarboethoxyethyl) phosphorodithioate; see Malathion O,O-Dimethyl O-(2-(ethylthio)-ethyl) phosphorothioate and O,O-Dimethyl S-(2-(ethylthio)-ethyl) phosphoro thioate mixture; see Methyl demeton N,N-Dimethylformamide 2,6-Dimethyl-4-heptanone; see Diisobutyl ketone 1,2-Dimethylhydrazine Dimethylhydrazine (all isomers) Dimethyl ketone; see Acetone 25..30....+...40....+...50....+...60....+...70....+...80....+...90....+....0... CAS No. Source Substance Footnotes 115902, 3,4 0,0-Dimethyl 0-[p-(methylsulfinyl) 115913 -phenyl]phosphorothioate (fensulfothion) 55389 3 O,O-dimethyl O-[3-methyl-4 (methylthio) phenyl] phosphorothioate; see Fenthion 298000 3 O,O-Dimethyl O-(p-nitrophenyl) phosphorothioate; see Methyl parathion 62759 1,3 N,N-Dimethylnitrosamine; see N-Nitrosodimethylamine 86500 2,3,4 0,0-Dimethyl S-(4-oxo-benzotriazino-3-methyl) phosphorodithioate(Azinphos methyl) 105679 2 2,4-Dimethylphenol 1300716 2 Dimethylphenol; see Xylenol 121697 3 Dimethylphenylamine; see N,N Dimethylaniline 10265926 4 0,S-Dimethyl phosphoramidothioate 950378 4 0,0-Dimethyl phosphorodithioate, Sester with 4-(mercaptomethyl) 2-methoxy-0 2 -1,3,4 thiadiazolin-5-one 77781 2,3 Dimethyl phthaltate; see Phthalate esters 77781 1,3 Dimethyl sulfate 299843 2,3 O,O-Dimethyl O-(2,4,5-trichlorophenyl) phosphorothioate; see Ronnel 148016 3 Dinitrolmide; see 3,5-Dinitro-o toluamide 25154545, 2,3 Dinitrobenzenes, all isomers 99650, 100254, 528290 25154545 2 Dinitrobenzol; see Dinitrobenzenes, all isomers 534521 2,3,4 4,6-Dinitro-o-cresol 534521 2 Dinitrocresol; see Nitrophenols, all isomers 51285 2,4 2,4-Dinitrophenol; see Dinitrophenols 51285, 2,4 Dinitrophenols 329715, 573568 42397648 1 1,6-Dinitropyrene 43977659 1 1,8-Dinitropyrene 148016 3 3,5-Dinitro-o-toluamide 606202 2 2,6-Dinitrotoluene 121142 2 2,4-Dinitrotoluene 25321146, 2,3 Dinitrotoluenes, all isomers 121142, 121142, 606202, 610399, 602017, 619518 88857 4 Dinoseb 117840 2 Di-n-octyl phthalate 117817 3 Di-sec-octyl phthalate; see Phthalate esters 123911 3 1,4-Dioxacyclohexane; see p-Dioxane 123911 1,3 p-Dioxane 123911 1 1,4-Dioxane; see p-Dioxane 78342 3,4 2,3-p-Dioxanedithiol S,S-bis (0,0diethyl phosphorodithioate) (dioxathion) 78342 3,4 Dioxathion; see 2,3-p-Dioxanedithiol S,S-bis (O,O-diethyl phosphorodithioate) 92524 3 Diphenyl; see Biphenyl 122394 3 Diphenylamine 57410 1 Diphenylhydantoin (Phenytoin) 630933 1 Diphenylhydantoin (Phenytoin), sodium salt 38622183 2 Diphenylhydrazine 122667 2 1,2-Diphenylhydrazine; see Hydrazobenzene 101688 3 Diphenylmethane diisocyanate; see Methylene bis(4-phenylisocyanate) 34590948 3 Dipropylene glycol monomethyl ether 123193 3 Dipropyl ketone 85007, 2,3 Diquat 2764729 1937377 1 Direct Black 38 (technical grade) 2602462 1 Direct Blue 6 (technical grade) 16071866 1 Direct Brown 95 2475458 1 Disperse Blue 1 97778 3 Disulfiram 298044 2,3,4 Disulfoton CAS No. Source Substance Footnotes 298044 2,4 Disyston; see Disulfoton 1189851 3 Di-tert-butyl chromate; see Chromium compounds 330541 2,3 Diuron 108576 3 Divinyl benzene 27176870 2 Dodecylbenzenesulfonic acid [FN9] 23214928 1 Doxorubicin hydrochloride; see Adriamycin 60004 2 EDTA 115297 2,3,4 Endosulfan 959988 2 alpha-Endosulfan 33213659 2 beta-Endosulfan 1031078 2 Endosulfan-sulfate 72208 2,3,4 Endrin 7421934 2 Endrin aldehyde 106898 1,2,3 Epichlorohydrin [FN12] 2104645 3,4 EPN 106876 1 1-Epoxyethyl-3,4-epixycyclohexane; see Vinyl cyclohexene dioxide 4016142 3 1,2-Epoxy-3-isopropoxypropane; see Isopropyl glycidyl ether 141377 1 3,4-Epoxy-6-methylcyclohexyimethyl 3,4-epoxy-6-methylcyclohexane carboxylate 122601 3 1,2-Epoxy-3-phenoxypropane; see Phenyl glycidyl ether 75569 3 1,2-Epoxypropane; see Propylene oxide 556525 3 2,3-Epoxypropanol; see Glycidol 12510428 1 Erionite 75058 3 Ethanenitrile; see Acetonitrile 75081 3 Ethanethiol; see Ethyl mercaptan 64175 1,3 Ethanol; see Ethyl alcohol 141435 3 Ethanolamine 463514 3 Ethenone; see Ketene 57636 1 Ethinyloestradiol 563122 2,3,4 Ethion 536334 1 Ethionamide 110805 3 2-Ethoxyethanol; see Ethylene glycol monoethyl ether 111159 3 2-Ethoxyethanol acetate; see Ethylene glycol monoethyl ether acetate 141786 3 Ethyl acetate 140885 1,3 Ethyl acrylate 64175 1,3 Ethyl alcohol [FN13] 75047 2,3 Ethylamine 541855 3 Ethyl sec-amyl ketone 100414 2,3 Ethylbenzene 74964 3 Ethyl bromide 106354 3 Ethyl butyl ketone 75003 3 Ethyl chloride 510156 1 Ethyl-4,4 ' -dichlorobenzilate; see Chlorobenzilate 13194484 4 0-Ethyl S,S-dipropyl phosphorodithioate (ethoprop) 85007 3 1,1 ' -Ethylene-2,2 ' -bipyridinium dibromide; see Diquat 107073 3 Ethylene chlorohydrin 107153 2,3 Ethylenediamine 106934 1,2,3,4- Ethylene dibromide [FN33] ,5 107062 1,2,3,4 Ethylene dichloride 107211 3 Ethylene glycol [FN14] 628966 3 Ethylene glycol dinitrate 111762 2,3 Ethylene glycol monobutyl ether 110805 3,5 Ethylene glycol monoethyl ether 111159 3,5 Ethylene glycol monoethyl ether acetate 109864 3,5 Ethylene glycol monomethyl ether 110496 3,5 Ethylene glycol monomethyl ether acetate 151564 1,3 Ethyleneimine 75218 1,2,3,5 Ethylene oxide [FN12] 420122 1 Ethylene sulphide 96457 1 Ethylenethiourea 79016 2 Ethylene trichloride; see Trichlorethylene 60297 3 Ethyl ether 109944 3 Ethyl formate 75343 3 Ethylidene chloride 16219753 3 Ethylidene norbornene 75081 3 Ethyl mercaptan 62500 1 Ethyl methanesulphonate 563122 2 Ethyl methylene; see Ethion 78933 3 Ethyl methyl ketone; see 2-Butanone 22224926 3,4 Ethyl 3-methyl-4-(methylthio)-phenyl (1-methylethyl) phosphoramidate 100743 3 N-Ethylmorpholine CAS No. Source Substance Footnotes 2104645 3 O-Ethyl O-(p-nitrophenyl) phenylphosphonothioate; see EPN 759739 1 N-Ethyl-N-Nitrosourea; see N-NitrosoN-ethylurea 56382 2,4 Ethyl parathion; see Parathion 78104 3 Ethyl silicate 100743 3 4-Ethyl-1,4-tetrahydrooxazine; see N-Ethylmorpholine 110805 3 2-Ethyoxyethanol; see Ethylene glycol monoethyl ether 97530 1 Eugenol 314136 1 Evans blue 2353459 1 Fast Green FCF 22224926 3,4 Fenamiphos; see Ethyl-3-methyl-4 (methylthio)phenyl (1-methylethyl) phosphoramidate 115902 3 Fensulfothion; see O,O-Diethyl O [4-(methylsulfinyl)phenyl] phosphorothioate 55389 3 Fenthion 101428 2 Fenuron 4482557 2 Fenuron-TCA 14484641 3,4 Ferbam 1185575 2 Ferric ammonium citrate; see Iron salts, soluble 2944674 2 Ferric ammonium oxalate; see Iron salts, soluble 7705080 2 Ferric chloride; see Iron salts, soluble 14484641 3 Ferric N,N-dimethylthiocarbamate; see Ferbam 7783508 2 Ferric fluoride; see Iron salts, soluble 10421484 2 Ferric nitrate; see Iron salts, soluble 10028225 2 Ferric sulfate; see Iron salts, soluble 10045893 2 Ferrous ammonium sulfate; see Iron salts, soluble 7758943 2 Ferrous chloride; see Iron salts, soluble 7720787 2 Ferrous sulfate; see Iron salts, soluble 12604589 3 Ferrovanadium dust [FN3] 206440 2 Fluoranthene 53963 3 n-Fluoren-2-yl-acetamide; see 2 Acetylamino-fluorene 2,3 Fluoride, and inorganic fluoride compounds 7782414 2,3 Fluorine 640197 4 Fluoroacetamide/1081 75694 3 Fluorocarbon 11; see Fluorotrichlormethane 75718 3 Fluorocarbon 12; see Dichlorodifluoromethane 75434 3 Fluorocarbon 21; see Dichloromonofluoromethane 75456 3 Fluorocarbon 22; see Chlorodifluoromethane 76120 3 Fluorocarbon 112; see 1,1,2,2 Tetrachloro-1,2-difluoroethane 76131 3 Fluorocarbon 113; see 1,1,2 Trichloro-1,2,2-trifluoroethane 76142 3 Fluorocarbon 114; see 1,2-Dichloro-1,1,2,2 tetrafluoroethane 75694 3 Fluorotrichloromethane 150505 4 Folex; see s,s,s-Tributyl phosphorotritthioite 133073 4 Folpet 944229 3,4 Fonofos 50000 1,2,3 Formaldehyde 75127 3 Formamide 64186 2,3 Formic acid 3570750 1 2-(2-Formylhydrazino)-4-(5nitro-2-furyl) thiazole 110178 2 Fumaric acid [FN15] 6164983 4 Fundal; see Chlordimeform 98011 2 2-Furaldehyde; see Furfural 98011 2,3 Furfural 98000 3 Furfuryl alcohol 6164983 4 Galecron; see Chlordimeform 8006619 3 Gasoline [FN16] 7782652 3 Germanium tetrahydride 3 Glass, fibrous or dust [FN38] 67730114 1 Glu-P-1 (2-Amino-6 methyldipyrido[1,2-a:3 ',2 ' d]imidazole [Note: The following TABLE/FORM is too wide to be displayed on one screen. You must print it for a meaningful review of its contents. The table has been divided into multiple pieces with each piece containing information to help you assemble a printout of the table. The information for each piece includes: (1) a three line message preceding the tabular data showing by line # and character # the position of the upper left-hand corner of the piece and the position of the piece within the entire table; and (2) a numeric scale following the tabular data displaying the character positions.] ******************************************************************************* ******** This is piece 1. -- It begins at character 1 of table line 1. ******** ******************************************************************************* CAS No. Source 67730103 1 111308 3 765344 1 556525 3 7782425 3 126078 1 4680788 1 86500 2 16568028 1 822060 3 7440586 3 2 2 2784943 76448 1,2,3,4 1024573 2 76448 3 142845 3 106354 3 110430 3 118741 1,2 87683 1,2,3 608731 2 1 77474 2,3 72208 3 60571 3 67721 1,2,3 115297 3 309002 3 1335871 2,3 70304 2 684162 3 684162 3 822060 3 680319 1 3 591786 3 108101 3 108849 3 107415 3 86544 1 302012 1,3 10035106 3 7647010 2,3 74908 2,3,4 7664393 2,3 1333740 3 5124301 3 3 10035106 3 7647010 2,3 74908 2,3,4 7664393 2,3 7722841 1,3 1...+...10....+...2 ******************************************************************************* ******* This is piece 2. -- It begins at character 20 of table line 1. ******** ******************************************************************************* Substance Footnotes Glu-P-2 (2-Aminodipyrido[1,2-a:3 ',2 -d]imidazole) Glutaraldehyde Glycidaldehyde Glycidol [FN12] Graphite [FN17] Griseofulvin Guinea Green B Guthion; see O,O-Dimethyl S-(4 oxobenzotriazino-3-methyl) phosphorodithioate Gyromitrin (Acetaldehyde methylformylhydrazone) HDI; see Hexamethylene diisocyanate Hafnium Haloethers (other than those listed elsewhere, includes chloro-phenylphenyl ethers, bromophenylphenyl ether, bis(dichloroisopropyl) ether, bis (chloroethoxy) methane and polychlorinated diphenyl ethers) Halomethanes HC Blue 1 Heptachlor Heptachlor epoxide 1,4,5,6,7,8,8,-Heptachloro-3a, 4,7,7a-tetrahydro-4,7 methanoindene; see Heptachlor n-Heptane 3-Heptanone; see Ethyl butyl ketone 2-Heptanone; see Methyl n-amyl ketone Hexachlorobenzene; see Benzene hexachloride Hexachlorobutadiene Hexachlorocyclohexane Hexachlorocyclohexanes Hexachlorocyclopentadiene 1,2,3,4,10,10-Hexachloro-6,7-epoxy-, 1,4,4a,5,6,7,8,8a-octahydro-1,4, endo-endo-5,8-dimethano naphthalene and methabolites; see Endrin 1,2,3,4,10,10-Hexachloro-6,7-epoxy 1,4,4a,5,6,7,8,8a-octahydro-1,4, endo-exo-5,8-dimethanonaphtha lene; see Dieldrin Hexachloroethane 6,7,8,9,10,10-Hexachloro 1,5,5a,6,9,9a-hexahydro-6,9 methano-2,4,3-benzodioxathiepin 3-oxide; see Endosulfan 1,2,3,4,10,10-Hexachloro-1,4,4a,5,8,hexahydro-endo-1,2-exo-5,8-di methanonaphthalene; see Aldrin Hexachloronaphthalene Hexachlorophene (HCP) Hexafluoroacetone 1,1,1,3,3,3,-Hexafluoro-2-propanone; see Hexafluoroacetone Hexamethylene diisocyanate Hexamethylphosphoramide Hexane (all isomers) 2-Hexanone; see Methyl n-butyl ketone Hexone; see Methyl isobutyl ketone sec-Hexyl acetate Hexylene glycol Hydralazine Hydrazine Hydrobromic acid; see Hydrogen bromide Hydrochloric acid; see Hydrogen chloride Hydrocyanic acid; see Hydrogen cyanide Hydrofluoric acid; see Hydrogen fluoride Hydrogen Hydrogenated MDI; see Dicyclohexylmethane-4,4 ' diisocyanate Hydrogenated terphenyls Hydrogen bromide Hydrogen chloride Hydrogen cyanide Hydrogen fluoride Hydrogen peroxide 20..+...30....+...40....+...50....+...60....+...70....+...80....+...90....+... CAS No. Source Substance Footnotes 7783075 2 Hydrogen selenide; see Selenium and selenium compounds 7783064 2,3 Hydrogen sulfide 123319 3 Hydroquinone 141662 3,4 3-Hydroxy-N,N-dimethyl-cis-crotonamide dimethyl phosphate(dicrotophos) 6923224 3 3-Hydroxy-N-methyl-cis-crotonamide dimethyl phosphate; see 3 (Dimethoxyphosphinyloxy)-N methyl-ciscrotonamide 123422 3 4-Hydroxy-4-methyl-2-pentanone 999611 3 Hydroxypropyl acrylate 4016142 3 IGE; see Isopropyl glycidyl ether 4098719 3 IPDI; see Isophorone diisocyanate 76180966 1 IQ; (2-Amino-3 methylimidazo[4,5-f]quinoline) 95316 3 Indene 193395 1,2 Indeno(1,2,3-cd)pyrene 2,3 Indium and indium compounds 7553562 3 Iodine 75478 3 Iodoform 7439896 2 Iron 9004664 1 Iron dextran 8050939 1 Iron-dextrin complex 1309371 3 Iron oxide fume 13463406 3 Iron pentacarbonyl 2,3 Iron salts, soluble [FN18] 15503863 1 Isatidine 12392 3 Isoamyl acetate; see Amyl acetate 123513 3 Isoamyl alcohol 110190 3 Isobutyl acetate (2-methylpropyl acetate) 78831 3 Isobutyl alcohol 78819 2 Isobutylamine; see Butylamine, all isomers 54853 1 Isonicotinic acid hydrazide (Isoniazid) 26952216 3 Isooctyl alcohol 78591 2,3 Isophorone 4098719 3 Isophorone diisocyanate 3778732 1 Isophosphamide 78795 2 Isoprene 42504461 2 Isopropanolamine dodecyl benzenesulfonate 9 109591 3 Isopropoxyethanol 114261 3 2-Isopropoxyphenyl N-methylcarbamate (propoxur) 108214 3 Isopropyl acetate 67630 1,3 Isopropyl alcohol 75310 3 Isopropylamine 643287 3 N-Isopropylaniline 98828 3 Isopropylbenzene; see Cumene 108203 3 Isopropyl ether 4016142 3 Isopropyl glycidyl ether 12 120581 1 Isosafrole 115322 2 Kelthane; see 1,1-Bis(p-chlorophenyl) 2,2,2-trichloroethanol 143500 1,2 Kepone; see Chlordecone 463514 3 Ketene 16752775 4 Lannate; see S-Methyl N-((methyl carbamoyl)oxy)-thioacetimidate 303344 1 Lasiocarpine 7439921 1,2,3 Lead 3 301042 2 Lead acetate; see Lead compounds 7784409, 2,3 Lead arsenate; see Lead compounds 7645252, 10102480 7758954 2 Lead chloride; see Lead compounds 7758976 3 Lead chromate; see Chromium compounds 1,2,3 Lead compounds 13814965 2 Lead fluoborate; see Lead compounds 7783462 2 Lead fluoride; see Lead compounds 10101630 2 Lead iodide; see Lead compounds 10099748 2 Lead nitrate; see Lead compounds 7446277 1 Lead phosphate; see Lead compounds 7428480, 2 Lead stearate; see Lead compounds 1072351, 52652592 1335326 1 Lead subacetate; see Lead compounds 7446142 2 Lead sulfate; see Lead compounds 1314870 2 Lead sulfide; see Lead compounds 78002 2,3 Lead tetraethyl; see Lead compounds 75741 3 Lead tetramethyl; see Lead compounds 592870 2 Lead thiocyanate; see Lead compounds 5141208 1 Light Green SF CAS No. Source Substance Footnotes 58899 2,3,4 Lindane and other Hexachlorocyclohexane isomers 330552 2 Linuron 14307358 2 Lithium chromate; see Chromate compounds 7580678 3 Lithium hydride 21884446 1 Luteoskyrin 101144 3 MBOCA; see 4,4 ' -Methylene bis(2 chloroaniline) 94746 4 MCPA (2-methyl-4-chloro phenoxyacetic acid) 101779 3 MDA; see 4,4 ' -Methylene dianiline 101688 3 MDI; see Methylene bis(4-phenylisocyanate) 68006837 1 MeA-a-C (2-Amino-3-methyl-9H pyrido [2,3-b]indole) 78933 3 MEK; see 2-Butanone 101144 1 MOCA; see 4,4 ' -Methylene bis(2-chloroaniline) 1 MOPP 7439954 2 Magnesium 1309484 3 Magnesium oxide 3 121755 2,3 Malathion 110167 2 Maleic acid 108316 2,3 Maleic anhydride 7439965 2,3 Manganese 3 3 Manganese compounds 12079651 3 Manganese, cyclopentadienyltricarbonyl 1317537 3 Manganese tetroxide; see Manganese compounds 551746 1 Mannomustine 71589 1 Medroxyprogesterone acetate 148823 1 Melphalan 2032657 2 Mercaptodimethur 592041 2 Mercuric cyanide; see Mercury and mercury compounds 10045940 2 Mercuric nitrate; see Mercury and mercury compounds 7783359 2 Mercuric sulfate; see Mercury and mercury compounds 592858 2 Mercuric thiocyanate; see Mercury and mercury compounds 7782867 2 Mercurous nitrate; see Mercury and mercury compounds 2,3,4 Mercury and mercury compounds 531760 1 Merphalan 108678 3 Mesitylene; see Trimethylbenzene (all isomers) 141797 3 Mesityl oxide 72333 1 Mestranol 2032657 2 Mesurol; see Mercaptodimethur 79414 3 Methacrylic acid 74931 2,3 Methanethiol; see Methyl mercaptan 67561 3 Methanol; see Methyl alcohol 2032657 2 Methiocarb; see Mercaptodimethur 16752775 3,4 Methomyl; see 5-Methyl N-[(methylcarbamoyl)oxy] thioacetanide 298817 1 Methoxsalen (with ultraviolet therapy) 72435 2,3 Methoxychlor 109864 3 2-Methoxyethanol; see Ethylene glycol monomethyl ether 110496 3 2-Methoxyethyl acetate; see Ethylene glycol monomethyl ether acetate 150765 3 4-Methoxyphenol 484208 5-Methoxypsoralen 298817 1 8-Methoxypsoralen; see Methoxsalen 79209 3 Methyl acetate 74997 3 Methyl acetylene 3 Methyl acetylene-propadiene mixture 123739 3 beta-Methylacrolein; see Crotonaldehyde 96333 3 Methyl acrylate 126987 3 alpha-Methylacrylonitrile 109875 3 Methylal 67561 3 Methyl alcohol 30 74895 2,3 Methylamine 108112 3 Methyl amyl alcohol; see Methyl isobutyl carbinol 110430 3 Methyl n-amyl ketone 1 5-Methylangelicin 100618 3 N-Methylaniline 95534 1,3 o-Methylaniline CAS No. Source Substance Footnotes 75558 1,3 2-Methylaziridine 590965 1 Methylazoxymethanol 592621 1 Methylazoxymethyl acetate 74839 1,2,3,4 Methyl bromide 78795 2 2-Methyl-1,3-butadiene; see Isoprene 123513 3 3-Methylbutanol; see Isoamyl alcohol 123922 3 3-Methylbutyl acetate; see Amyl acetate, all isomers 591786 3 Methyl n-butyl ketone 13909096 1 Methyl-CCNU; see 1-(2-Chloroethyl)-3-(4 methylcyclohexyl)-1-nitrosourea 109864 5 Methyl Cellosolve [; see Ethylene glycol monomethyl ether 74873 2,3 Methyl chloride 71556 2,3 Methyl chloroform 107302 1,3 Methyl chloromethyl ether 31 3351324 1 2-Methylchrysene 3351313 1 3-Methylchrysene 3351302 1 4-Methylchrysene 3697243 1 5-Methylchrysene 1705857 1 6-Methylchrysene 75058 3 Methyl cyanide; see Acetonitrile 137053 3 Methyl 2-cyanoacrylate 108872 3 Methylcyclohexane 1331233, 3 Methylcyclohexanol, all isomers 591231, 583595, 25639423 583608 3 o-Methylcyclohexanone 12108133 3 2-Methylcyclopentadienyl manganese tricarbonyl 8022002 3 Methyl demeton 534521 2,3 2-Methyl-4,6-dinitrophenol; see 4,6-Dinitro-O-cresol 99809 1 N-Methyl-N,4-Dinitrosoaniline 75092 1,2,3,5 Methylene chloride 101144 1,3 4,4 ' -Methylene bis(2-chloroaniline) 5124301 3 Methylene bis(4-cyclohexylisocyanate); see Dicyclohexylmethane 4,4 ' -diisocyanate 101611 1 4,4 ' -Methylene bis(N,N-dimethyl)benzenamine 838880 1 4,4 ' -Methylene bis(2-methylaniline) 101688 3 Methylenebis(4-phenyl isocyanate) 101779 1,3 4,4 ' -Methylenedianiline 13552448 4,4 ' -Methylenedianiline dihydrochloride 78933 3 Methyl ethyl ketone; see 2-Butanone 1338234 3 Methyl ethyl ketone peroxide 33543316 1 2-Methylfluoranthene 107313 3 Methyl formate 541855 3 5-Methyl-3-heptanone; see Ethyl sec-amyl ketone 60344 3 Methyl hydrazine 74884 1,3 Methyl iodide 110123 3 Methyl isoamyl ketone 108112 3 Methyl isobutyl carbinol 108101 3 Methyl isobutyl ketone 624839 3 Methyl isocyanate 563804 3 Methyl isopropyl ketone 74931 2,3 Methyl mercaptan 80626 2,3 Methyl methacrylate 66273 1 Methyl methanesulfonate 16752775 3,4 S-Methyl N-[(methylcarbamoyl)oxy]thioacetamida- te(Methomyl) 80626 2,3 Methyl 2-methyl-2-propenoate; see Methyl methacrylate 129157 1 2-Methyl-1-nitroanthraquinone 70257 1 N-Methyl-N ' -nitro-N-nitrosoguanidine 684935 1 N-Methyl-N-Nitrosourea; see N-Nitroso-N-methylurea 615532 1 N-Methyl-N-Nitrosourethane; see N-Nitroso-N-methylurethane 298000 2,3,4 Methyl parathion 108112 3 4-Methyl-2-pentanol; see Methyl isobutyl carbinol 141797 3 4-Methyl-3-pentene-2-one; see Mesityl oxide 108849 3 4-Methyl-2-pentyl acetate; see sec-Hexyl acetate 98839 3 1-Methyl-l-phenylethene; see alpha Methylstyrene CAS No. Source Substance Footnotes 78831 3 2-Methylpropanol; see Isobutyl alcohol 110190 3 2-Methylpropyl acetate; see Isobutyl acetate 107879 3 Methyl propyl ketone; see 2-Pentanone 54115 3 1-Methyl-2-(3-pyridyl) pyrrolidine; see Nicotine 681845 3 Methyl silicate 98839 3 alpha-Methylstyrene 77781 3 Methyl sulfate; see Dimethyl sulfate 58184 1 Methyl testosterone 56042 1 Methylthiouracil 484208 1 5-Methyoxypsoralen 443481 1 Metronidazole 7786347 2,3,4 Mevinphos; see alpha-2-Carbomethoxy-1 methylvinyl dimethyl phosphate 315184 2 Mexacarbate 12001262 3 Mica [FN19] 3 Mineral wool fiber 2385855 1,2 Mirex 50077 1 Mitomycin C 13194484 4 Mocap; see O-Ethyl S,S dipropyl phosphorodithioate 2212671 4 Molinate 7439987 2,3 Molybdenum [FN3] 3 Molybdenum compounds [FN20] 10265926 4 Monitor; see O,S-Dimethyl phosphoramidothioate 108907 2,3 Monochlorobenzene; see Chlorinated benzenes 315220 1 Monocrotaline 6923224 3,4 Monocrotophos; see 3 (Dimethoxyphosphinyloxy)-N methyl-cis-crotonamide 75047 2 Monoethylamine; see Ethylamine 74895 2 Monomethylamine; see Methylamine 100618 3 Monomethylaniline; see N-Methylaniline 60344 3 Monomethyl hydrazine; see Methyl hydrazine 150685 1,2 Monuron 140410 2 Monuron-TCA 110918 3 Morpholine 139913 1 5-(Morpholinomethyl)-3 [(5-nitrofurfurylidene)-amino] -2-oxazolidinone 7647010 2 Muriatic acid; see Hydrogen chloride 505602 1 Mustard Gas 25551284 3 NDI; see Naphthalene diisocyanate 139139 2 NTA; see Nitrilotriacetic acid 3771195 1 Nafenopin 300765 3 Naled; see O,O-Dimethyl O (1,2-dibromo-2,2 dichloroethyl) phosphate 8030317 3 Naphtha, coal tar 91203 2,3 Naphthalene 2243621 1 1,5-Naphthalenediamine 25551284 3 Napthalene diisocyanate 1338245 2 Naphthenic acid 134327 3 1-Naphthylamine; see alpha-Naphthylamine 91598 1 2-Naphthylamine; see beta-Naphthylamine 134327 3 alpha-Naphthylamine 91598 1,3 beta-Naphthylamine [FN31] 63252 3 1-Naphthyl N-methylcarbamate; see Carbaryl 86884 3 1-(1-Naphthyl)-2-thiourea 22224926 4 Nemacur; see Ethyl 3-methyl 4-(methylthio) phenyl (1-methyl ethyl) phosphoramidate 563122 2 Nialate; see Ethion 7440020 1,2,3 Nickel [FN3] 15699180 2 Nickel ammonium sulfate; see Nickel compounds 13463393 3 Nickel carbonyl; see Nickel compounds 37211055 2 Nickel chloride; see Nickel compounds 7718549 1,2,3 Nickel compounds 12054487 2 Nickel hydroxide; see Nickel compounds 14216752 2 Nickel nitrate; see Nickel compounds 12035722 1 Nickel subsulphide; see Nickel compounds 778614 2 Nickel sulfate; see Nickel compounds 54115 3,4 Nicotine CAS No. Source Substance Footnotes 56382 2 Niran; see Parathion 61574 1 Niridazole 139946 1 Nithiazide 1929824 3 Nitrapyrin; see 2-Chloro 6-(trichloromethyl) pyridine 7697372 2,3 Nitric acid 10102439 3 Nitric oxide 139139 2 Nitrilotriacetic acid 602879 1 5-Nitroacenaphthene 100016 3 p-Nitroaniline 99592 1 5-Nitro-o-anisidine 98953 2,3 Nitrobenzene 100005 3 p-Nitrochlorobenzene 7496028 1 6-Nitrochrysene 92933 3 4-Nitrodiphenyl [FN31] 79243 3 Nitroethane 1836755 1 Nitrofen (technical grade); see 2,4-Dichlorphenyl p-nitrophenyl ether 607578 1 2-Nitrofluorene 59870 1 Nitrofurazone 555840 1 1-[(5-Nitrofurfurylidene)-amino]-2imidazoli- dinone 531828 1 N-4-[(5-Nitro-2-furyl)- 2-thiazolyl] acetamide 10102440 2,3 Nitrogen dioxide 51752, 55867 1 Nitrogen mustard and its hydrochloride 302705, 126852 1 Nitrogen mustard N-oxide and its hydrochloride 10102440 2,3 Nitrogen tetroxide; see Nitrogen dioxide 7783542 3 Nitrogen trifluoride 55630 3 Ntroglycerin 75525 3 Nitromethane 25154556, 2 Nitrophenols, all isomers 554847, 88755, 100027 79469 1,3 2-Nitropropane; see Nitropropanes 108032, 794691 3 Nitropropanes 57835924 1 4-Nitropyrene 5522430 1 1-Nitropyrene 2 Nitrosamines 1133648 1 N ' -Nitrosoanabasine 924163 1 N-Nitroso-di-n-butylamine 1116547 1 N-Nitrosodiethanolamine 55185 1 N-Nitrosodiethylamine 62759 1,2,3 N-Nitrosodimethylamine 86306 1,2 N-Nitrosodiphenylamine 621647 1,2 N-Nitroso-di-n-propylamine 759739 1 N-Nitroso-N-ethylurea 60153493 1 3-(N-Nitrosomethylamino)propionitrile 64091914 1 4-(N-Nitrosomethylamino)-1 (3-pyridyl)-1-butanone (NNK) 10595956 1 N-Nitrosomethylethylamine 684935 1 N-Nitroso-N-methylurea 615532 1 N-Nitroso-N-methylurethane 4549400 1 N-Nitrosomethylvinylamine 59892 1 N-Nitrosomorpholine 16543558 1 N-Nitrosonornicotine 100754 1 N-Nitrosopiperidine 930552 1 N-Nitrosopyrrolidine 13256229 1 N-Nitrososarcosine 1321126, 2,3 Nitrotoluenes 88722, 99081, 99990 76062 3 Nitrotrichloromethane; see Chloropicrin 10024972 3 Nitrous oxide 111842 3 Nonane 68224 1 Norethisterone 51989 1 Norethisterone acetate 2698411 3 OCBM; see O-Chlorobenzylidine malonitrile 152169 4 OMPA; see Schradan 303479 1 Ochratoxin A 2234131 2,3 Octachloronaphthalene 57749 3 1,2,4,5,6,7,8,8-Octachloro 3a,4,7,7a,-tetrahydro-4,7 methanoindane; see Chlordane 111659 3 Octane 50282 1 Oestradiol-17B 22966796 1 Oestradiol mustard 1 Oestrogens, steroidal 1 Oestrogens, nonsteroidal 53167 1 Oestrone 1,2,3 Oil mist, particulate [FN21] CAS No. Source Substance Footnotes 2646175 1 Oil orange SS 1 Oral contraceptives, certain Oestrogen-progestin combinations 20816120 3 Osmium tetroxide 144627 3 Oxalic acid 604751 1 Oxazepam 301122 4 Oxydemetonmethyl 7783417 3 Oxygen difluoride 10028156 3 Ozone [FN22] 1,2,3 PCB; see Polychlorobiphenyls 12674112 2 PCB-1016; see Polychlorobiphenyls 11104282 2 PCB-1221; see Polychlorobiphenyls 11141165 2 PCB-1232; see Polychlorobiphenyls 53469219 2 PCB-1242; see Polychlorobiphenyls 12672296 2 PCB-1248; see Polychlorobiphenyls 11097691 2 PCB-1254; see Polychlorobiphenyls 11096825 2 PCB-1260; see Polychlorobiphenyls 82688 2 PCNB; see Quintozene (Pentachloronitrobenzene) 87865 2,3 PCP; see Pentachlorophenol 6423434 3 PGDN; see Propylene glycol dinitrate 122601 3 PGE; see Phenyl glycidyl ether 7440053 2 Palladium 794394 1 Panfuran S; see Dihydroxymethylfuratrizine 8002742 3 Paraffin wax fume 30525894 2 Paraformaldehyde 2074502, 1910425 3,4 Paraquat 10048325 1 Parasorbic acid 56382 2,3,4 Parathion 90653 1 Penicillic acid 19624227 3 Pentaborane 76017 1 Pentachloroethane 1321648 2,3 Pentachloronaphthalene 87865 2,3 Pentachlorophenol 109660 3 Pentane 107879 3 2-Pentanone 77474 2 Perchlorocyclopentadiene; see Hexachlorocyclo-pentadiene 67721 3 Perchloroethane; see Hexachloroethane 127184 1,2,3,5 Perchloroethylene 594423 3 Perchloromethyl mercaptan 7616946 3 Perchloryl fluoride 72560 2 Perthane 60102376 1 Petasitenine 62442 1 Phenacetin 532274 3 Phenacyl chloride; see alpha-Chloroacetophenone 85018 2 Phenanthrene 136403, 94780 1 Phenazopyridine and its hydrochloride 156514 1 Phenelzine sulphate 103037 1 Phenicarbazide 50066 1 Phenobarbital 108952 2,3 Phenol 2 Phenolic compounds (4AAP) 2 Phenols 92842 3 Phenothiazine 59861, 63923 1 Phenoxybenzamine and its hydrochloride 122394 3 n-Phenylaniline; see Diphenylamine 92524 3 Phenylbenzene; see Biphenyl 100470 2 Phenyl cyanide; see Benzonitrile 106503 3 p-Phenylenediamine 100414 2 Phenylethane; see Ethylbenzene 101848 3 Phenyl ether, vapor [FN14] 100425 2,3 Phenylethylene; see Styrene, monomer 122601 1,3 Phenyl glycidyl ether [FN12] 100630 3 Phenylhydrazine 108985 3 Phenyl mercaptan 135886 1 N-Phenyl-2-naphthylamine 132274 1 o-Phenylphenate, sodium; see Sodium ortho-phenylphenate 638211 3 Phenylphosphine 57410 1 Phenytoin; see Diphenylhydantoin 298022 3,4 Phorate 4104144 4 Phosacetim 7786347 2,4 Phosdrin; see alpha-2 Carbomethoxy-1-methylvinyl dimethyl phosphate 75445 2,3 Phosgene 13171216 4 Phosphamidon 7803512 3 Phosphine 7664382 2,3 Phosphoric acid CAS No. Source Substance Footnotes 563122 2 Phosphorodithioate; see Ethion 7723140 2,3 Phosphorus 10025873 2,3 Phosphorus oxychloride 10026138 3 Phosphorus pentachloride 1314803 2,3 Phosphorus pentasulfide 7719122 2,3 Phosphorus trichloride 121755 2 Phosphothion; see Malathion 1,2,3 Phthalate esters [FN36] 85449 3 Phthalic anhydride 626175 3 m-Phthalodinitrile 1918021 1,3,4 Picloram 88891 3 Picric acid 83261 3 Pindone; see 2-Pivalyl-1,3-indandione 142643 3 Piperazine dihydrochloride 83261 3 2-Pivalyl-1,3-indandione (pindone) 744064 2,3 Platinum, metal 3 Platinum, soluble salts 1 Polybrominated biphenyls 1336363, 1,2,3 Polyhlorobiphenyls 53449219, 11097691 2 Polychlorinated biphenyls; see Polychlorobiphenyls 2 Polycyclic Organic Matter; see Polynuclear aromatic hydrocarbons 1,2 Polynuclear aromatic hydrocarbons [FN23] 3 Polytetrafluoroethylene, decomposition products 9003398 1 Polyvinyl pyrrolidone 3761533 1 Ponceau MX 3564098 1 Ponceau 3R 7440097 2 Potassium 7784410 2 Potassium arsenate; see Arsenic and arsenic compounds 10124502 2 Potassium arsenite; see Arsenic and arsenic compounds 7778509 2 Potassium bichromate; see Chromuim compounds 23746341 1 Potassium bis(2-hydroxyethyl) dithiocarbamate 7758012 1 Potassium bromate 7789006 2 Potassium chromate; see Chromium compounds 151508 2 Potassium cyanide; see Cyanides, inorganic salts 1310583 2,3 Potassium hydroxide 7722647 2 Potassium permanganate 366701 1 Procarbazine hydrochloride 57830 1 Progesterone 1 Progestins 51025 1 Pronetalol hydrochloride 120714 1 1,3-Propane sultone 709988 4 Propanil 2312358 2,4 Propargite 107197 3 Propargyl alcohol 122429 2 Propham 57578 1,3 beta-Propiolactone 79094 2,3 Propionic acid 123626 2 Propionic anhydride 114261 2,3 Propoxur; see 2-Isopropoxyphenyl N-methylcarbamate 109604 3 n-Propyl acetate 71238 3 n-Propyl alcohol 627123 1 n-Propyl carbamate 115071 3 Propylene 78875 2,3 Propylene dichloride; see Dichloropropanes 6423434 3 Propylene glycol dinitrate 107982 3 Propylene glycol monomethyl ether 75558 3 Propyleneimine; see 2-Methylaziridine 75569 1,2,3 Propylene oxide [FN12] 627134 3 n-Propyl nitrate 51525 1 Propylthiouracil 74997 3 Propyne; see Methylacetylene 107197 3 2-Propyn-l-ol; see Propargyl alcohol 87625625 1 Ptaquiloside 129000 2 Pyrene 121299, 2 Pyrethrins 121211 8003347 3 Pyrethrum 110861 3 Pyridine 58140 1 Pyrimethamine 120809 3 Pyrocatechol; see Catechol 98011 2 Pyromucic aldehyde; see Furfural 117359 1 Quercetin 91225 2 Quinoline CAS No. Source Substance Footnotes 106514 3 Quinone 82688 1 Quintozene (Pentachloronitrobenzene) 121824 3 RDX; see Cyclotrimethylenetrinitramine 2 Radionuclides 13982633 2 Radium 226 10043922 1 Radon 86884 3 Ratrack; see l-(1-Naphthyl)-2-thiourea 50555 1 Reserpine 108463 2,3 Resorcinol 480546 1 Retrorsine 989388 1 Rhodamine 6G 81889 1 Rhodamine B 7440166 3 Rhodium [FN3] 3 Rhodium compounds 36791045 5 Ribavirin 13292461 1 Rifampicin 299843 2,3 Ronnel 3 Rosin core solder, pyrolysis products [FN24] 83794 3 Rotenone, commercial 3 Rubber solvent (naphtha) 8047674 1 Saccharated iron oxide 94597 1 Safrole 152169 4 Schradan 2,3 Selenium and selenium compounds 7783791 3 Selenium hexafluoride; see Selenium and selenium compounds 7446084 2 Selenium oxide; see Selenium and selenium compounds 563417 1 Semicarbazide hydrochloride 2318185 1 Senkirkine 136787 3 Sesone; see Sodium 2 (2,4-dichlorophenoxy) ethyl sulfate 63252 2,4 Sevin; see Carbaryl 68308349 1 Shale-oils 1982496 2 Siduron 7803625 3 Silane 7631869 1,3 Silica [FN25], [FN35] 7803625 3 Silicon tetrahydride; see Silane 7440224 2,3 Silver [FN3] 2,3 Silver compounds [FN26] 7761888 2 Silver nitrate; see Silver compounds 93721 2,4 Silvex; see 2,4,5 TP acid 3 Soapstone [FN19] 7440235 2 Sodium 7631892 2 Sodium arsenate; see Arsenic and arsenic compounds 7784465 2 Sodium arsenite; see Arsenic and arsenic compounds 26628228 3 Sodium azide 10588019 2 Sodium bichromate; see Chromium compounds 1333831 2 Sodium bifluoride; see Fluoride and fluoride compounds 7631905 2,3 Sodium bisulfite 7775113 2 Sodium chromate; see Chromium compounds 143339 2,4 Sodium cyanide; see Cyanides, inorganic salts 136787 3 Sodium 2-(2,4-dichlorophenoxy)-ethyl sulfate 25155300 2 Sodium dodecylbenzene-sulfonate [FN9] 7681494 2 Sodium fluoride; see Fluoride and fluoride compounds 62748 3,4 Sodium fluoroacetate 16721805 2 Sodium hydrosulfide 1310732 2,3 Sodium hydroxide 7681529 2 Sodium hypochlorite 7681574 3 Sodium metabisulfite 124414 2 Sodium methylate 7632000 2 Sodium nitrite 132274 1 Sodium ortho-phenylphenate 7558794, 10039324, 2 Sodium phosphate, dibasic 10140655 778544, 7601549, 2 Sodium phosphate, tribasic 10101890, 10361894, 7758294, 10124568 10102188 2 Sodium selenite; see Selenium and selenium compounds 1 Soots, tars, and certain mineral oils 52017 1 Spironolactone 7745893 4 Starlicide; see 3-Chloro-p toluidine hydrochloride CAS No. Source Substance Footnotes 10048132 1 Sterigmatocystin 7803523 3 Stibine; see Antimony compounds 8052413 3 Stoddard solvent 18883664 1 Streptozotocin 7440246 2 Strontium 7789062 2 Strontium chromate; see Chromium compounds 57249 2,3,4 Strychnine 100425 1,2,3 Styrene, monomer 96093 1 Styrene oxide 1395217, 3 Subtilisins (proteolytic enzymes) 9014011 108305 1 Succinic anhydride 842079 1 Sudan I 3118976 1 Sudan II 95067 1 Sulfallate 723466 1 Sulfamethoxazole 3689245 3,4 Sulfotepp; see Tetraethyl dithiopyrophosphate 7704349 2 Sulfur 10025679 2 Sulfur chloride; see Sulfur monochloride 7446095 3 Sulfur dioxide 2551624 3 Sulfur hexafluoride 7664939 2,3 Sulfuric acid 7790945 2 Sulfuric chlorohydrin; see Chlorosulfonic acid 10025679 2,3 Sulfur monochloride 5714227 3 Sulfur pentafluoride 7783600 3 Sulfur tetrafluoride 2699798 3 Sulfuryl fluoride 35400432 3 Sulprofos 950378 4 Surpracide; see O,O-Dimethyl phosphorodithioate, S-ether with 4-(mercaptomethyl)-2-methoxy O 2 -1,3,4-thiadiazolin-5-one 1918189 2 Swep 8065483 4 Systox; see Demeton 93765 2,3,4 2,4,5-T; 2,4,5-Trichloro-phenoxyacetic acid 6369966, 2 2,4,5-T amines 6369977, 1319728, 3813147 2545597, 93798, 2 2,4,5-T esters; 61792072, 2,4,5-trichlorophenoxyacetic acid 1928478, 25168154 esters 13560991 2 2,4,5-T salt; acetic acid, 2,4,5- trichlorophenoxy- sodium salt 93721 2,4 2,4,5-TP acid; propanoic acid, 2-(2,4,5-trichlorophenoxy) 32534955 2 2,4,5-TP ester; propanoic acid, 2-(2,4,5-trichlorophenoxy)-, isooctyl ester) 1746016 1,2 TCDD; see 2,3,7,8 Tetrachlorodibenzo-p-dioxin 78308 3 TCP; see Tri-o-creysl phosphate 72548 2,4 TDE 584849 3 TDI; see Tolulene-2,4-diisocyanate 3689245 3 TEDP; see Tetraethyl dithionopyrophosphate 107493 2,3,4 TEPP; see Tetraethyl pyrophosphate 109999 3 THF; see Tetrahydrofuran 118967 3 TNT; see 2,4,6-Trinitrotoluene 115866 3 TPP; see Triphenyl phosphate 14807966 1,3 Talc [FN19] 1 Tannic acid and tannins 7440257 2,3 Tantalum [FN3] 1314610 3 Tantalum oxide 10028167 3 Tellurium [FN3] 3 Tellurium compounds 7783804 3 Tellurium hexafluoride; see Tellurium compounds 3383968 3 Temephos; see Tetramethyl O, O'-thio-di-p-phenylene phosphorothiate 8001501 1 Terpene polychlorinates (Strobane6 [ 3 Terphenyls 58220 1 Testosterone (and its esters) 315377 1 Testosterone enanthate 79276 3 1,1,2,2-Tetrabromoethane; see Acetylene tetrabromide 1746016 1,2 2,3,7,8-Tetrachlorodibenzo-p-dioxin 76119 3 1,1,1,2-Tetrachloro-2, 2-difluoroethane CAS No. Source Substance Footnotes 72548 2 Tetrachlorodiphenylethane; see TDE 603206 1 1,1,1,2-Tetrachloroethane 76120 3 1,1,2,2-Tetrachloro-1,2- difluoroethane (FC-112) 79345 1,2,3 1,1,2,2-Tetrachloroethane; see Acetylene tetrachloride 127184 2,3,5 Tetrachloroethylene; see Perchloroethylene 56235 2,3 Tetrachloromethane; see Carbon tetrachloride 1335882 2,3 Tetrachloronaphthalene 961115 1 Tetrachlorvinphos 3689245 3,4 Tetraethyl dithiopyrophosphate (Sulfotepp) 78002 2 Tetraethyl lead; see Lead compounds 107493 2,3,4 Tetraethyl pyrophosphate 78104 3 Tetraethyl silicate; see Ethyl silicate 109999 3 Tetrahydrofuran 110918 3 Tetrahydro-4H-1-4-oxazine; see Morpholine 75741 3 Tetramethyl lead; see Lead compounds 681845 3 Tetramethyl silicate; see Methyl silicate 3383968 3 Tetramethyl 0,0 '-thio-di-p-phenylene phosphorothioate (temephos) 3333526 3 Tetramethyl succinonitrile (decomposition product of 2,2' -azobisisobutyronitrile) 137268 3 Tetramethyl thiuran disulfide; see Bis(dimethylthiocarbamoyl) disulfide 509148 3 Tetranitromethane 7722885 3 Tetra sodium pyrophosphate 479458 3 Tetryl 7440280 2 Thallium [FN3] 2,3 Thallium compounds 10031591, 2 Thallium sulfate; see 7446186 Thallium compounds 298022 4 Thimet; see Phorate 62555 1 Thioacetamide 28249776 4 Thiobencarb 96695 3 4,4 '-Thiobis(6-tert-butyl-m-cresol) 115297 2 Thiodan; see Endosulfan 139651 1 4,4 '-Thiodianiline 68111 3 Thioglycolic acid 7719097 3 Thionyl chloride 52244 1 Thiotepa; see Tris(1-aziridinyl) phosphine sulphide 141902 1 Thiouracil 62566 1 Thiourea 137268 3 Thiram; see Bis(dimethylthiocarbamyl) disulfide 7440315 2,3 Tin [FN3] 3 Tin compounds 7440326 2 Titanium 1836755 4 Tok; see 2,4-Dichlorophenyl-p nitrophenyl ether 119937 1 o-Tolidine; see 3,3 ' Dimethylbenzidine 108883 2,3 Toluene 584849 1,3 Toluene-2, 4-diisocyanate 26471625, 1 Toluene diisocyanates 91087, 26471625, 584849 108441 3 m-Toluidine 106490 3 p-Toluidine 95534 3 o-Toluidine; see o-Methylaniline 636215 1 ortho-Toluidine; hydrochloride 108883 2,3 Toluol; see Toluene 10311849 4 Torak; see Dialifor 8001352 1,2,3,4 Toxaphene 14567738 3 Tremolite 299752 1 Treosulfan 299752 1 Treosulphan; see Treosulfan 75252 3 Tribomomethane; see Bromoform 126738 3 Tributyl phosphate 78488 4 S,S,S-Tributyl phosphoro-trithioate 150505 4 S,S,S-Tributyl phosphorotrithioite 4 Tributyltin, coatings containing 52686 2 Trichlorfon 76039 3 Trichloroacetic acid 120821 2,3 1,2,4-Trichlorobenzene; see Chlorinated benzenes CAS No. Source Substance Footnotes 50293 3 1,1,1-Trichloro-2-2,bis (p-chlorophenyl) ethane; see DDT 72435 3 1,1,1-Trichloro-2,2-bis (p-methoxphenyl)-ethane; see Methoxychlor 79005 1,2,3 1,1,2-Trichloroethane 71556 2,3 1,1,1-Trichloroethane; see Methyl chloroform 79016 3 Trichloroethene; see Trichloroethylene 79016 1,2,3 Trichloroethylene 75694 3 Trichlorofluoromethane; see Fluorotrichloromethane 67663 2,3 Trichloromethane; see Chloroform 594423 3 Trichloromethanethiol; see Perchloromethyl mercaptan 1321659 2,3 Trichloronaphthalene 76062 3 Trichloronitromethane; see Chloropicrin 88062 2 2,4,6-Trichlorophenol; see Trichlorophenols 25167822, 1,2 Trichlorophenols 15950660, 933788, 933755, 95954, 609198, 88062 136254 2 2-(2,4,5-Trichlorophenoxy) ethyl 2,2-dichloropropionate (Erbon) 96184 3 1,2,3-Trichloropropane 76131 2,3 1,1,2-Trichloro-1,2, 2-trifluoroethane (FC-113) 78308 3 Tri-o-cresyl phosphate 13121705 3 Tricyclohexyltin hydroxide; see Tin compounds 27323417 2 Triethanolamine dodecylbenzenesulfonate [FN9] 121448 2,3 Triethylamine 1954285 1 Triethylene glycol diglycidyl ether 75638 3 Triflorobromomethane; see Bromotrifluoromethane 1582098 1,2 Trifuralin 552307 3 Trimellitic anhydride 75503 2,3 Trimethylamine 137177 1 2,4,5-Trimethylaniline 3 Trimethylbenzene (all isomers) 78591 3 3,5,5-Trimethyl-2-cyclohexene 1-one; see Isophorone 121459 3 Trimethyl phosphite 88891 3 2,4,6-Trinitrophenol; see Picric acid 479458 3 2,4,6-Trinitrophenylmethylnitramine; see Tetryl 118967 3 2,4,6-Trinitrotoluene 78308 3 Tri-ortho-cresyl phosphate; Tri-o-cresyl phosphate 603349 3 Triphenylamine 115866 3 Triphenyl phosphate 68768 1 Tris(aziridinyl)-para-benzoquinone; (Triaziquone) 52244 1 Tris(1-aziridinyl)phosphine sulfide 51183 1 2,4,6-Tris(1-aziridinyl)-s-triazine 38571732 1 1,2,3-Tris(chloromethoxy)propane 126727 1 Tris(2,3-dibromopropyl) phosphate 786196 4 Trithion; see Carbophenothion 62450060 1 Trp-P-1 (Tryptophan-P-1) 62450071 1 Trp-P2 (Tryptophan-P-2) 72571 1 Trypan blue (commercial grade) 7440337 2,3 Tungsten, Tungsten compounds [FN3], [FN34] 8006642 3 Turpentine 66751 1 Uracil mustard 7440611 2,3 Uranium [FN3], [FN34] 2,3 Uranium compounds 541093 2 Uranyl acetate; see Uranium compounds 10102064 2 Uranyl nitrate; see Uranium compounds 51796 1 Urethane 8030306 3 VM & P (Varnish Makers & Painters) naphtha 110623 3 Valeraldehyde 7440622 2 Vanadium 1314621 2,3 Vanadium pentoxide [FN3] 27774136 2 Vanadyl sulfate 62737 2 Vapona; see Dichlorvos 108054 2,3 Vinyl acetate 100425 2 Vinylbenzene; see Styrene, monomer 593602 1,3 Vinyl bromide 75014 1,2,3 Vinyl chloride 107131 2,3 Vinyl cyanide; see Acrylonitrile 100403 1 4-Vinylcyclohexene CAS No. Source Substance Footnotes 106876 1,3 Vinyl cyclohexene dioxide 106876 1 4-Vinyl-1-cyclohexene diepoxide; see Vinyl cyclohexene dioxide 75354 1,2,3 Vinylidene chloride 25013154 3 Vinyltoluene 79005 1 Vinyl trichloride; see 1,1,2 Trichloroethane 81812 3 Warfarin 13983170 1 Wollastonite 1330207, 95476, 2,3 Xylene, all isomers 106423, 108383 1477550 3 m-Xylene-a ',a '-diamine 1300716 2 Xylenol 1300738 3 Xylidine 95476 2,3 Xylol; see Xylene, all isomers 131793 1 Yellow OB 3 Yttrium compounds 17924924 1 Zearalenone 7440666 2 Zinc [FN3] 557346 2 Zinc acetate; see Zinc compounds 14639975, 2 Zinc ammonium chloride; 14639986, see Zinc 52628258 compounds 1332076 2 Zinc borate; see Zinc compounds 7699458 2 Zinc bromide; see Zinc compounds 3486359 2 Zinc carbonate; see Zinc compounds 7646857 2,3 Zinc chloride; see Zinc compounds 1350659 3 Zinc chromate; see Chromium compounds 2,3,4 Zinc compounds [FN28] 557211 2 Zinc cyanide; see Cyanides, inorganic salts 7783495 2 Zinc fluoride; see Zinc compounds 557415 2 Zinc formate; see Zinc compounds 7779864 2 Zinc hydrosulfite; see Zinc compounds 7779886 2 Zinc Nitrate; see Zinc compounds 1314132 3 Zinc oxide fume; see Zinc compounds 127822 2 Zinc phenolsulfonate; see Zinc compounds 1314847 2,4 Zinc phosphide; see Zinc compounds 16871719 2 Zinc silicofluoride; see Zinc compounds 7733020 2 Zinc sulfate; see Zinc compounds 12122677 Zineb 7440677 2 Zirconium 7440677 2,3 Zirconium compounds, as Zr 13746899 2 Zirconium nitrate; see Zirconium compounds 16923958 2 Zirconium potassium fluoride; see Zirconium compounds 14644612 2 Zirconium sulfate; see Zirconium compounds 10026116 2 Zirconium tetrachloride FNFOOTNOTES FOR HAZARDOUS SUBSTANCE LIST [FN1.] Refers to solutions greater than or equal to 10%. Exempt when present in food or beverages, such as vinegar, apple cider, and wine, regardless of concentration. [FN2.] Refers to water-soluble salts only; all other salts are exempt. [FN3.] An MSDS must be provided under the following circumstances: [FNa)] The metal is supplied as a fine powder. [FNb)] The metal is in welding or brazing rods. [FNc)] The metal may be melted with the generation of toxic fume. [FNd)] Under normal use, toxic dust or fume is likely to be generated by any manufacturing process. [FN4.] Exempt when in bonded form or when antimony compounds cannot be released due to cutting, grinding, heating, etc. [FN5.] Except: [FNa)] Exterior and interior coatings and laminating resins containing encapsulated asbestos fibers within such products. [FNb)] Cold process asphalt roof coatings. [FNc)] Non-friable encapsulated products such as floor tiles. [FN6.] Any liquids; and products that could give rise to asphalt fume under normal conditions are included. Mechanical breakup of hardened asphalt surfaces is exempt. [FN7.] Exempt when used in foods and feeds as a preservative. [FN8.] Exempt except when present as free crystal/powder. [FN9.] Exempt when in solution. [FN10.] Exempt when in form where exposure to dust cannot occur. [FN11.] Products that could give rise to coal tar pitch volatiles during normal use are included. [FN12.] Exempt when part of a cured epoxy or rubber. [FN13.] Refers to solutions greater than or equal to 25%. Beverage alcohol (as defined by Sections 23004 and 23005 of the California Alcoholic Beverage Control Act) in any concentration is exempt. [FN14.] Exempt except when vapors or particulates are or can be formed due to work practices or procedures. [FN15.] Exempt except when present as a dust. [FN16.] Exempt when used as fuel. [FN17.] Exempt except when inhalable dust and/or particulates are present or are generated through use of the product. [FN18.] Refers to the water-soluble salts only; exempt when mixed in food or animal feed. [FN19.] Exempt except when inhalable dust is present or can be generated through use. [FN20.] Exempt when in mixture, suspension, or where inhalable dust or particles are not present or cannot be formed. [FN21.] Exempt except where mineral oil mists can be generated in the ordinary use of the products, e.g. cutting oils [FN22.] Occupational sources of ozone include, but are not limited to: [FNa)] during oxidizing process of fine organic chemicals production (primarily ozolaic acid); [FNb)] during operations involving high-intensity UV light (plasma torch operations, glass blowing, hot metal operations, photoengraving operations, use of mercury vapor lamps, direct copying machines, projecting equipment); [FNc)] during operations involving high voltage electrical equipment (spectrographic and fluorometric apparatus, electroplating operations, high-volt linear accelerators, and electrostatic precipitators); [FNd)] during operations involving ozonizing process in treatment of water, industrial waste, and sewage; during air purification; [FNe)] during drilling, cutting, and welding operations utilizing laser radiation; [FNf)] during bleaching operations (textiles, pulp, paper, waxes, starch, sugar, Teflon, and synthetic fibers), refining of mineral oils and their derivatives, processing of perfumes, vanillin, and camphor, aging and drying operations (wood, wines, whiskeys, varnishes, and printing inks); [FNg)] during food preserving operations for mold and bacteria control; [FNh)] during welding operations using inert gas shielded arc welding devices, bare wire arc welding; and [FNi)] during manufacturing production of ozone. [FN23.] Includes benzanthracenes, benzopyrenes, benzofluoranthrene, chrysenes, dibenzanthracenes, and indenopyrenes. [FN24.] Refers to smoke and fume products given off during soldering. [FN25.] Exempt except when inhalable particulates are present or can be generated. [FN26.] Silver compounds existing in stable emulsions or suspensions, as in photographic film, are exempt. [FN27.] Applicable to cotton fiber for use in industries or operations covered by General Industry Safety Order 5219, Cotton Dust. [FN28.] Exempt when present in motor oils at 2.5% or below. Zinc oxide is exempt except when present as dust or when generated as a fume. Zinc stearate is exempt except when present as dust. [FN29.] Refers to solutions greater than or equal to 4%. [FN30.] Refers to solutions greater than or equal to 3%. [FN31.] Refers to any mixture containing 0.1% or greater of this substance. [FN32.] Refers to any mixture containing 0.02% or greater inorganic arsenic. [FN33.] Refers to any mixture containing 0.1% or greater EDB. [FN34.] Exempt when encapsulated in a capsule which meets the definition of "Special Form Materials" prescribed in 49 CFR 173.403(z). [FN35.] Applies to silica sand and silica flour, but naturally occurring dirt and sand which has not been increased in silica concentration by beneficiation are exempt. [FN36.] Except butyl benzyl phthalate. [FN37.] Exempt except when crystalline powder is being manufactured or being used. [FN38.] Fibrous glass is a mechanical irritant. There is no present scientific evidence as to the existence of any other adverse health effect. [FN39.] Except Copper phthalocyanine crudes and pigments. Note: Authority cited: Sections 54, 55 and 6380, Labor Code; and 8 CCR Section 337. Reference: Sections 6380, 6380.5, 6382 and 6383, Labor Code. s 339.1. Scope and Application. This Article applies to all insurers and insureds as defined in section 339.3. Note: Authority cited: Sections 54 and 55, Labor Code; and section 11721, Insurance Code. Reference: Section 11721, Insurance Code. s 339.2. Effective Dates and Start-Up Procedures. (a) This article shall take effect immediately, except for section 339.4 which shall take effect on April 1, 1994. (b) Provisional Certification Periods. (1) Provisional certification shall be granted by the Division for a period of 120 days upon receipt by the Loss Control Consultation Certification Unit of an application which complies, at a minimum, with the requirements of 339.7(b) and (c)(1) through (3). (2) The Division may extend an insurer's provisional certification for an additional period of up to 120 days if the volume of applications received results in the Division's inability to process the insurer's application within the initial 120 day period. (c) Certification Periods. (1) The first period of certification shall include the period of provisional certification and shall last for one year unless extended by the Division for purposes of evenly distributing the workload associated with the ongoing processing of applications for recertification. (2) All subsequent certifications shall last for a period of one year. Note: Authority cited: Sections 54 and 55, Labor Code; and section 11721, Insurance Code. Reference: Section 11721, Insurance Code. s 339.3. Definitions. (a) "Annual Plan" means the insurer's annual health and safety loss control plan. (b) "Budget" means a description of anticipated expenditures to be incurred in providing loss control consultation services to targeted employers as described by the insurer's annual plan, including the amount of funds allocated, the categories of services to be funded, and the amount of funding budgeted for each category. (c) "Director" means the Director of the Department of Industrial Relations or an authorized representative. (d) "Division" means the Division of Occupational Safety and Health. (e) "Employer" means any insured. (f) "Insured" means any person or entity other than a person or entity which has received a certificate of consent to self-insure pursuant to Labor Code Section 3700(b), which has secured workers' compensation insurance from an insurer. (g) "Insurer" means any entity licensed by the California Department of Insurance to write workers' compensation insurance coverage. (h) "Loss control" means reduction of exposure to workers' compensation losses and control of significant preventable health and safety hazards to workers. (i) "Loss control consultation services" means assistance in recognizing, evaluating, and controlling significant preventable health and safety hazards and other potential sources of workers' compensation losses. Loss control consultation services consist of services provided by an insurer only to those employers to which the insurer has extended workers' compensation coverage. (j) "On site consultation" means observation of an insured's work operations to determine the existence of significant preventable health and safety hazards, including, where appropriate, monitoring of hazardous physical, chemical, and biological agents. (k) "Significant preventable health and safety hazards" means those hazards which are capable of being controlled by the employer and which have the potential to substantially affect the frequency and severity of workplace injuries and illnesses and workers' compensation losses. ( l) "Targeted employer" means an employer selected by the insurer to receive loss control consultation services, based on the criteria set forth in section 339.11. This term does not include any part of the employer's operations which is outside of California. NOTE: Where the employer has more than one worksite, "targeted employer" means only those worksites selected by the insurer to receive loss control consultation services based on the criteria set forth in section 339.11 (m) "Workers' compensation insurance" means only that workers' compensation insurance provided under the laws and regulations of the State of California. This term does not include excess reinsurance or any form of homeowner's insurance. (n) "Workplace survey" means an evaluation of an insured's work operations which can consist of a comprehensive on-site consultation or any other procedure which effectively identifies significant preventable health and safety hazards to workers. Note: Authority cited: Sections 54 and 55, Labor Code; and section 11721, Insurance Code. Reference: Section 11721, Insurance Code. s 339.4. Provision of Loss Control Consultation Services. (a) Every insurer issuing or maintaining a workers' compensation insurance policy covering an employer's current or future operations shall maintain or provide loss control consultation services certified by the Division in accordance with this Article. NOTE: Insurers may elect to provide all or part of their loss control consultation services through another entity, e.g., consultants, insurance groups or health care organizations, to the extent that the services to be provided meet the requirements of this section. However, such an election shall not alter the insurer's responsibility to maintain certification and to direct and control the provision of all loss control consultation services required by this Article. (b) At the time the insurance policy is issued, and annually thereafter, the insurer shall provide to each of its insureds a written description of the insurer's loss control consultation services, including a notice stating that the services are available at no additional charge to the insured. The following statement shall be included with the notice: "Workers' compensation insurance policyholders may register comments about the insurer's loss control consultation services by writing to: State of California, Department of Industrial Relations, Division of Occupational Safety and Health, P.O. Box 420603, San Francisco, CA 94142." (c) The insurer shall not charge the employer any fee in addition to the insurance premium for the provision of loss control consultation services. (d) Targeted Employers. (1) The insurer shall provide loss control consultation services to all targeted employers, which, at a minimum, shall include the following: (A) Effective evaluation of the employer's operations, including: 1. Comprehensive on-site consultation for each targeted employer identified by the insurer's annual plan; 2. Discussions with management and, with permission of the employer, non-management personnel; and 3. Review with appropriate personnel of relevant records, including, but not limited to, the employer's log and summary of injuries and illnesses maintained pursuant to section 14301 and the employer's section 3203 injury and illness prevention program; (B) Identification of the factors most related to the losses experienced by the employer, including: 1. First aid and other emergency or post-injury response procedures; 2. Workplace health and safety hazards; 3. Management policy and practices related to loss control; 4. The effectiveness with which company loss control policy is communicated among management personnel and between management and non-management personnel; 5. The effectiveness of training; 6. The extent and nature of worker participation in health and safety promotion efforts; 7. The adequacy of recordkeeping; and 8. The adequacy of the employer's section 3203 injury and illness prevention program. (C) Formulation of recommended loss control measures, including specification of those critical to reduction of the employer's losses or potential for losses; (D) A written report detailing the consultation provided, the findings of the consultation, and all loss control measures formulated pursuant to subsection (d)(1)(C); and (E) Ongoing evaluation of the targeted employer to determine the impact of the consultation on the employer's loss control experience. (2) The insurer shall maintain records of all loss control consultation services provided to targeted employers for 4 years and shall make those records available to the Division upon request. (e) Non-targeted Employers. Loss control consultation services available upon request to non-targeted employers shall, at a minimum, include the following: (1) A workplace survey, including discussions with management, and, where appropriate, nonmanagement personnel with permission of the employer; (2) Review of injury records with appropriate personnel; and (3) Development of a plan to improve the employer's health and safety loss control experience, which shall include, where appropriate, modifications to the employer's section 3203 injury and illness prevention program. Exception: An insurer may, but is not required, to provide loss control consultation services to any insured whose place of employment does not pose significant preventable health and safety hazards to workers. Criteria for determining that a place of employment does not pose significant preventable health and safety hazards must be clearly identified in the annual plan. Note: Authority cited: Sections 54 and 55, Labor Code; and section 11721, Insurance Code. Reference: Section 11721, Insurance Code. s 339.5. Requirements for Certification and Recertification of Loss Control Consultation Services. (a) Certification lasts for a period of one year, except as specified by section 339.2. To apply for certification or recertification, an insurer must submit a completed application and all supporting documentation as required by section 339.7. (b) To qualify for certification and recertification the insurer shall demonstrate that: (1) The insurer has developed and is prepared to implement an annual plan which meets the requirements of section 339.6; and (2) The insurer has the capability to deliver effective loss control consultation services meeting the requirements of section 339.4. Such a demonstration shall include, but not be limited to, each of the following: (A) Identification of each entity supplying loss control consultation personnel, if consultation services are to be provided by personnel other than employees of the insurer. (B) A description of the categories, the number in each category, and the individual qualifications, including professional licenses and certification, of the personnel who will be providing loss control consultation services. (C) A detailed description of the services to be provided by each of the personnel and the types of industrial activities and settings with which their services will be associated, together with an explanation of how these personnel are qualified to address these activities and settings. (D) An estimate of: 1. The number of on-site consultations the insurer's loss control consultation personnel will provide for the coming certification year, specifying what portion will consist of consultations to targeted employers; 2. The average number of hours to be spent on each on site consultation, not including preparation and travel time; and 3. The number of workplace surveys not consisting of on-site consultation to be provided for the coming certification year, including the average amount of time to be spent per survey. (c) To maintain certification, the insurer shall notify the Division of any substantial change in the information provided to obtain certification from the Division and shall cooperate with any audit or request for information by the Division to determine the effectiveness of the loss control consultation services provided by the insurer. (d) The Division shall provide written notice to the insurer of any finding of deficiency related to the loss control consultation services audited by the Division, and any corrective actions deemed necessary to retention of the insurer's certification by the Division. Note: Authority cited: Sections 54 and 55, Labor Code; and section 11721, Insurance Code. Reference: Section 11721, Insurance Code. s 339.6. Annual Health and Safety Loss Control Plan. (a) Every insurer seeking certification or recertification shall submit an annual plan as required by section 339.7(c)(5). (b) The annual plan shall detail the insurer's program objectives for delivering loss control consultation services to those insureds selected as targeted employers, and shall include, at a minimum, the following: (1) A budget; (2) The methodology used by the insurer to select targeted employers; NOTE: Section 339.11 contains guidelines for selecting targeted employers. (3) One-year and three-year loss reduction goals for targeted employers; (4) Size, type, and identity of each targeted employer for the coming year; and (5) A description of the loss control consultation services provided to targeted employers during the previous year, including: (A) Identity of targeted employers served and a summary of the services provided to each; (B) Total expenditures for all targeted employers served; (C) Evaluation of the effectiveness of the consultations provided, including the extent to which the previous year's loss reduction goals were met for targeted employers and an analysis of any failure to meet such goals; and (D) A list of all employers to whom loss control consultation services have been provided through an entity other than the insurer or the insurance group to which the insurer belongs. The list shall include the identities and qualifications of the personnel who provided the consultation services. (c) The plan shall demonstrate that the insurer has reliably identified as targeted employers those of its insureds who have the greatest worker's compensation losses and most significant preventable health and safety hazards, and that the insurer's loss control consultation services will effectively serve the needs of targeted employers. (d) The Division shall maintain the confidentiality of all information provided by the plan, except for aggregate statistical data. Note: Authority cited: Sections 54 and 55, Labor Code; and section 11721, Insurance Code. Reference: Section 11721, Insurance Code. s 339.7. Application for Certification or Recertification of Loss Control Consultation Services. (a) Applications may be obtained from the Loss Control Consultation Services Certification Unit of the Division. (b) The application (Form LCC-1; 10-94) shall be lodged with the Loss Control Consultation Services Certification Unit and shall be accompanied by the required application fee. (c) The application shall provide, be accompanied by, or be supplemented with the following items: (1) Names under which the applicant is authorized to write workers' compensation insurance; (2) Name and address of the insurer's employee directly responsible for administering the insurer's loss control consultation services; (3) Proof of authorization from the California Department of Insurance to write workers' compensation insurance within the State of California; (4) Documentation demonstrating the insurer's capability to deliver loss control consultation services as described by section 339.5(b)(2); (5) A copy of the insurer's annual plan; and (6) Any additional information requested by the Division, if reasonably necessary to evaluate the insurer's suitability for certification consistent with the requirements of this Article. (d) Within 30 business days of receipt of an application for certification, the Division shall inform the applicant in writing either that the application is either complete and accepted for filing, or that the application is deficient and requires supplementation with additional information or documentation. (1) An application shall be deemed complete if it is in compliance with the requirements of this section. (2) A notice that the application is deficient shall explain what specific information or documentation is required to complete the application. NOTE: If the volume of applications received results in the Division's inability to process the insurer's start-up application for certification in compliance within the 30-business-day period, the Division may extend the period for up to 120 days. Where such an extension is made by the Division, the insurer's period of provisional certification shall be deemed extended by an equal amount of time pursuant to section 339.2(b). (e) Within 30 business days of the date of acceptance for filing of a completed application, the Division shall issue to the applicant: (1) A Notice of Certification which includes the date of expiration of the certification and specifies any conditions which attach to retention of the certification; or (2) A Notice of Denial of Certification, accompanied by a written explanation of the reasons for the denial. Note: Authority cited: Sections 54 and 55, Labor Code; and section 11721, Insurance Code. Reference: Section 11721, Insurance Code. s 339.8. Annual Collection of the Workers' Occupational Safety and Health Fund Fees. (a) The Director designates the Commission on Health and Safety and Workers' Compensation to collect the fee required by Labor Code Section 6354.7 for the purpose of establishing and maintaining a workers' occupational safety and health training and education program and insurance loss control services coordinator. (b) On or before April 1 of each year, each insurer subject to Labor Code Section 6354.5 shall pay to the Commission on Health and Safety and Workers' Compensation the workers' occupational safety and health training and education program fee required by Labor Code Section 6354.7. All fees collected pursuant to this section shall be deposited in the Workers' Occupational Safety and Health Education Fund, as provided in Section 6354.7 of the Labor Code. (c) The annual fee required under this section shall be the greater of one hundred dollars ($100) or 0.0286 percent of paid workers' compensation indemnity as reported for the previous calendar year to the designated rating organization for the analysis required under subdivisions (b) and (c) of Section 11759.1 of the Insurance Code. (d) Along with the payment required by this section, each insurer shall submit: (1) A copy of the insurer's response to the annual "Call for California Workers' Compensation Experience" for the preceding calendar year. (2) A summary report, on form CHSWC-1 "Workers' Occupational Safety and Health Fund Fee Report Form. (Rev.1/03)" The Commission shall provide a copy of the form CHSWC-1 to each insurer subject to Labor Code Section 6354.5 not later than February 1 of the year in which the fee is collected. The form CHSWC-1 shall include the following information: (A) the name of the insurer submitting the report, including a list of all insurer names used to write workers' compensation insurance in California. For each insurer listed, a copy of each insurer's Certificate of Authority, issued by the California Department of Insurance, to write workers' compensation insurance shall be submitted with the report as an attachment; (B) the name and contact information for a company officer to be contacted concerning the insurer's loss control services or the workers' occupational safety and health training and education program; (C) the amount of paid indemnity as reported by the insurer for the previous calendar year to the Workers' Compensation Insurance Rating Bureau in response to the annual "Call for California Workers' Compensation Experience;" and, (D) the amount of the fee being paid by the insurer. Note: Copies of the form CHSWC-1 may be obtained upon request from the Commission or downloaded from the Commission's web site at: http://www.dir.ca.gov/CHSWC/. (e) A group of insurers under the same management, direction and control may elect to submit a single consolidated payment so long as the information required by the Commission is separately provided for each insurer. Note: Authority cited: Section 6354.7, Labor Code; and section 11759.1, Insurance Code. Reference: Section 6354.5, Labor Code; and Section 11759.1, Insurance Code. s 339.8.1. Workers' Occupational Safety and Health Fund Fee Report Form. State of California Department of Industrial Relations Commission on Health and Safety and Workers' Compensation WORKERS' OCCUPATIONAL SAFETY AND HEALTH FUND FEE REPORT FORM Note: Authority cited: Section 6354.7, Labor Code; and Section 11759.1, Insurance Code. Reference: Section 6354.5, Labor Code; and Section 11759.1, Insurance Code. s 339.9. Denial of Certification or Recertification. (a) The Division shall deny certification or recertification if the insurer does not satisfy the requirements of this article. (b) An applicant denied certification may: (1) Reapply by submitting a new application together with a new application fee; or (2) Appeal for reconsideration to the Director. (c) Any applicant who wishes to appeal a denial of certification shall lodge with the Division, within 10 working days of receipt of the Notice of Denial, a written notice of the applicant's intent to appeal. (1) The Director shall hold a hearing, at the Division's headquarters offices or such other location as the Director may designate, within five working days of the appeal. (2) At the hearing, the insurer shall have the burden of establishing qualification for certification. (d) The Director shall issue a decision within 10 days of the hearing. The Director's decision shall be final. A final decision by the Director may not be appealed except as provided for by law. (e) The Insurance Commissioner shall be notified of every final decision by the Director to deny certification. Note: Authority cited: Sections 54 and 55, Labor Code; and section 11721, Insurance Code. Reference: Section 11721, Insurance Code. s 339.10. Revocation, Suspension or Attachment of Conditions to Certification. (a) The Division may at any time, upon a showing of good cause and after notice and an opportunity to be heard, revoke, suspend, or attach conditions to the retention of, any certification issued pursuant to this article. Good cause shall be deemed to exist if the Division establishes that the insurer has substantially failed to meet or comply with the requirements of this article. (b) Notice of the Division's intent to take any adverse action with respect to a certification shall be in writing and served at least fifteen days in advance of the hearing. Service shall be deemed complete if notice of the hearing is sent by certified mail or hand delivered to the address shown on the application form. The notice shall specify the action intended to be taken by the Division and the reasons for the action in sufficient detail to allow the insurer to prepare for the hearing. (c) The hearing shall be held at the Division's Headquarters offices, or at such other location as may be designated by the Director, and shall be conducted by the Chief or Deputy Chief of the Division. (d) The insurer may appeal any adverse action to the Director in the same manner as provided for appeal of denial of certification by section 339.9(c) and (d) and the filing of an appeal shall stay the adverse action until the issuance of a final decision by the Director. (e) The Insurance Commissioner shall be notified of every final decision by the Director to suspend or revoke certification. Note: Authority cited: Sections 54 and 55, Labor Code; and section 11721, Insurance Code. Reference: Section 11721, Insurance Code. s 339.11. Guidelines for Selecting Targeted Employers. (a) Section 339.6(b)(2) requires the insurer's annual plan to include a methodology for selecting targeted employers and section 339.6(c) requires the annual plan to demonstrate that the insurer has reliably identified as targeted employers those of its insureds who have the greatest workers' compensation losses and most significant preventable health and safety hazards, and that the insurer's loss control consultation services will effectively serve the needs of targeted employers. (b) The Division will review the annual plan to determine the effectiveness of the insurer's targeting methodology. Targeting methodologies may be different depending on the insurer and the type of insureds served, but shall utilize an effective combination of any of the following factors, or similar factors: (1) Type, number, and rate of occupational injuries and illnesses; (2) Number of workers' compensation claims, or injuries and illnesses, per payroll or premium dollar; (3) Severity of workers' compensation claims, or injuries and illnesses, per payroll or premium dollar; (4) Experience modification rating, or other ways of comparing the employer's loss experience to similar employers; (5) Data from the insurers' previous evaluations of the employer; and (6) Cal/OSHA citation history. Exception: Other information, e.g., direct written premium per employer or the number of employees per employer, may be used as additional factors to be considered in selecting targeted employers. However, such information shall not be used in a manner which results in exclusion of those insureds who have the greatest workers' compensation losses and most significant preventable health and safety hazards. Note: Authority cited: Sections 54 and 55, Labor Code; and section 11721, Insurance Code. Reference: Section 11721, Insurance Code. s 340. Contents and Posting Requirements of CAL/OSHA Notice. Every employer shall be required to post immediately upon receipt and to keep posted the CAL/OSHA Notice of Employee Protections and Obligations entitled "Safety and Health Protection on the Job," which is furnished pursuant to Labor Code Section 6328 by the Division of Occupational Safety and Health, Department of Industrial Relations, State of California, containing information on pertinent safety laws, regulations and certain rights of employees under the California Labor Code. Each employer must post at least one Notice (CAL/OSHA Notice) in each establishment in a conspicuous place where notices to employees are customarily posted. "Establishment" as used in this regulation means a single physical location where business is conducted or where services or industrial operations are performed. Where employers are engaged in activities which are physically dispersed such as construction or transportation, the notice required by this section shall be posted at each location to which employees report each day. Where employees do not usually work at, or report to, a single establishment, such notice or notices shall be posted at the location or locations from which the employees operate to carry out their activities. Each employer shall take steps to insure that such notices are not altered, defaced or covered by other material. This notice shall contain the address and telephone number of the nearest Division of Occupational Safety and Health office, and shall inform the employees of their right to report any unsafe working conditions in their place of employment to the Division of Occupational Safety and Health and their right to request a safety inspection by the Division of Occupational Safety and Health for unsafe conditions. The Notice shall also inform the employees that no employee shall be laid off or discharged for refusing to perform work in the performance of which the provisions of the California Labor Code, any occupational safety or health standard or any safety order of the Division will be violated, where such violation would create a real and apparent hazard to the employee or his fellow employees. The Notice shall contain the information that each citation issued under Section 6317 of the California Labor Code, Special Order or Order to Take Special Action issued under Section 6308 or a copy or copies thereof shall be prominently displayed at or near each place a violation referred to in the citation or order occurred. The Notice shall inform employees that employers who use any substance listed as a hazardous substance in Section 339 of Title 8 of the California Administrative Code must provide employees with information on the contents of material safety data sheets (MSDS) or equivalent information about the substance which trains employees to use the substance safely. That the employer is required to make available on a timely and reasonable basis a MSDS on each hazardous substance in the workplace upon request of an employee, collective bargaining representative, or an employee's physician. Further, that employees have the right to see and copy the medical record and other records of employee exposure to potentially toxic materials or harmful physical agents. The Notice shall inform the employees that the employer shall provide an opportunity for employees or their representatives to observe monitoring or measuring of employee exposure to hazards conducted pursuant to standards promulgated under California Labor Code Section 142.3, and shall allow the employee or his representative access to accurate records of employee exposures to potentially toxic materials or harmful physical agents. The Notice shall contain a statement that every employer and every employee shall comply with occupational safety and health standards and all rules, regulations and orders pursuant to Division 5 of the California Labor Code which are applicable to his or her own actions and conduct. Failure of any employer to post the CAL/OSHA Notice entitled "Safety and Health Protection on the Job" as required by this regulation may result in imposition of a fine of up to $1,000 upon the employer for each violation as set forth in Labor Code Section 6431. Note: Authority cited: Sections 60.5, 6308, 6318 and 6328, Labor Code. Reference: Sections 6318, 6328 and 6408, Labor Code. s 340.1. Rights of Employees to Observe Monitoring or Measuring. (a) Whenever an employer is required to conduct tests or to engage in monitoring or measuring, to determine employee exposure to hazards by specific standards promulgated under Labor Code Section 142.3, the employer shall notify the affected employee or employees or their representative, prior to commencement of the date, time and place of the testing, monitoring or measuring of employee exposure. The employer shall provide the affected employee or employees, or their representatives with the opportunity to observe the testing, sampling, monitoring or measuring undertaken pursuant to such standards. (b) The affected employee, employees or their representatives shall be allowed access to the records and reports of the results of the testing monitoring or measuring when carried out under the requirements of a standard promulgated under Labor Code Section 142.3. s 340.2. Notification to Employee of Exposure Required. Whenever any employee has been or is being exposed to toxic materials or harmful physical agents in concentrations or at levels exceeding those prescribed by applicable standard, order, or special order, the employer of the affected employee must promptly notify any employee so affected in writing of the fact that the employee has been exposed, and of the corrective action being taken by the employer. s 340.3. Employee Access to Accurate Records. s 340.4. Declaration of Abatement, Other Documentation, Employee Notification and Posting Requirements. (a) Scope and application. This section applies to employers who receive a citation for a violation of Title 8 of the California Code of Regulations. (b) Definitions. (1) Abatement means action by an employer to comply with a cited standard or regulation or to eliminate a recognized hazard identified by the Division during an inspection. (2) Abatement date means: (i) For an uncontested citation item, the later of: (A) The date in the citation for abatement of the violation; (B) The date otherwise approved by the Division as the result of an informal conference; or (C) The date established in a citation by an informal settlement agreement. (ii) For a contested citation item for which the Occupational Safety and Health Appeals Board (OSHAB) has issued a final order affirming the violation, the later of: (A) The date identified in the final order for abatement; or (B) The date computed by adding the period allowed in the citation for abatement to the final order date; or (C) The date established by a formal settlement agreement. (3) Affected employees means those employees who are exposed to the hazard(s) identified as violation(s) in a citation. (4) Final order date means: (i) For an uncontested citation item, the fifteenth working day after the employer's receipt of the citation; (ii) For a contested citation item: (A) The thirty-fifth day after the date on which a decision or order of an administrative law judge has been issued, unless a Petition for Reconsideration or Order of Reconsideration has been filed with or by OSHAB; or (B) Where a Petition for Reconsideration or Order of Reconsideration has been filed, the thirty-fifth day after the date on which OSHAB issues its decision or order disposing of the matter; or (C) The date on which the superior court issues a decision affirming the violation in a case in which a final order of OSHAB has been stayed. (5) Movable equipment means a hand-held or non-hand-held machine or device, powered or unpowered, that is used to do work and is moved within or between worksites. (c) Abatement certification. (1) Within 10 calendar days after the abatement date, the employer must certify to the Division that each cited violation has been abated, except as provided in paragraph (c)(2) of this section. (2) The employer is not required to certify abatement if the OSHA Compliance Officer, during the on-site portion of the inspection: (i) Observes, within 24 hours after a violation is identified, that abatement has occurred; and (ii) Notes in the citation that abatement has occurred. (3) The employer's certification that abatement is complete must include, for each cited violation, in addition to the information required by paragraph (h) of this section, the date and method of abatement and a statement that affected employees and their representatives have been informed of the abatement. (4) For serious violations the certification of abatement must be submitted under penalty of perjury as required pursuant to Labor Code section 6320(b). Note: See Appendix A for sample content and form of Abatement Certification Letter. (d) Abatement documentation. (1) The employer must submit to the Division, along with the information on abatement certification required by paragraph (c)(3) of this section, documents demonstrating that abatement is complete for each willful or repeat violation and for any serious violation for which the Division indicates in the citation that such abatement documentation is required. (2) Documents demonstrating that abatement is complete may include, but are not limited to, evidence of the purchase or repair of equipment, photographic or video evidence of abatement, or other written records. (e) Abatement plans. (1) The Division may require an employer to submit an abatement plan for each cited violation (except non-serious violations) when the time permitted for abatement is more than 90 calendar days. If an abatement plan is required, the citation must so dictate. (2) The employer must submit an abatement plan for each cited violation within 25 calendar days from the final order date when the citation indicates that such a plan is required. The abatement plan must identify the violation and the steps to be taken to achieve abatement, including a schedule for completing abatement and, where necessary, how employees will be protected from exposure to the violative condition in the interim until abatement is complete. N ote: See Appendix B for sample content and form of Abatement Plan. (f) Progress reports. (1) An employer who is required to submit an abatement plan may also be required to submit periodic progress reports for each cited violation. The citation must indicate: (i) That periodic progress reports are required and the citation items for which they are required; (ii) The date on which an initial progress report must be submitted, which may be no sooner than 30 calendar days after submission of an abatement plan; (iii) Whether additional progress reports are required; and (iv) The date(s) on which additional progress reports must be submitted. (2) For each violation, the progress report must identify, as briefly as possible, the action taken to achieve abatement and the date the action was taken. Note: See Appendix B for sample content and form of Progress Report. (g) Employee notification. (1) The employer must inform affected employees and their representative(s) about abatement activities covered by this section by posting a copy of each document submitted to the Division, or a summary of the document(s), near the place where the violation occurred. (2) Where such posting does not effectively inform employees and their representatives about abatement activities (for example, for employers who have mobile work operations), the employer must: (i) Post each document or a summary of the document(s) in a location where it will be readily observable by affected employees and their representatives; or (ii) Take other steps to communicate fully to affected employees and their representatives about abatement activities. (3) The employer must inform employees and their representatives of their right to examine and copy all abatement documents submitted to the Division. (i) An employee or an employee representative must submit a request to examine and copy abatement documents within 3 working days of receiving notice that the documents have been submitted. (ii) The employer must comply with an employee's or employee representative's request to examine and copy abatement documents within 5 working days of receiving the request. (4) The employer must ensure that notice to employees and employee representatives is provided at the same time or before the information is provided to the Division and that abatement documents are: (i) Not altered, defaced, or covered by other material; and (ii) Remain posted for three working days after submission to the Division. (h) Transmitting abatement documents. (1) The employer must include, in each submission required by this section, the following information: (i) The employer's name and address; (ii) The inspection number to which the submission relates; (iii) The citation and item numbers to which the submission relates; (iv) A statement that the information submitted is accurate; and (v) The signature of the employer and the employer's authorized representative. (vi) For serious violations the documentation must be submitted under penalty of perjury as required pursuant to Labor Code section 6320(b). (2) The date of postmark is the date of submission for mailed documents. For documents transmitted by other means, the date the Division receives the document is date of submission. (i) Moveable equipment. (1) For serious, repeat, and willful violations involving movable equipment, the employer must attach a warning tag or a copy of the citation to the operating controls or to the cited component of equipment that is moved within the worksite or between worksites. Note: Attaching a copy of the citation to the equipment will satisfy the tagging requirement of paragraph (i)(1) of this section as well as the posting requirements of section 332.4 of Title 8 of the California Code of Regulations. (2) If the employer attaches a warning tag, in lieu of the citation, it must warn employees about the nature of the violation involving the equipment and identify the location of the citation issued. Note: See Appendix C for sample form and content of a Warning Tag. (3) If the violation has not already been abated, a warning tag or copy of the citation must be attached to the equipment: (i) For hand-held equipment, immediately after the employer receives the citation; or (ii) For non-hand-held equipment, prior to moving the equipment within or between worksites. (4) The employer must assure that the tag or copy of the citation attached to movable equipment is not altered, defaced, or covered by other material. (5) The employer must assure that the tag or copy of the citation attached to movable equipment remains attached until: (i) The violation has been abated and all abatement verification documents required by this regulation have been submitted to the Division; (ii) The cited equipment has been permanently removed from service or is no longer within the employer's control; or (iii) OSHAB issues a final order vacating the citation; or (iv) As otherwise directed by the Division. Note: Appendices A through C provide information and non-mandatory guidelines to assist employers and employees in complying with the appropriate requirements of this section. NOTE: Authority cited: Sections 60.5 and 6308, Labor Code. Reference: Section 6320, Labor Code; and Title 29, Section 1903.19, Code of Federal Regulations. Appendix A to Section 340.4 -Sample Abatement - Certification Letter (Non-Mandatory) (Name), District Manager Division of Occupational Safety and Health Address of the District Office (on the citation) [Company's Name] [Company's Address] The hazard referenced in Inspection Number [insert 9-digit #] for violation identified as: Citation [insert #] and item [insert #] was corrected on [insert date] by: ________________________________. Citation [insert #] and item [insert #] was corrected on [insert date] by: _____________________. (NOTE: Follow sample format for each citation or item) I attest that the information contained in this document is accurate. _________________________ Signature ______________________________________________________ Typed or Printed Name __________________________________________ Note: For serious violations the submittal must be made under penalty of perjury. For Example: "I declare under penalty of perjury the foregoing is true and correct. Executed this ________ day of (month) in the city of _________________, California. __________" (Signature) ____________________________________________________ Appendix B to Section 1903.19 -Sample Abatement Plan or Progress Report (Non-Mandatory) (Name), District Manager Division of Occupational Safety and Health Address of the District Office (on the citation) [Company's Name] [Company's Address] Check one: Abatement Plan [ ] Progress Report [ ] Inspection Number Page __________ of __________ Citation Number(s) [FNa1] _______________________________________ Item Numbers ___________________________________________________ Proposed Completion Date (for Completion Date (for Action abatement plans only) progress reports only) 1._____________________________________________________________________________ 2._____________________________________________________________________________ Date required for final abatement: I attest that the information contained in this document is accurate. (NOTE: For serious violations the document must be submitted under penalty of perjury. See Appendix A, above) Signature ______________________________________________________ Typed or Printed Name __________________________________________ Name of primary point of contact for questions: __________ [optional] Telephone Number _______________________________________________ [FNa1] Abatement plans or progress reports for more than one citation item may be combined in a single abatement plan or progress report if the abatement actions, proposed completion dates, and actual completion dates (for progress reports only) are the same for each of the citation items. Appendix C to Section 340.4 -Sample Warning Tag (Non-Mandatory) WARNING: EQUIPMENT HAZARD CITED BY CAL/OSHA EQUIPMENT CITED: _____________________ HAZARD CITED: _____________________ FOR DETAILED INFORMATION SEE CAL/OSHA CITATION POSTED AT: _____________________ s 340.40. Scope and Application. (a) These general rules of practice and procedure of the Division of Occupational Safety and Health (hereinafter "the Division") are applicable to proceedings involving the denial, suspension or revocation of any license, permit, certification, registration or other authorization issued by the Division, and proceedings involving an Order Prohibiting Use (for purposes of this article, hereinafter referred to as "OPU") issued pursuant to Labor Code section 6325. (b) These general rules of practice and procedure may supplement, but shall not replace, other codified administrative notice and appeal procedures. In case of conflict with codified notice and appeal procedures, the more-specific procedures shall apply. Note: Authority cited: Sections 60.5 and 6308, Labor Code; and Section 11400.20, Government Code. Reference: Sections 60.5 and 6308, Labor Code; and Section 11400.20, Government Code. s 340.41. Notification of Division Proceedings for Denial, Suspension or Revocation. (a) When, after review, examination, investigation or inspection, the Division determines that good cause exists to deny, suspend or revoke any permit, license, certification, registration, or other authorization issued by the Division, written notification shall be provided to the person or entity against whom the Division intends to take such action. (b) The notification shall cite the statute or regulation authorizing the action taken by the Division, and shall state the grounds constituting good cause for the denial. suspension, revocation or other action proposed by the Division. (c) The notification may be served personally, by facsimile, by overnight delivery, or by certified mail. The provisions of this article are subject to Section 1013 of the California Code of Civil Procedure. (d) The Director of the Department of Industrial Relations (for purposes of this article, the Director of the Department of Industrial Relations shall hereinafter be referred to as "the Director") or the Division shall make a copy of these regulations available to appellants, and shall advise appellants that the appeal proceedings shall not be subject to the provisions of Chapter 5 (commencing with Section 11500) of Part 1, Division 3, of Title 2 of the California Government Code. Note: Authority cited: Sections 60.5 and 6308, Labor Code; and Section 11400.20, Government Code. Reference: Sections 60.5 and 6308, Labor Code; and Section 11400.20, Government Code. s 340.42. Request for Hearing. (a) Within five working days after receipt of the Division's denial of an application for any license, permit, certification, registration or other authorization, or the suspension or revocation of a permit, license, certification, registration or other authorization, or the issuance of an Order Prohibiting Use, the affected applicant or employer may request a hearing to review the validity of the Division's action. (b) The request for hearing must be in writing and must set forth specific reasons why the Division's action was improper. An appellant's failure to mail or otherwise deliver a request for hearing within five working days of receipt of notification of the action will result in the Division's action being considered final and not subject to review, except where review is otherwise provided by law. (1) For the denial of an application for a permit, license, certification, registration or other authorization, the written request for hearing shall be mailed or otherwise delivered to the headquarters office of the Director. (2) For the suspension or revocation of a permit, license, certification, registration, or other authorization, the written request for hearing shall be mailed or otherwise delivered to the headquarters of the Division. (3) For the issuance of an Order Prohibiting Use, the request for hearing shall be mailed or otherwise delivered to the District Manager of the district office which issued the Order Prohibiting Use. Note: Authority cited: Sections 60.5 and 6308, Labor Code; and Section 11400.20, Government Code. Reference: Sections 60.5 and 6308, Labor Code; and Section 11400.20, Government Code. s 340.43. Designation of Presiding Officer and Notification of Hearing. (a) Upon receipt of a request for an appeal hearing regarding the Division's denial of an application for a permit, license, certification, registration, or other authorization, the Director or the Director's Chief Counsel shall designate a Presiding Officer to conduct the hearing. Upon receipt of a request for hearing regarding the suspension or revocation of a permit, license, certification, registration, or other authorization, the Chief of the Division shall designate a Presiding Officer to conduct the hearing. The Presiding Officer may be a Deputy Chief, Regional Manager, or other designated representative. For hearings regarding the issuance of Orders Prohibiting Use, the District Manager shall serve as Presiding Officer. (b) The Department or Division shall notify the appellant of the date, time and location of the hearing, and of the name of the Presiding Officer. The date and time of the hearing shall be subject to the specific provisions of the statute or regulation, if any, authorizing the action. Where no statute or regulation imposes specific time limitations, a hearing shall be set so as to provide sufficient time for preparation and attendance at the hearing, but in no event less than five working days following the receipt of a request for hearing, unless appellant agrees to or requests an earlier hearing. Hearings regarding the issuance of an OPU shall be held within 24 hours following receipt of the appellant's request for a hearing, unless appellant agrees to or requests a later hearing. (c) The Presiding Officer may change the date, time and location of the hearing for good cause upon his or her own motion or upon the written motion of either party at any time prior to the hearing. (d) The appellant must immediately notify all affected employees, former employees, and employee representatives, if any, of the date, time and location of the hearing along with a description of the purpose for the hearing, by posting the notification of hearing or otherwise providing written notice. The notification of hearing must remain posted in a conspicuous place for at least three working days or until the date of the hearing, whichever is less. (e) The Division or Department may serve the notification of hearing, as required under subsection (b), personally, by facsimile or by overnight delivery. Note: Authority cited: Sections 60.5 and 6308, Labor Code; and Section 11400.20, Government Code. Reference: Sections 60.5, 6308 and 6327, Labor Code; and Section 11400.20, Government Code. s 340.44. Conduct of Hearing. (a) The Presiding Officer shall be responsible for receiving evidence both from Division representatives and the appellant and shall issue a decision as set forth in this article. Parties shall have the opportunity to present relevant documentary or other evidence through the presentation of direct testimony, the cross-examination of witnesses, and the rebuttal of any evidence presented during hearing. The Presiding Officer may also examine witnesses or request the presentation of additional relevant evidence. (1) Upon motion, the Presiding Officer may exclude witnesses from the hearing room. Each party may designate one representative who may stay in the hearing room, even if the representative will also serve as a witness. (2) A party may appear in person or through a representative who is not required to be an attorney. (3) Designated employee representatives may make written request to participate in the hearing if it is established that such participation will be relevant to any issues presented at the hearing. (4) The Presiding Officer shall receive evidence under oath or affirmation under penalty of perjury. The hearing shall be tape-recorded, unless the parties agree to some other method of recording the hearing. If the parties do not agree to an alternative method of recording, the Presiding Officer shall make the official record of the hearing by tape recording, and may allow each party to make and pay for an additional record if, in the Presiding Officer's opinion, the making of the additional record or records would not unduly disrupt the proceedings. (b) The hearing shall not be subject to the technical rules relating to evidence or witnesses. However, only relevant evidence of the sort responsible persons are accustomed to rely upon in conducting serious affairs shall be admitted and relied upon in rendering a decision. Hearsay evidence is admissible but, if objected to, may not be solely relied upon without other supporting evidence unless the hearsay would be admissible over objection in a civil proceeding. (c) Any hearing conducted pursuant to this article shall be open to the public as required pursuant to Government Code section 11425.20. (d) During all stages of a hearing, the Presiding Officer and all parties to the hearing shall be subject to the provisions of Article 7 (commencing with section 11430.10), of Chapter 4.5 of Part 1, Division 3, Title 2 of the Government Code regarding ex parte communication. (e) The matter shall be deemed submitted at the conclusion of the hearing unless some other submission date is agreed to between the parties or otherwise designated by the Presiding Officer. (f) The Presiding Officer shall, on behalf of the Director or Division, issue and serve a written decision on the parties no later than thirty (30) calendar days after submission of the matter for decision, except as follows. (1) The time for issuance and service of the decision may be extended by the Presiding Officer for good cause. (2) For an Order Prohibiting Use, a decision concerning the validity of the order shall be made as soon as possible, but not more than two working days, after the conclusion of the hearing. (g) Decisions shall be in writing and shall include findings of fact and conclusions supporting the decision. However, at his or her discretion, a Presiding Office may issue a preliminary decision without setting forth findings of fact and conclusions supporting the decision, as long as a complete decision is issued within the time period provided in this section. (h) Any right to request review of the decision shall be governed by the specific regulation or statute authorizing the action taken by the Division. Note: Authority cited: Sections 60.5 and 6308, Labor Code; and Section 11400.20, Government Code. Reference: Sections 60.5, 6308 and 6308.5, Labor Code; and Section 11400.20, Government Code. s 340.45. Presiding Officer - Grounds for Disqualification. Any Presiding Officer may be disqualified for any ground set forth in Government Code sections 11425.30 and 11425.40. A request for disqualification must be in writing to the Director and shall specifically detail the grounds upon which disqualification is sought and the factual basis for the request. The request shall be filed with the Director pursuant to the provisions of section 340.46 of this Article. Note: Authority cited: Sections 60.5 and 6308, Labor Code; and Section 11400.20, Government Code. Reference: Sections 60.5 and 6308, Labor Code; and Section 11400.20, Government Code. s 340.46. Service of Process. (a) Unless otherwise required, service may be made by personal delivery or by depositing the documents in a post office, mailbox or mail chute, or other like facility regularly maintained by the United States Postal Service, sealed, properly addressed, with first-class postage prepaid. (b) Service is complete at the time of the personal delivery or mailing. (c) Proof of service shall be filed with the document and may be made by any of the following means: (1) Affidavit or declaration of service by personal delivery or mail; (2) Written statement endorsed upon the document served and signed by the party making the statement; or (3) Letter of transmittal. (d) Facsimile (fax) machines may be used to serve and file documents under the following conditions: (1) The length of the document to be filed and/or served shall be no more than twelve (12) pages including cover page and attachments. (2) A copy sheet shall be attached containing the number of pages transmitted, the fax number of the sender, the sender's telephone number, and the name of the contact person. (3) If a document is filed by fax, all parties shall be served in the same manner or by guaranteed overnight delivery. The fax transmission shall include a proof of service indicating the method of service on each party, and (4) No later than 24 hours after transmission, the sending party shall file and serve on all parties the original of any faxed document as set forth in this section. (e) For facsimile service and filing of documents, a document is considered received on the following working day if transmission begins later than 5:00 p.m. Pacific Time. Note: Authority cited: Sections 60.5 and 6308, Labor Code; and Section 11400.20, Government Code. Reference: Sections 60.5 and 6308, Labor Code; and Section 11400.20, Government Code. s 340.47. Discovery. (a) Upon written request made to the other party prior to hearing, a party to the proceeding is entitled to obtain the names and addresses of witnesses to the extent known to the other party, including, but not limited to, those intended to be called to testify at the hearing. Nothing in this section requires the disclosure of the identity of a person who submitted a complaint regarding the unsafe nature of an employment or place of employment unless the complainant requests otherwise. (b) A party is entitled upon written request to inspect and make copies of any of the following materials in the possession or custody or under the control of the other party: (1) Any statements of parties or witnesses relating to the subject matter of the proceeding; (2) All writings or things which the party then proposes to offer in evidence; (3) Any other writing or thing which is relevant and which would be admissible in evidence; (4) Inspection and investigative reports made by, or on behalf of, the Division or other party pertaining to the subject matter of the proceeding, to the extent that such reports: contain the names and addresses of witnesses or persons having personal knowledge of the acts, omissions or events which are the basis of the proceeding; reflect matters perceived by the Division or other party in the course of its inspection, investigation or survey; or contain or include by attachment any statement or writing described in this section. (c) The parties shall arrange for a mutually-agreeable time for exchange of requested materials and information but in no event later than 24 hours prior to the time set for hearing. (d) The Presiding Officer may, upon written request by either party, make provision for timely completion of discovery. Note: Authority cited: Sections 60.5 and 6308, Labor Code; and Section 11400.20, Government Code. Reference: Sections 60.5, 6308 and 6309, Labor Code; and Section 11400.20, Government Code. s 340.48. Subpoenas and Subpoenas Duces Tecum - Witness Fees. (a) Before the hearing has commenced, the Division or any party may issue a subpoena or subpoena duces tecum requiring the attendance of a person or the production of documents or things at the hearing. (b) Any subpoena or subpoena duces tecum issued pursuant to subsection (a) of this section extends to all parts of the state and shall be served in accordance with the provisions of sections 1985.3, 1987, 1987.5 and 1988 of the Code of Civil Procedure, except for the provisions governing the time for issuance of subpoenas and subpoenas duces tecum. Service of a subpoena or subpoena duces tecum is made by delivering a copy to the witness. (c) All witnesses appearing pursuant to subpoena, other than the parties, or their representatives directly associated with the action, shall be entitled to receive the following fees and mileage, payable in advance: (1) Witness fee for each day's actual attendance of thirty-five dollars ($35.00); (2) Mileage actually traveled, both ways, of twenty cents ($.20) a mile; (3) Per diem compensation of three dollars ($3.00) for expenses of subsistence for each day of actual attendance and for each day necessarily occupied in traveling to and from the hearing, if the hearing is at a point so far removed from a residence as to reasonably preclude return thereto from day to day; (d) Fees, mileage and expenses of subsistence shall be paid by the party at whose request the witness is subpoenaed. (e) A party who subpoenas a peace officer as listed at Government Code section 68097.1 or individuals designated by Government Code 68097.2 shall reimburse the public entity for the full cost of the public entity incurred in paying the officer his or her salary or other compensation and traveling expenses for each day that such officer is required to remain in attendance. Note: Authority cited: Sections 60.5 and 6308, Labor Code; and Section 11400.20, Government Code. Reference: Sections 60.5 and 6308, Labor Code; and Section 11400.20, Government Code. s 340.49. Official Notice. (a) In reaching a decision, a Presiding Officer may take official notice either before or after submission of the proceeding for a decision, of any generally accepted technical or scientific matter within the field of occupational safely and health, and determinations, rulings, orders, findings and decisions, required by law to be made by the Division, Occupational Safety and Health Appeals Board or Occupational Safety and Health Standards Board. (b) The Presiding Officer shall take official notice of those matters set forth in section 451 of the Evidence Code and may take official notice of those matters set forth in section 452 of the Evidence Code. (c) Each party shall be given reasonable opportunity on request to present information relevant to (1) the propriety of taking official notice, and (2) the tenor of the matter to be noticed. Note: Authority cited: Sections 60.5 and 6308, Labor Code; and Section 11400.20, Government Code. Reference: Sections 60.5 and 6308, Labor Code; and Section 11400.20, Government Code. s 340.50. Confidential Evidence. (a) A Presiding Officer shall consider confidential any exhibit which might reveal a trade secret referred to in section 1905 of Title 18 of the United States Code, information that is confidential pursuant to Chapter 3.5 (commencing with section 6250) of Division 7 of Title 1 of the Government Code, or photographs taken by the Division during the course of any inspection or investigation. (1) The Presiding Officer shall issue necessary orders to protect the confidentiality of such information, including the exclusion of witnesses during the course of the hearing if testimony might tend to reveal the substance of the confidential information. (2) Parties shall request confidentiality at the time the evidence is submitted. Note: Authority cited: Sections 60.5 and 6308, Labor Code; and Section 11400.20, Government Code. Reference: Sections 60.5, 6308, 6314 and 6322, Labor Code; and Section 11400.20, Government Code. s 340.51. Prehearing Motions. (a) No later than 24 hours prior to a hearing, a party may make a written motion for continuance or for clarification of issues related to discovery or other matters deemed important to the issues to be addressed during the course of the hearing. (b) Such written motion shall be filed with the Presiding Officer and served upon the other party in conformance with section 340.46 of this article. (c) The Presiding Officer may issue such orders as it deems necessary to address the issues referenced in such written motion. (d) Prehearing motions in connection with the appeal of an OPU may be made up until and including the day of the appeal hearing. Note: Authority cited: Sections 60.5 and 6308, Labor Code; and Section 11400.20, Government Code. Reference: Sections 60.5 and 6308, Labor Code; and Section 11400.20, Government Code. s 340.52. Interpreters. (a) All hearings shall be conducted in the English language. The Division shall notify each party of the right to an interpreter at the time it serves notification of a proceeding pursuant to Section 340.41, or at the time it issues an OPU. (b) A party who does not proficiently speak or understand the English language, who calls a witness who does not proficiently speak or understand the English language, or who requests an interpreter, shall be provided with an approved interpreter during the hearing. A request for an interpreter shall be made at the same time as the request for appeal. The party requesting the interpreter shall pay the cost of the interpreter, unless the Division elects to pay the interpreter based on the financial hardship of the requesting party. (c) For purposes of this section, an approved interpreter is a person whose name appears on the list of interpreters approved by the Occupational Safety and Health Appeals Board, the State Personnel Board, or the Superior Court for the County in which the hearing is conducted. Note: Authority cited: Sections 60.5 and 6308, Labor Code; and Section 11400.20, Government Code. Reference: Sections 60.5 and 6308, Labor Code; and Section 11400.20, Government Code. s 341. Permit Requirements. (a) Scope and Application. (1) This article specifies: (A) Work activities that require permits; (B) What permit holders must do to comply with permit requirements; (C) What types of permits can be obtained; and (D) How to apply for a permit. (2) The purpose of a permit is to provide notice to the Division that an employer will undertake permit-required activity and to allow the Division an effective means of ensuring that the proposed permit-required activity will be performed safely. (3) There are two types of permits: Project Permits and Annual Permits. Both types are defined below in subsection (b) and explained in subsections (c), (d), and (e). (4) The Permit application process is explained in section 341.1. (b) Definitions. The following definitions apply to this article: (1) "Annual permit" means a permit issued pursuant to section 341.1(a)(2) that allows a qualifying employer to conduct specified permit-required activity at any jobsite for a period of one year. (2) "Climbing a fixed tower crane" means altering the height of the revolving section of the crane by adding or removing tower sections with the use of a climbing frame. (3) "Conduct permit-required activity" means either: (A) Engage in permit-required activity by having employees who actually perform the activity; or (B) Act in the role of a project administrator at a site where permit-required activity is taking place, regardless of whether this role involves having employees who actually perform the activity. Note:See definition of "permit required activity" below. (4) "Emergency repair work to underground facilities" means the unscheduled repair or replacement of pipes or other underground structures for the purposes of protecting life or property. (5) "Height" when used to describe a structure means the distance from the top of the structure, including any parapet walls, mechanical rooms or other penthouse structures, to the lowest point of the surrounding grade or ground level below. Mechanical screens, antennas, chimneys, flag poles, and similar attachments are not to be considered in determining the height of a structure. (6) "Hold a project permit" or "Hold an annual permit" means to have a valid applicable permit which was obtained prior to the start of work. In the case of underground use of a diesel engine in a mine or tunnel the permit shall be obtained prior to placing the engine in the mine or tunnel. (7) "Permit-required activity" means activity for which a permit is required by this Article. Note:See section 341(d) below for a description of these activities. (8) "Project Administrator" means a person or entity that has overall onsite responsibility for the planning, quality, management, or completion of a project involving the erection or demolition of a structure. Examples of Project Administrators include, without limitation, general contractors, prime contractors, owner/builders, joint ventures, and construction managers. (9) "Project permit" means a permit issued pursuant to section 341.1(a)(1) that authorizes an employer to conduct permit-required activity at the specific location(s) named in the permit. (10) "Structure" means any creation by human activity of a piece of work, formation, or series of parts joined together, including but not necessarily limited to the following: Billboards. Bridges. Buildings. Chimneys. Dams. Elevated highways. Falsework. Outdoor signs. Powerhouses. Scaffolding. Silos. Smokestacks. Tanks or tank towers. Transmission or communication towers. (c) Basic permit requirement. (1) Project Permits. (A) Work on permit-required activities on a project subject to Project Permit requirements shall not begin until a Project Permit has been issued for the project. (B) Only one Project Permit is required per project as long as the Project Permit holder continues to act in the role of Project Administrator, even though the project may have more than one employer fitting the description of a Project Administrator. If the holder of the current Project Permit no longer continues to act in the role of Project Administrator, that Project Permit is no longer valid, and no project work shall continue until a new Project Permit has been issued. Note:See Sections 341.1(f) and 341.1(g) of this article for additional details regarding the scope of coverage of a Project Permit. (2) Annual Permits. (A) Any employer other than a Project Permit holder who conducts permit-required activity shall hold a current Annual Permit before engaging in the activity. (B) An employer who conducts activity subject to Annual Permit requirements shall obtain an Annual Permit once per year and shall notify the Division each time the permit holder begins permit-required activity at a new site. (d) Work Activities Subject to Permit Requirements and the Types of Permits Required to Conduct the Activities. (1) To erect, raise or lower, or dismantle a fixed tower crane, the fixed tower crane erector, climber, or dismantler shall hold a Project Permit. NoteNo.1:See Section 341.1 of this article for additional details on Project Permit requirements for fixed tower cranes. NoteNo.2:See Sections 344.70 et seq. of Title 8 of the California Code of Regulations for additional requirements applicable to permits to operate a fixed tower crane. (2) To engage in the underground use of a diesel engine in any mine or tunnel, each employer or entity who is to operate the diesel engine shall hold a Project Permit. The permit shall be obtained prior to placing the engine in the mine or tunnel. (3) To conduct the demolition or dismantling of any building or structure more than 36 feet in height, the Project Administrator shall hold a Project Permit and all other employers directly engaging in demolition or dismantling activity shall hold an Annual Permit. (4) To conduct any of the following activities on a structure intended to be more than 36 feet high when completed, the Project Administrator shall hold a Project Permit and all other employers directly engaging in these activities shall hold an Annual Permit: (A) Erection and placement of structural steel or erection and placement of structural members made of materials other than steel. Note:No permit is required for work limited to the erection or placement of reinforcing bars used in reinforced concrete construction. (B) Installation of metal decking or decking made of substitute materials. (C) Installation of curtain walls, precast panels, or fascia. (D) Forming or placement of concrete structures or concrete decks on steel structures. (E) Installation of structural framing, including roof framing, or the installation of panelized roof systems. Note:No permit is required for work limited to the installation of interior partitions. (5) To conduct the following activities, the employer shall hold an Annual or a Project Permit, and may apply for either: (A) Construction of trenches or excavations 5 feet or deeper into which any person is required to descend. Note:For purposes of this subsection, "descend" means to enter any part of the trench or excavation once the excavation has attained a depth of 5 feet or more. (B) Erection and placement of scaffolding, vertical shoring, or falsework intended to be more than 36 feet high when completed. (e) Exceptions to Permit Requirements. The provisions of this section shall not apply to the following: (1) Government Bodies - United States of America, its officers or agencies, State of California, county, city and county, city, or district. (2) Any public utility subject to the jurisdiction of the Public Utilities Commission. (3) Construction of trenches or excavations for the purpose of performing emergency repair work to underground facilities. (4) Construction or final use of excavations or trenches where the construction or final use does not require a person to descend into the excavation or trench. (5) Excavation for the construction of graves as defined in Section 7014 of the Health and Safety Code. (6) Excavation for the construction of swimming pools. Note:The construction of motion picture, television, or theater stages and sets does not require a permit unless the conditions specified in Section 6500(b) of the California Labor Code have occurred. For purposes of this requirement, stages and sets include, without limitation, scenery, props, backdrops, flats, greenbeds, and grids. Note: Authority and reference cited: Sections 60.5, 6308 and 6501, Labor Code. Reference: Sections 6500, 6501 and 6508, Labor Code. s 341.1. Issuance of Permits. (a) Where to Submit Permit Applications. (1) Project Permits. A Project Permit application shall be submitted to the Division district office that has jurisdiction over the site of the project to be covered by the Project Permit. (2) Annual Permits. An Annual Permit application shall be submitted to the Division district office where the employer's California headquarters is located. If the employer has no California headquarters, the application shall be submitted to the Division's headquarters. Note:Project and Annual Permit application forms are available at all Division offices. Generally, the addresses and telephone numbers of Division district offices may be found on the Cal/OSHA Notice poster required pursuant to Section 340 of Title 8 of the California Code of Regulations. (3) Permits for Use of Diesel Engines in Mines and Tunnels. Permit applications for the use of diesel engines in mines and tunnels shall be submitted to the nearest office of the Division's Mining and Tunneling Unit. Note:Permit application forms for the underground use of diesel engines are available at all offices of the Division's Mining and Tunneling Unit. (b) General Requirements for Permit Applications. (1) All Permit applications shall include the following: (A) The applicant's business name, business address, telephone number, fax number and, if applicable, the applicant's email address. (B) The name of the applicant's representative; and that representative's contact telephone number(s). (C) A valid and applicable license number issued by the California Contractors State License Board, if applicable. (D) An attached copy of a current policy, binder or other proof of workers' compensation insurance, if applicable. (E) An attached check or money order for the permit fee as provided in section 341.3 of this article. (F) A certification from the applicant's representative that he or she has knowledge of the applicable occupational safety and health standards and will comply with such standards and any other lawful orders of the Division. (G) A description of the conditions, practices, means, methods, operations or processes used or proposed to be used by the applicant to provide a safe and healthful place of employment. Note:No cash or credit card payments will be accepted by the Division. (2) In addition, an application for a project permit shall include the following information: (A) A jobsite telephone number. (B) The specific jobsite location(s), including street address(es) or cross streets. (C) The anticipated start date and date of completion. (D) The permit-required activity to be covered by the permit and a description of the activity for which the permit is sought in sufficient detail to allow an effective evaluation of the safety of the proposed project. (c) Additional application Requirements for Permits for Underground Use of Diesel Engines in Mines and Tunnels and Permits for Fixed Tower Cranes. (1) Permits for Underground Use of Diesel Engines in Mines and Tunnels. A permit application for the underground use of diesel engines in mines and tunnels, in addition to the information set forth in this section, shall provide the following: (A) Complete details and specifications of each diesel engine and exhaust purifying device. (B) Location of the mine or tunnel and details of how the diesel equipment is to be used. (C) Length, cross-section, and layout of the underground haulage ways. (D) Maximum number and brake horsepower of diesels to be operated in any aircourse. (E) Ventilation plans, including direction of airflow, fan capacity, duct sizes, and auxiliary ventilation. (F) Date when proposed diesel use is to begin and dates and locations where a representative of the Division may conduct tests of the diesel exhaust gases and mechanical conditions affecting exhaust gas emission. (2) Permits for Erecting, Climbing, and Dismantling of Fixed Tower Cranes. Each application for a permit to erect, climb, or dismantle a fixed tower crane shall, in addition to providing the information required by this article, certify that: (A) A Division-licensed tower crane certifier or surveyor or safety representative for the distributor or manufacturer of the fixed tower crane will be present during erection, climbing, and dismantling operations to assure that such processes and operations are performed in accordance with manufacturer recommendations and applicable standards or orders; and Note:See Sections 344.70 et seq. of Title 8 of the California Code of Regulations for additional requirements applicable for permits to operate a fixed tower crane. (B) The applicant will notify the Division of the following dates and times: (i) Initial erection at this site; (ii) Completion of erection and commencement of operation; (iii) Climbing of the tower crane; and (iv) Dismantling of the tower crane. Note:The notification must be received by the Division at least 24 hours prior to the activity which is the subject of the notification and may be in writing or by telephone followed by written notification. The notification shall be made to the district office of the Division from which the permit was obtained and must include the date and time of the intended activity. (d) Safety Conference for Project Permits and Annual Permits. (1) The Division may conduct any investigation and/or hearing it deems necessary for the purpose of this article, and may require a safety conference to discuss the permit applicant's safety program and the means, methods, devices, processes, practices, conditions or operations the permit applicant intends to use to provide employment and a place of employment that are safe and healthful. (2) When scheduling a safety conference, the Division shall make a reasonable effort to accommodate the scheduling needs of the applicant, shall furnish the applicant with a recommended checklist of information and documentation to bring to the safety conference, and shall clearly inform the applicant which parties are required to attend. (3) The safety conference shall be held at a district office or at a designated place convenient for the attending parties, and shall be open to the permit applicant, representatives of the owner, contracting agencies, and employees and their representatives. The permit applicant shall notify all attending parties of the safety conference a reasonable time prior to the holding of the safety conference. Proof of such notification shall be made at the safety conference. (e) General Requirements Applicable to Issuance of All Permits. (1) A permit may be issued to an applicant following the filing of a completed Permit Application form, compliance with all the requisites therein, payment of the permit fee as provided in Section 341.3 of this article, and a determination by the Division that all qualifications for receipt of a permit have been met by the applicant. Except as provided in Section 8470(l), the Division shall issue a Project Permit within five working days of the initial project permit safety conference, if the application materials presented by the applicant at the safety conference are complete. If the application materials are not complete, the applicant shall be given a written list before leaving the safety conference of the materials or information needed to complete the application. The Division shall issue the Project Permit within five working days of receiving complete application materials or deny the permit in writing pursuant to the requirements of Section 341.2. Note:Where Project Permits are required for structures subject to the requirements of Section 341(d)(4), the Division may issue conditional permits when specific information is not yet available. (2) Each permit issued by the Division shall include the following information: (A) The person or entity to whom the permit has been issued. (B) The permit number. (C) The type of permit issued. (D) The date through which the permit will remain valid. (E) The fee amount collected; the check or money order number; and the name of the person collecting the fee. (F) The name of the person who investigated the permit application and held the permit conference, and the name of the person approving the issuance of the permit. (G) The specific activities and/or projects covered by the permit. (f) Issuance of Project Permits for All Projects Other Than Erection of Tower Cranes. The permit applicant shall be required to obtain only one Project Permit for the following work activities: (1) The construction or demolition of a building or structure over 36 feet high, and the associated excavation of trenches and excavations at the same site. (2) Any project of construction of a building, structure, vertical shoring, or falsework and/or erection of scaffolding at the same site. (3) Any project or demolition of a building, structure, or dismantling of scaffolding, vertical shoring or falsework at the same site. (4) For all or any combination of activities listed in subsection (f)(1), (2), and (3) above at the same jobsite. (5) Two or more projects when the work is part of the same contract but is located in different Division districts, and the work to be performed is the installation or erection of essentially identical structures. (A) Such essentially identical structures may include structures such as silos, outdoor signs, tanks or tank towers, and transmission or communication towers. (B) Such essentially identical structures shall not include bridges, dams, elevated highways, buildings, or tower cranes. (C) The Project Permit for work on such essentially identical structures shall be issued by the Division district office where the first project scheduled to be commenced is located. (D) For each subsequent project covered by the Project Permit, the permit holder shall notify the Division district office that has jurisdiction over the site of the project at least 24 hours prior to the activity which is the subject of the notification. Notification shall be given by mail, personal delivery, fax transmission or electronic mail, and shall provide the location of the project and the date and time the work activity is to commence. (g) Issuance of Project Permits for Fixed Tower Cranes. Only one permit is required to erect, alter the height of, and dismantle a single fixed tower crane, provided all of this work is done by the same entity. If another entity engages in any of these activities, that entity shall also obtain a Project Permit. If a fixed tower crane is relocated to a new position on the same project a new Project Permit is required. (h) Issuance of Annual Permits. (1) An Annual Permit may be issued upon the applicant's demonstration that it has an adequate safety program that has been developed for the work activity to be covered by the permit, subject to the conditions specified below and any additional conditions specified by the Division. Except as provided in the Note below, the permit shall expire one year later at the close of business on the day prior to the anniversary date of issuance. The permit shall display the expiration date. Note:During the first year following the effective date of this article, the Division may issue Annual Permits for longer than one year in order to stagger the expiration dates. (2) Annual Permits shall be issued subject to all of the following conditions: (A) The work shall be performed by the entity named in the permit. (B) The permit holder shall notify the Division district office that has jurisdiction over the site of the project at least 24 hours prior to the activity which is the subject of the notification. Notification shall be given by mail, personal delivery, fax transmission or electronic mail, and shall provide the location of the project and the date and time the work activity is to commence. (3) Annual Permits may be renewed by mail. Note: Authority cited: Sections 60.5, 6308, 6501, 6502 and 6503, Labor Code. Reference: Sections 6500, 6501, 6502, 6503, 7373 and 7382, Labor Code. s 341.2. Denial of Permit. (a) The Division shall deny issuance of a permit if in its opinion, based on available facts, the employer has failed to show that the conditions, practices, means, methods, operations or processes used or proposed to be used will provide a safe and healthful place of employment. A relevant factor in the Division's determination will be the employer's prior occupational safety and health history. In denying a permit to an applicant employer, the district or field office shall immediately notify the employer, in writing, specifying the reasons for such denial and shall send a copy thereof to the Director. (b) Any employer denied a permit by the Division may appeal such denial to the Director. The Director shall hold a hearing at such place designated by the Director or his authorized designee for the convenience of the attending parties within two working days of the employer's appeal. The employer has the burden of establishing that it qualifies for a permit. The hearing shall be presided by the Director or his authorized designee and shall also be open to employees or employees' representative. The employer shall notify the employees or employees' representative of such hearing a reasonable time prior to the holding of such hearing. Proof of such notification by the employer shall be made at the hearing. (c) Following the hearing, the Director shall issue his decision. The Director's decision shall be final except for any rehearing or judicial review provided for by law. All requests for rehearing shall be filed with the Director within ten days from the date of the Director's decision. Note: Authority cited: Sections 60.5, 6308, 6502 and 6506, Labor Code. Reference: Sections 6308, 6308.5, 6502 and 6506, Labor Code. s 341.3. Permit Fees. To cover the costs involved in investigating the permit application, and issuing permits, the following schedule of fees are deemed reasonable and necessary. Such applicable fees shall be paid by the employer to the Division of Occupational Safety and health before the issuance of the permit: (a) Construction of excavations and/or trenches - $50.00. (b) Construction of building, structure, or dismantling of falsework or scaffolding - $50.00. (1) For the erection, including climbing and dismantling of the tower structure of a fixed tower crane - $350.00. (c) Demolition of building or structure, or dismantling of scaffolding or falsework - $50.00. (d) The underground use of diesel engines in work in mines and tunnels - $50.00. (e) Annual permits as specified in section 341.1(e) of this article, for period January 1 to December 31 - $100.00. (f) All fees collected by the Division under this section shall be paid into the General Fund of the State Treasury. Note: Authority cited: Sections 60.5, 6308 and 6507, Labor Code. Reference: Sections 6507 and 7373, Labor Code. s 341.4. Posting of Permit. Any employer issued a permit pursuant to this Article shall post a copy or copies of the permit at or near each place of employment. If such posting is impracticable at the site of an excavation, the permit shall be made available at such site at all times, or, in the case of a mobile unit, the permit shall be made available at all times at the employer's head office in the district. s 341.5. Revocation or Suspension of Permit. (a) The Division may at any time, upon a showing of good cause and after notice and an opportunity to be heard, revoke or suspend any permit issued pursuant to this Article. (b) Notice shall be in writing and served upon the employer at least 24 hours in advance of the hearing. Service shall be by personal service or certified mail to the employer's address as shown on the Permit Application Form. The notice shall specify the reasons for the action taken by the Division in order that the employer may prepare for the hearing. (c) The hearing shall be held as soon as possible at the district or field office, shall be presided by the district manager or his authorized designee and shall also be open to the affected employees or their representative. The employer shall notify the employees or employees' representative a reasonable time prior to such hearing. Proof of such notification by the employer shall be made at the hearing. (d) At the hearing the Division shall establish good cause for the action taken by it. Good cause is established after the Division establishes that the employer has failed to comply with the requirements of the issuance of the permit, and that to permit the continuance of the project under the circumstances would constitute a hazard to the employees. The employer may appeal such revocation or suspension to the Director in the same manner specified in Section 341.2 of this Article. The filing of an appeal shall not stay the revocation or suspension, except as provided for in Labor Code Section 6506. The employer has the burden of establishing that the Division did not have good cause for the action taken. Note: Authority cited: Sections 60.5, 6308, 6505 and 6506, Labor Code. Reference: Sections 6505 and 6506, Labor Code. s 341.6. Registration Requirements. (a) An employer who will be engaging in asbestos-related work, as defined, in subsection (b), involving 100 square feet or more of surface area of asbestos-containing material, computed in accordance with subsection (e) of this section, shall apply for and obtain a registration from the division prior to the commencement of any such work. The registration shall be valid for one year after issuance by the division. (b) "Asbestos-related work" means any activity which by disturbing asbestos-containing construction materials may release asbestos fibers into the air and which is not related to its manufacture, the mining or excavation of asbestos-bearing ore or materials, or the installation or repair of automotive materials containing asbestos. (c) "Asbestos containing construction materials" means any manufactured construction material which contains more than 1/10 th of 1% asbestos by weight. (d) "Asbestos" means fibrous forms of various hydrated minerals including chrysotile (fibrous serpentine), crocidolite (fibrous riebeckite), amosite (fibrous cummingtonite-grunerite), fibrous tremolite, fibrous actinolite, and fibrous anthophyllite. (e) The square footage of asbestos containing construction material, as defined in subsection (c) of this section, shall be determined by computing the surface area of any such material which will be handled during the course of the work being performed by the employer at a single worksite. If the asbestos containing construction material is situated in noncontiguous locations at a single worksite, the total square footage of such asbestos containing construction material shall be included in the computation, unless the work is performed as part of a routine and continuing maintenance and repair plan of existing fixtures or machinery where each component of such work involves less than 100 square feet. "A single worksite," as used in this subsection, shall include all buildings, structures, premises, fixtures, machinery or other areas containing asbestos containing construction material which will be handled during the course of the work for which the employer has contracted whether pursuant to single or multiple contracts with the same hirer. This article is not intended to apply to asbestos-related work involving less than 100 square feet of asbestos containing construction material performed at separate unrelated worksites by the same employer even though the aggregate total of all such work equals or exceeds one hundred square feet annually. Note: The requirements of this section apply only to asbestos-related work involving 100 square feet or more of surface area of asbestos-containing construction material. Compliance with this section shall constitute compliance with the reporting requirements of section 5208 of title 8 of the California Code of Regulations. For asbestos-related work involving less than 100 square feet of surface area of asbestos-containing construction material, and for other work involving the use or handling of asbestos, employers shall comply with the reporting requirements of section 5208 of title 8 of the California Code of Regulations. Note: Authority cited: Sections 60.5, 6308 and 6501.5, Labor Code. Reference: Sections 6501.5, 6501.7 and 6501.8, Labor Code. s 341.7. Application for Registration and Renewal of Registration. (a) An employer subject to the provisions of Section 341.6 of this Article shall register with the Division by applying for and obtaining a registration from the Division. Registration application forms may be obtained by writing or calling the headquarter offices of the Division located at 525 Golden Gate Avenue, San Francisco, CA 94102. (b) Registration application form. A registration may be issued to any employer subject to the provisions of this article following the filing of a completed registration application form and full compliance with all the requirements thereof. All information and attachments given with the application for registration shall be given under penalty of perjury. The registration application form shall contain the following: (1) If a contractor, proof of certification if required pursuant to Section 7058.5 of the Business and Professions Code. (2) Proof that sufficient health insurance coverage has been obtained to cover the entire cost of medical examinations and monitoring required by law or present proof that a $500 trust account has been provided for each employee engaged in such asbestos related work. In addition the employer must provide proof of coverage for worker's compensation insurance. (3) Proof that all training and certification requirements for employees engaged in asbestos-related work have been completed in accordance with all requirements of law and section 5208, Title 8, California Code of Regulations. (4) Proof that the employer has knowledge of the applicable occupational safety and health standards, and will comply with such standards and any other such lawful orders of the Division. In addition, that the conditions, practices, means, methods, operations or processes used or proposed to be used will provide a safe and healthful place of employment and that the employer is proficient in and has the necessary equipment to safely perform asbestos-related work. (c) An employer may renew the registration by filing an application for renewal meeting the criteria of subsection (b) hereof, and paying a renewal fee as set forth in section 341.12(b) of this article. The application for renewal must be filed with the Division no later than thirty (30) days prior to the expiration date of the current registration. Note: Authority cited: Sections 60.5, 6308 and 6501.5, Labor Code. Reference: Section 6501.5, Labor Code; Section 7058.5, Business and Professions Code; and Section 15376, Government Code. s 341.8. Registration Application-Processing Time. (a) Within 15 business days of receipt of an application for registration pursuant to this subsection, the Division shall inform the applicant in writing that it is either complete and accepted for filing or that it is deficient and what specific information or documentation is required to complete the application. An application is considered complete if it is in compliance with the requirements of Section 6501.5, Labor Code and the provisions of this subsection. (b) Within 30 business days from date of filing of a completed application, the Division shall inform the applicant in writing of its decision regarding the application. Note: Authority cited: Sections 60.5, 6308 and 6501.5, Labor Code; and Section 15376, Government Code. Reference: Section 6501.5, Labor Code; Section 7058.5, Business and Professions Code; and Section 15376, Government Code. s 341.9. Notification to the Division -Asbestos-Related Work. (a) When an employer will be conducting separate jobs or phases of work which are the subject of the registration required under this article, or where the work process may differ or is performed at noncontiguous locations, written notice shall be provided to the nearest District Office of the Division prior to commencement of any such work activity, except where the circumstances require immediate abatement action in which case, the employer shall immediately notify the nearest district office by telephone or otherwise orally of the start of work, to be confirmed in writing no later than 24 hours thereafter. The written notice shall contain the following: (1) The address of the job. (2) The precise physical location of the job at the given address. (3) The projected starting and completion date. (4) The name of the certified supervisor who has sufficient experience and authority and who will be responsible for the asbestos-related work activity. (5) The name of the qualified person who will be responsible for conducting air sampling, calibration of air sampling equipment, evaluation of sampling results, and respiratory fit testing as well as the evaluation of those tests. (6) A description of the type of work to be performed, work practices that will be utilized, and an evaluation of the potential for exposure. Any change in the information provided the Division by the written notice shall be reported to the Division at or before the time of the change. If notification of any change is made by telephone, or otherwise orally, such notification shall be confirmed immediately in writing but in any event no later than 24 hours after the change. Note: Authority cited: Sections 60.5, 6308 and 6501.5, Labor Code. Reference: Section 6501.5, Labor Code. s 341.10. Posting and Notification -Asbestos-Related Work. (a) The employer shall post a sign readable at 20 feet at the location where any asbestos-related work subject to the registration and notification requirements of this article is to take place stating "Danger-Asbestos. Cancer and Lung Hazard. Keep Out." (b) The employer shall provide a copy of the registration before the commencement of any asbestos-related work to the prime contractor and other employers at the site. A copy of the registration shall be posted at the jobsite beside the Cal/OSHA poster. Note: Authority cited: Sections 60.5, 6308 and 6501.5, Labor Code. Reference: Section 6501.5, Labor Code. s 341.11. Safety Conference. The Employer shall conduct a safety conference prior to the commencement of any asbestos-related work subject to the registration and notification requirements of this article. The safety conference shall include representatives of the owner or contracting agency, the contractor, the employer, employees, and employee representatives. The safety conference shall include a discussion of employer's safety program and such means, methods, devices, processes, practices, conditions, or operations as the employer intends to utilize in providing a safe and healthful place of employment. The requirement of this section shall apply to all asbestos-handling jobs regardless of the amount of asbestos to be handled. Note: Authority cited: Sections 60.5 and 6308, Labor Code. Reference: Sections 6501.5 and 6503.5, Labor Code. s 341.12. Registration Fees and Renewal Fees. (a) To cover the costs involved in investigating the registration application, and issuing the registration, an application fee of $350.00 is deemed reasonable and necessary. (b) To cover the costs involved in investigating the application for renewal of registration, and issuing the renewed registration, a fee of $150.00 is deemed reasonable and necessary. (c) Such application or renewal fee shall be paid by the employer to the Division of Occupational Safety and Health before the issuance of the registration or renewal. Note: Authority cited: Sections 60.5, 6308 and 6501.5, Labor Code. Reference: Sections 6501.5, 6507 and 6508.5, Labor Code. s 341.13. Denial of Registration. (a) The Division shall deny the issuance of a registration if in its opinion, based on available facts, including the information provided by employer in the application for registration, the employer has failed to show that the conditions, practices, means, methods, operations or processes used or proposed to be used will provide a safe and healthful place of employment. A relevant factor in the Division's determination will be the employer's compliance history with the Division. In denying the registration to an applicant employer, the Division shall immediately notify the employer, in writing, specifying the reasons for such denial and shall send a copy thereof to the Director. (b) Any employer denied a registration by the Division may appeal such denial to the Director. The Director shall hold a hearing at such place designated by the Director or his authorized designee for the convenience of the attending parties within two working days of the employer's appeal. Employer shall have the burden of establishing that it qualifies for the registration. The hearing shall be presided by the director or his authorized designee and shall also be open to employees or employees' representative. The employer shall notify the employees or employees' representatives of such hearing a reasonable time prior to the holding of such hearing. Proof of such notification by the employer shall be made at the hearing. (c) Following the hearing, the Director shall issue a decision. The Director's decision shall be final except for any rehearing or judicial review provided for by law. All requests for rehearings shall be filed with the Director within 10 days from the date of the Director's decision. Note: Authority cited: Sections 60.5, 6308 and 6501.5, Labor Code. Reference: Sections 6308, 6308.5 and 6501.5, Labor Code. s 341.14. Revocation or Suspension of Registration. (a) The Division may at any time, upon a showing of good cause and after notice and an opportunity to be heard, revoke or suspend any registration issued pursuant to this article. (b) Notice shall be in writing and served upon the employer at least 24 hours in advance of the hearing. Service shall be by personal service or certified mail to the employer's address as shown on the registration application form. The notice shall specify the reasons for the action taken by the Division in order that the employer may prepare for the hearing. The Division shall also include within the notice of revocation or suspension specific conditions which must be met before the employer will be entitled to apply for a new registration or continue asbestos-related work under an existing registration. (c) The hearing shall be held as soon as possible at the Division's headquarter offices or at such other location as may be designated by the Director and shall be presided by the Chief of the Division or his authorized designee and shall also be open to any affected employees or their representatives. The employer shall notify the employees or employees' representative, a reasonable time prior to such hearing. Proof of such notification by the employer shall be made at the hearing. (d) At the hearing the Division shall establish good cause for the action taken by it. Good cause is deemed to exist if the Division establishes that the employer has failed to comply with the requirements of the issuance of the registration, and that to permit the continuance of the asbestos-related work activity under the circumstances could cause serious injury or illness to employees. The employer may appeal such revocation or suspension to the Director in the same manner specified in Section 341.13 of this article. The filing of an appeal shall not stay the revocation or suspension, and such action shall remain in effect until such time as the employer presents proof that the specified written conditions required by the Division are met or until otherwise ordered after resolution of the appeal. Note: Authority cited: Sections 60.5, 6308, 6501.5 and 6505.5, Labor Code. Reference: Sections 6308, 6308.5, 6501.5 and 6505.5, Labor Code. s 341.15. Certification of Asbestos Consultants and Site Surveillance Technicians. (a) Scope and Application. Any individual performing services as an asbestos consultant or site surveillance technician as referenced and defined in section 1529(b) of Title 8 of the California Code of Regulations must apply for and obtain a certification pursuant to this article. Note: This does not apply to individuals who perform preliminary site assessments or other such building inspection activities which may identify asbestos-containing construction materials but which are not for the primary purpose of finding asbestos-containing construction materials in buildings and evaluating the materials for the need of asbestos abatement. (b) Application for Examination and Certification. (1) Any individual desiring to be certified as set forth in subsection (a) of this section must submit an application for examination and certification as set forth herein. The application and all information and attachments shall be submitted under penalty of perjury, and accompanied by all applicable fees as set forth herein. No application will be accepted for processing by the Division unless accompanied by all required fees as set forth in subsection (c) herein. Applications may be obtained from any District Office for the Division and shall be filed by mailing the completed application to the following address: Division of Occupational Safety and Health P.O. Box 420603 San Francisco, CA 94142 Attention: Asbestos Consultant Certification The application shall include: (A) Type of certification desired: Asbestos Consultant or Site Surveillance Technician. (B) Full name of the applicant including the name under which the individual will be conducting business under the certification, and any other names the applicant has used to conduct business as an asbestos consultant within five years previous to the date of the application. (C) Birthdate and Social Security Number. (D) Address (Employment and Home). (E) Telephone Number (Work and Home). (F) 2 copies of 1 1/2 " x 1 1/2 " current color photograph of applicant (passport type taken within the past 30 days). (G) Copies of valid certificates from AHERA training providers approved by the Division. Note: The Division will publish a list of approved AHERA training providers. (1) Asbestos consultant applicants shall submit copies of AHERA training certificates for management planner, abatement project designer, abatement contractor and supervisor, and all subsequent annual refresher courses. The complete abatement project designer course certificate will be required only for applications submitted after July 1, 1994. Note: The project designer refresher course will be sufficient for applications submitted prior to July 1, 1994. (2) Site surveillance technician applicants shall submit copies of AHERA training completion certificates for inspector, and abatement contractor and supervisor, and all subsequent annual refresher courses. Certificates for abatement worker and abatement project designer may be submitted in lieu of the abatement contractor and supervisor certificate. (H) Required fee(s). (I) Description of qualifications as required pursuant to section 1529(o) of Title 8 of the California Code of Regulations outlining the applicant's educational qualifications, (attach copy of diploma, official transcript, or other proof), and description of qualifying work experience as specified in Business and Professions Code sections 7184 and 7185. Qualifying work experience includes technical work associated with asbestos consulting activities. Written references attesting to the applicant's qualifying work experience which are certified under the penalty of perjury are required. (c) Examination Requirements for Certification. (1) All applicants must pass a written examination as set forth herein. (2) The examination shall be a closed book written examination pertaining to the subjects described in (o)(6)(A) and (o)(7)(A) of section 1529 of Title 8 of the California Code of Regulations. The minimum passing score shall be correctly answering 70% of all the questions in the written examination. (3) The examination shall be conducted at various locations as determined by the Division and administered at least annually or at other intervals when necessary. (d) Fees for Certification and Renewal. (1) Fees for asbestos consultant: Application and Examination Fee $500 Annual Renewal Fee $325 (2) Fees for site surveillance technician: Application and Examination Fee $400 Annual Renewal Fee $270 (3) All fees must be paid at the time the application is filed with the Division. Except as set forth in Part (5) of this subsection, all fees are non-refundable. (4) All required fees shall be made payable to the Asbestos Consultant Certification Fund. (5) The Division may refund 75% of the fee when an application is withdrawn by the applicant within 15 business days of the initial submission of the application. The Division may refund 50% of the fee when the Division determines that the applicant is not qualified to take the examination. The Division shall make no refund of the fee when a qualified applicant fails the written examination. (e) Processing of Application. (1) Within 15 business days of receipt of an application for certification, the Division shall inform the applicant in writing of its determination either that the application is complete or that it is deficient. The notice shall specify what additional information or documentation is necessary. (2) Within 45 business days from the date the Division has determined an application is complete the Division shall: (A) Inform the applicant that the application for certification is denied, specifying the reasons for the denial; or (B) Inform the applicant that the qualification requirements of this article have been satisfied and that the applicant may take the required written examination; and, (C) Inform the applicant of the date, time, and location of the examination. (f) Provisional Certification. (1) The Division may issue a provisional certification to an applicant when: (A) The applicant has submitted a completed application and is qualified to take the written examination. (B) The Division is not able to schedule an examination and issue the certification within 45 business days after the Division has found the application to be complete as set forth in subsection (c) above. (2) The provisional certification card will authorize the applicant to perform services as an asbestos consultant or site surveillance technician. The provisional certification shall expire 15 days after the scheduled examination date of the applicant who receives the provisional certification. (3) Only one provisional certification may be issued to an applicant. (g) Re-examinations. Within 30 days of notification, any applicant who fails the examination may take the next scheduled examination. The request shall be made to the Division in writing and accompanied by a re-examination fee in the amount of 50% of the application and examination fee specified in subsection (d) above. Any applicant who fails is entitled to retake the examination one time. If an applicant fails the examination twice the request for certification will be denied and the applicant must submit a new application. (h) Renewal or Replacement of Certification. (1) A certification issued pursuant to this article shall be valid for one year from the date of issuance as designated on the certification. Any individual certified under this article may renew the certification by filing a request for renewal with the Division at least 60 days prior to the expiration date of the certification. Any individual who fails to renew as required herein must submit a new application for certification. (2) All requests for renewal must be submitted with a current photograph, copies of required AHERA refresher training certificates, and the required renewal fee specified in subsection (d) above. (3) Any person whose certification card has been lost or mutilated may request a replacement card from the Division. Such request shall be in writing and accompanied with a current photograph and replacement fee in the amount of 30% of the annual renewal fee specified in (d) of this section. (i) Denial, Suspension, or Revocation of Certification. (1) The Division may for good cause deny certification to an applicant. Good cause shall be deemed to exist when the applicant does not satisfy the qualification requirements of this article or has failed the written examination. (2) The Division may for good cause and after notice and hearing suspend or revoke the certification of a person certified pursuant to this section. Good cause shall be deemed to exist if the person certified has committed gross negligence or fraud, or engaged in repeated acts of negligence during the performance of activities subject to the certification. Note: Revocation proceedings shall comply with the procedural requirements of Chapter 5 (commencing with section 11500) of Division 3 of Part 1 of Title 2 of the Government Code applicable to administrative adjudication. (3) For denial or suspension of a certification, notice shall be given in writing and served upon the person certified at least 24 hours in advance of the hearing to suspend or revoke the certification. Service shall be by personal service or certified mail to the person's address as shown on the certification application or other address known to the Division. The notice shall specify the reasons for the action taken by the Division in order that the person may prepare for the hearing. (4) Any applicant may appeal the denial, suspension or revocation to the Director. The appeal shall be in writing and made within 5 business days of receipt of the notification of the decision regarding the certification. (5) The Director or authorized representative shall schedule a hearing within 5 business days of receipt of an appeal. The applicant shall have the burden of establishing that he/she qualifies for the certification at the hearing. (6) Following the hearing the Director shall issue a decision. The Director's decision shall be final except for any rehearing or judicial review provided for by law. Requests for rehearings shall be filed with the Director within 5 business days of the Director's decision. Note: Authority cited: Section 7180, Business and Professions Code; and Sections 60.5, 6308 and 9021.5, Labor Code. Reference: Sections 7184 and 7185, Business and Professions Code; Sections 9021.5, 9021.6 and 9021.8, Labor Code; and Section 1529, Title 8, California Code of Regulations. s 341.16. Approval of Asbestos Training and Course Providers for Training Requirements Relating to Asbestos-Related Work and AHERA. (a) Scope and Application. (1) Any course provider (individual or business entity) providing asbestos training for the purpose of satisfying Division approved training requirements of 1529(k)(9)(B) for employees engaged in asbestos-related work or providing asbestos training for the purpose of satisfying the accreditation requirements of AHERA must submit the training program to the Division for approval in accordance with the provisions of this article. (2) The Division will approve initial and annual refresher training courses for Construction Craft Worker, and for each of the following AHERA crafts or disciplines: Inspector, Management Planner, Abatement Project Designer, Abatement Contractor/Supervisor, and Asbestos Abatement Worker. Construction Craft Worker means any employee engaged in asbestos-related work (other than asbestos-related work included under the above named AHERA disciplines) requiring employer registration under Section 341.6 and Section 1529. (3) AHERA as used in this Article means the Asbestos Hazard Emergency Response Act which is codified in 15 U.S.C. Section 2641, et seq. (b) Requirements for Asbestos Course Approval. (1) General Requirements. (A) The course provider shall inform the Division in writing of the starting date, time and location for each training course scheduled at least 15 days prior to each starting date. In cases where the 15-day notice cannot be provided, FAX or telephone with written follow-up notification may be made as soon as possible before commencement of the training, but in no case later than 24 hours prior to commencement. (B) The Asbestos Abatement Worker courses, including the course materials and examinations, shall be given in a language that is understood by both the course instructor and trainees. (C) The instructor directing each course shall have at least one year of experience in teaching courses of a similar nature or other professional teaching qualifications in areas related to occupational safety and health issues. The instructor for the hands-on portion of the course shall have at least one year of relevant work experience in asbestos-related work. (D) The course provider shall update the information submitted to the Division whenever a substantive change is made to information previously submitted for Division approval. Such notification shall be made in writing to the Division at the address given in (d)(1) of this Section no later than 24 hours after the change is instituted. (E) Only individuals who have successfully completed an initial training course shall be allowed to take the corresponding refresher training course. Only holders of a certificate which is less than one year past the expiration date shown on the certificate shall be permitted to take the refresher training course. (F) Training attendance is required for at least the duration specified for each course as set forth below. Breaks, including a lunch break, may be included in each eight hours of training. (2) Specific Course Requirements (A) Initial Course for Construction Craft Worker: the initial Construction Craft Worker course shall include the following: 1. The course curriculum and the course length in hours shall meet the requirements in Section 1529 for Class I, II, or III work or other federal requirements. 2. Hands-on training that is specific to the asbestos-related work for the construction craft of each employee attending the course. Note: Except for AHERA courses, a course provider may combine trainees of various crafts for training on the common parts of the curricula involved when appropriate, and separate the trainees after the common training for the specific training peculiar to each craft involved. (B) Refresher Course for Construction Craft Worker: the annual refresher shall include at least two hours of review of the important elements covered in the corresponding initial course, any changes in federal and state asbestos regulations, and the latest developments in the state of the art practices for asbestos-related work involving the specific construction craft. (C) Initial AHERA Course: The initial course for each AHERA craft or discipline shall include and conform with the AHERA training course curriculum and required hours of instruction specified in the USEPA Model Accreditation Plan found in 40 CFR Part 763, Subpart E, Appendix C. The Model Accreditation Plan is included as Appendix A of this section. 1. When hands-on training is specified, the hands-on training must allow contractors, supervisors and workers to have actual experience performing tasks associated with asbestos abatement. Simulated asbestos materials shall be used instead of actual asbestos during the hands-on training. 2. The training course shall include a review of applicable federal and state regulations, including but not limited to, Sections 341.6, et seq. and Sections 1529 and 5208 of Title 8 of the California Code of Regulations. (D) Annual AHERA Refresher Course: The refresher AHERA course shall include and conform with the AHERA training course curriculum described in the USEPA Model Accreditation Plan found in 40 CFR Part 763, Subpart E, Appendix C and shall be specific to each AHERA discipline. 1. The refresher training course shall include a review of the important elements covered in the initial course, any changes in federal, state, and local regulations, and the latest developments in state of the art practices. 2. A minimum of eight (8) hours training shall be given for the refresher training course for Asbestos Abatement Worker, Abatement Contractor/Supervisor and Abatement Project Designer. A minimum of four (4) hours training shall be given for the refresher training course for Inspector. Only the rightful holder of a valid current AHERA Inspector certificate shall be allowed to take the Management Planner refresher accreditation training. (E) Course Examinations. 1. As indicated in the table of examination requirements below an initial training course shall include an examination administered as a final part of the training course. The examination shall adequately cover the topics of the training course. Demonstration testing may be included as a part of the examination. The minimum number of multiple choice questions, each question having at least 4 choices for an answer, and the minimum passing score required for each type of training course are shown in Table 1. Table 1 Course Examination Specifications Craft/Discipline Number of Questions Passing Score Construction Craft Worker: (closed book exam) 20 70% Inspector (closed book exam): 50 70% Management Planner (closed book exam) 50 70% Asbestos Project Designer: (closed book exam) 100 70% Asbestos Contractor/Supervisor: (closed book exam) 100 70% Asbestos Abatement Worker: (closed book exam) 50 70% 2. Any trainee failing the examination may retake an equivalent but different examination one time; the course provider shall allow the trainee to retake the examination as soon as practicable after notifying the trainee of the exam results but no later than thirty (30) days after such date. If the trainee fails the second examination, the trainee must retake the course in order to take the examination again. (F) Course Certificates. 1. The training provider shall issue certificates to trainees who complete a training course and pass the examination. 2. The certificate shall be issued within 15 business days after the course completion date. Compliance with this requirement may be delayed until the course provider receives payment for the course. The certificate shall be valid for one year after the successful completion of the examination. 3. Each certificate shall contain the following information: A. The name, address and telephone number of the training provider that issued the certificate. The name of the training course with an indication that it is approved by the Division. B. The Course Approval Number issued by the Division and a unique certificate number issued by the training course provider. If the certificate is for a Construction Craft Worker, also include on the certificate a designation of the type of craft and the class of asbestos work as described in Section 1529; e.g., Roofer - Class II, General Building Maintenance Worker - Class III, etc. C. The name of the trainee. D. The dates when the training course started and ended, and the date of the examination if applicable. E. The certificate expiration date. F. The name and signature of an authorized officer of the training course provider with a written statement that the person receiving the certificate has completed the required training and passed the examination (if one is required). In the case of training for AHERA disciplines (but not for Construction Craft Workers), the written statement shall also indicate that the training completed is that required for asbestos accreditation under Toxic Substances Control Act, Title II. (c) Division Roster of Certificate Holders. (1) The course provider shall provide the following information to the Division on forms provided by the Division with the appropriate fee specified in subsection (e) for each certificated trainee within 15 business days after each course examination. (A) The name of the training course and its State of California course approval number. (B) Full name of certificated trainee. (C) The unique certificate number issued by the training course provider. If the certificate is for a Construction Craft Worker, also include a designation of the type of craft and the class of asbestos work. (D) Home address of trainee. (E) The expiration date of the certificate. (2) The Division will utilize this information to develop a roster of individuals who have received a certificate of training from an approved course provider. Only those individuals who appear on the roster will be considered in compliance with the training requirements of AHERA or subsections 1529(k)(9) for employees engaged in asbestos-related work requiring employer registration. Note: To provide an orderly transition individuals who possess valid and current AHERA certificates issued by USEPA approved or USEPA state approved course providers will be considered in compliance with this provision until December 31, 1999. After December 31, 1999, these individuals must appear on the Division roster showing initial or refresher AHERA certificates issued by Division approved AHERA course providers. (d) Application for Course Approval. (1) Any individual or organization that desires to become a course provider and satisfies the requirements of this article may apply to the Division for approval of an asbestos training course. The course provider shall complete a separate application for each training course for which approval is being sought using the following forms which are hereby incorporated by reference: Worker initial course, Form W-I 8/28/98; Contractor/Supervisor initial course, Form CS-I 8/28/98; Building Inspector initial course, Form BI-I 8/28/98; Project Designer initial course, Form PD-I 8/28/98; Management Planner initial course, Form MP-I 8/28/98; Construction Craft Worker initial course, Form CCW-I 8/28/98; Worker refresher course, Form W-R 8/28/98; Contractor/Supervisor refresher course, Form CS-R 8/28/98; Building Inspector refresher course, Form BI-R 8/28/98; Project Designer refresher course, Form PD-R 8/28/98; Management Planner refresher course, Form MP-R 8/28/98; Construction Craft Worker refresher course, Form CCW-R 8/28/98. Requests for application information and completed applications shall be sent to: Division of Occupational Safety and Health P.O. Box 420603 San Francisco, CA 94142 (2) The application shall include: (A) The name of the training course. (B) The name of the course provider, the name and title of the person whom the Division will contact regarding course approval matters, address, phone number, and the name and title of the person completing the application with his or her signature and a statement certifying that the information in the application is correct. (C) The appropriate fee specified in subsection (e). (D) Evidence of any previous approval from USEPA or another state for the training course. (E) Materials describing the contents and parameters of the training course. (F) Copies of all training documents and visual training aids (projection transparencies, etc.) used in the training course. (G) A sample copy of the examination to be administered for the training course, including the test key. (H) A sample copy of the certificate issued for the training course. (I) The name(s) and qualifications of the instructor(s) of the training course. (J) A list of the equipment which is used in the training course with a description of each type of equipment and the quantity of each type available on site for training. (e) Fees for Course Approval. (1) The application fee is $200 for the initial Construction Craft Worker course approval and $100 for the refresher course approval. (2) The application fee is $600 for any initial AHERA course approval and $400 for any refresher AHERA course approval. (3) Submitted application fees are not refundable. An appropriate application fee is required for each application. (4) Fees are required to defray the cost of administering the approval process for assuring that approved providers continue to provide effective training as required. The continuing approval process includes course audits and the auditing activity for an approved provider will be related to the number of trainees trained by the provider and other information available to the Division. A roster fee shall be paid by the approved provider to fund this continuing approval process and to fund the maintenance of the roster specified in subsection (c). The course provider shall remit a roster fee of $5 for each certificated trainee of a Construction Craft Worker Course, and $10 for each certificated trainee of each AHERA training course as specified in Section 341.16(c)(1). The annual cumulative roster fees must total a minimum of $150 for each approved course. If the annual cumulative roster fees is less than $150 for an approved course and the course provider wants to maintain the approval for the course, the course provider must remit a supplemental amount needed to make the $150 minimum annual total by the end of the annual interval. The annual interval commences from the anniversary date of the issuance of approval for the approved course. (5) Fees required by this subsection shall be payable to the Asbestos Training Approval Account. (f) Processing of Application. (1) Within 15 business days of receipt of an application for approval, the Division shall inform the applicant in writing whether the submitted application information required by (d)(2) is complete or additional information needs to be submitted. (2) Within 45 business days from the date the Division has determined an application is complete, the Division shall inform the applicant that the training course is approved and issue a State of California Course Approval Number to the applicant or inform the applicant that the application for approval is denied, specifying the reason for denial. After an application is denied, a new application with another fee must be submitted if the applicant wishes to continue to seek course approval. (g) Audit of Training Course. (1) Each course provider, as a condition of approval, shall permit the Division to attend and audit any training course in part or in its entirety without prior notification to the course provider. (2) The Division may administer a questionnaire to the trainees at the conclusion of an approved training course to evaluate training effectiveness. (h) Suspension and Revocation of Course Approval and of Training Certificates. (1) The Division may at any time, upon a showing of good cause and after notice and an opportunity to be heard, suspend or revoke any course approval or training certificate issued pursuant to this section. (2) Notice shall be in writing and served upon the party receiving adverse action from the Division at least 24 hours in advance of the hearing. Service shall be by personal service or certified mail to the course provider's address as shown on the course approval application. The notice shall specify the reasons for the action proposed by the Division in order that the notified party may prepare for the hearing. (3) The hearing shall be held as soon as possible at the Division's headquarters offices or at such other location as may be designated by the Division and shall be presided over by the Chief of the Division or his authorized designee. (4) At the hearing the Division shall establish good cause for the action proposed by it. Good cause is deemed to exist if the Division establishes that the course provider issued a certificate, but did not provide the corresponding required training. (5) The adversely affected party receiving a suspension or revocation from the Division may appeal such action to the Director. The Director shall hold a hearing at such place designated by the Director or his authorized designee for the convenience of the attending parties within two working days of the receipt of the course provider's appeal. The course provider shall have the burden of establishing that the suspension or revocation is not justified. The hearing shall be presided over by the Director or his authorized designee. (6) Following the hearing, the Director shall issue a decision. The Director's decision shall be final except for any rehearing or judicial review provided for by law. All requests for rehearing shall be filed with the Director within 10 business days from the date of the Director's Decision by mailing or personally serving a request for rehearing to the Director. Note: Authority cited: Sections 60.5, 6308 and 9021.9, Labor Code; and 40 CFR Part 763. Reference: Sections 6501.5 and 6501.8(c), Labor Code; Sections 7184 and 7185, Government Code; and Section 15 of the Asbestos School Hazard Abatement Reauthorization Act. Appendix A 40 CFR Part 763, Appendix C to Subpart E, Asbestos Model Accreditation Plan. I. Asbestos Model Accreditation Plan for States The Asbestos Model Accreditation Plan (MAP) for States has eight components: (A) Definitions (B) Initial Training (C) Examinations (D) Continuing Education (E) Qualifications (F) Recordkeeping Requirements for Training Providers (G) Deaccreditation (H) Reciprocity A. Definitions For purposes of Appendix C: 1. "Friable asbestos-containing material (ACM)" means any material containing more than one percent asbestos which has been applied on ceilings, walls, structural members, piping, duct work, or any other part of a building, which when dry, may be crumbled, pulverized, or reduced to powder by hand pressure. The term includes non-friable asbestos-containing material after such previously non-friable material becomes damaged to the extent that when dry it may be crumbled, pulverized, or reduced to powder by hand pressure. 2. "Friable asbestos-containing building material (ACBM)" means any friable ACM that is in or on interior structural members or other parts of a school or public and commercial building. 3. "Inspection" means an activity undertaken in a school building, or a public and commercial building, to determine the presence or location, or to assess the condition of, friable or non-friable asbestos-containing building material (ACBM) or suspected ACBM, whether by visual or physical examination, or by collecting samples of such material. This term includes reinspections of friable and non-friable known or assumed ACBM which has been previously identified. The term does not include the following: a. Periodic surveillance of the type described in 40 CFR 763.92(b) solely for the purpose of recording or reporting a change in the condition of known or assumed ACBM; b. Inspections performed by employees or agents of Federal, State, or local government solely for the purpose of determining compliance with applicable statutes or regulations; or c. visual inspections of the type described in 40 CFR 763.90(i) solely for the purpose of determining completion of response actions. 4. "Major fiber release episode" means any uncontrolled or unintentional disturbance of ACBM, resulting in a visible emission, which involves the falling or dislodging of more than 3 square or linear feet of friable ACBM. 5. "Minor fiber release episode" means any uncontrolled or unintentional disturbance of ACBM, resulting in a visible emission, which involves the falling or dislodging of 3 square or linear feet or less of friable ACBM. 6. "Public and commercial building" means the interior space of any building which is not a school building, except that the term does not include any residential apartment building of fewer than 10 units or detached single-family homes. The term includes, but is not limited to: industrial and office buildings, residential apartment buildings and condominiums of 10 or more dwelling units, government-owned buildings, colleges, museums, airports, hospitals, churches, preschools, stores, warehouses and factories. Interior space includes exterior hallways connecting buildings, porticos, and mechanical systems used to condition interior space. 7. "Response action" means a method, including removal, encapsulation, enclosure, repair, and operation and maintenance, that protects human health and the environment from friable ACBM. 8. "Small-scale, short-duration activities (SSSD)" are tasks such as, but not limited to: a. Removal of asbestos-containing insulation on pipes. b. Removal of small quantities of asbestos-containing insulation on beams or above ceilings. c. Replacement of an asbestos-containing gasket on a valve. d. Installation or removal of a small section of drywall. e. Installation of electrical conduits through or proximate to asbestos-containing materials. SSSD can be further defined by the following considerations: f. Removal of small quantities of ACM only if required in the performance of another maintenance activity not intended as asbestos abatement. g. Removal of asbestos-containing thermal system insulation not to exceed amounts greater than those which can be contained in a single glove bag. h. Minor repairs to damaged thermal system insulation which do not require removal. i. Repairs to a piece of asbestos-containing wallboard. j. Repairs, involving encapsulation, enclosure, or removal, to small amounts of friable ACM only if required in the performance of emergency or routine maintenance activity and not intended solely as asbestos abatement. Such work may not exceed amounts greater than those which can be contained in a single prefabricated mini-enclosure. Such an enclosure shall conform spatially and geometrically to the localized work area, in order to perform its intended containment function. B. Initial Training Training requirements for purposes of accreditation are specified both in terms of required subjects of instruction and in terms of length of training. Each initial training course has a prescribed curriculum and number of days of training. One day of training equals 8 hours, including breaks and lunch. Course instruction must be provided by EPA or State-approved instructors. EPA or State instructor approval shall be based upon a review of the instructor's academic credentials and/or field experience in asbestos abatement. Beyond the initial training requirements, individual States may wish to consider requiring additional days of training for purposes of supplementing hands-on activities or for reviewing relevant state regulations. States also may wish to consider the relative merits of a worker apprenticeship program. Further, they might consider more stringent minimum qualification standards for the approval of training instructors. EPA recommends that the enrollment in any given course be limited to 25 students so that adequate opportunities exist for individual hands-on experience. States have the option to provide initial training directly or approve other entities to offer training. The following requirements are for the initial training of persons required to have accreditation under TSCA Title II. Training requirements for each of the five accredited disciplines are outlined below. Persons in each discipline perform a different job function and distinct role. Inspectors identify and assess the condition of ACBM, or suspect ACBM. Management planners use data gathered by inspectors to assess the degree of hazard posed by ACBM in schools to determine the scope and timing of appropriate response actions needed for schools. Project designers determine how asbestos abatement work should be conducted. Lastly, workers and contractor/supervisors carry out and oversee abatement work. In addition, a recommended training curriculum is also presented for a sixth discipline, which is not federally-accredited, that of "Project Monitor." Each accredited discipline and training curriculum is separate and distinct from the others. A person seeking accreditation in any of the five accredited MAP disciplines cannot attend two or more courses concurrently, but may attend such courses sequentially. In several instances, initial training courses for a specific discipline (e.g., workers, inspectors) require hands-on training. For asbestos abatement contractor/supervisors and workers, hands-on training should include working with asbestos-substitute materials, fitting and using respirators, use of glovebags, donning protective clothing, and constructing a decontamination unit as well as other abatement work activities. 1. Workers A person must be accredited as a worker to carry out any of the following activities with respect to friable ACBM in a school or public and commercial building: (1) A response action other than a SSSD activity, (2) a maintenance activity that disturbs friable ACBM other than a SSSD activity, or (3) a response action for a major fiber release episode. All persons seeking accreditation as asbestos abatement workers shall complete at least a 4-day training course as outlined below. The 4-day worker training course shall include lectures, demonstrations, at least 14 hours of hands-on training, individual respirator fit testing, course review, and an examination. Hands-on training must permit workers to have actual experience performing tasks associated with asbestos abatement. A person who is otherwise accredited as a contractor/supervisor may perform in the role of a worker without possessing separate accreditation as a worker. Because of cultural diversity associated with the asbestos workforce, EPA recommends that States adopt specific standards for the approval of foreign language courses for abatement workers. EPA further recommends the use of audio-visual materials to complement lectures, where appropriate. The training course shall adequately address the following topics: (a) Physical characteristics of asbestos. Identification of asbestos, aerodynamic characteristics, typical uses, and physical appearance, and a summary of abatement control options. (b) Potential health effects related to asbestos exposure. The nature of asbestos-related diseases; routes of exposure; dose-response relationships and the lack of a safe exposure level; the synergistic effect between cigarette smoking and asbestos exposure; the latency periods for asbestos-related diseases; a discussion of the relationship of asbestos exposure to asbestosis, lung cancer, mesothelioma, and cancers of other organs. (c) Employee personal protective equipment. Classes and characteristics of respirator types; limitations of respirators; proper selection, inspection; donning, use, maintenance, and storage procedures for respirators; methods for field testing of the facepiece-to-face seal (positive and negative-pressure fit checks); qualitative and quantitative fit testing procedures; variability between field and laboratory protection factors that alter respiratory fit (e.g., facial hair); the components of a proper respiratory protection program; selection and use of personal protective clothing; use, storage, and handling of non-disposable clothing; and regulations covering personal protective equipment. (d) State-of-the-art work practices. Proper work practices for asbestos abatement activities, including descriptions of proper construction; maintenance of barriers and decontamination enclosure systems; positioning of warning signs; lock-out of electrical and ventilation systems; proper working techniques for minimizing fiber release; use of wet methods; use of negative pressure exhaust ventilation equipment; use of high-efficiency particulate air (HEPA) vacuums; proper clean-up and disposal procedures; work practices for removal, encapsulation, enclosure, and repair of ACM; emergency procedures for sudden releases; potential exposure situations; transport and disposal procedures; and recommended and prohibited work practices. (e) Personal hygiene. Entry and exit procedures for the work area; use of showers; avoidance of eating, drinking, smoking, and chewing (gum or tobacco) in the work area; and potential exposures, such as family exposure. (f) Additional safety hazards. Hazards encountered during abatement activities and how to deal with them, including electrical hazards, heat stress, air contaminants other than asbestos, fire and explosion hazards, scaffold and ladder hazards, slips, trips, and falls, and confined spaces. (g) Medical monitoring. OSHA and EPA Worker Protection Rule requirements for physical examinations, including a pulmonary function test, chest X-rays, and a medical history for each employee. (h) Air monitoring. Procedures to determine airborne concentrations of asbestos fibers, focusing on how personal air sampling is performed and the reasons for it. (i) Relevant Federal, State, and local regulatory requirements, procedures, and standards. With particular attention directed at relevant EPA, OSHA, and State regulations concerning asbestos abatement workers. (j) Establishment of respiratory protection programs. (k) Course review. A review of key aspects of the training course. 2. Contractor/Supervisors A person must be accredited as a contractor/supervisor to supervise any of the following activities with respect to friable ACBM in a school or public and commercial building: (1) A response action other than a SSSD activity, (2) a maintenance activity that disturbs friable ACBM other than a SSSD activity, or (3) a response action for a major fiber release episode. All persons seeking accreditation as asbestos abatement contractor/supervisors shall complete at least a 5-day training course as outlined below. The training course must include lectures, demonstrations, at least 14 hours of hands-on training, individual respirator fit testing, course review, and a written examination. Hands-on training must permit supervisors to have actual experience performing tasks associated with asbestos abatement. EPA recommends the use of audiovisual materials to complement lectures, where appropriate. Asbestos abatement supervisors include those persons who provide supervision and direction to workers performing response actions. Supervisors may include those individuals with the position title of foreman, working foreman, or leadman pursuant to collective bargaining agreements. At least one supervisor is required to be at the worksite at all times while response actions are being conducted. Asbestos workers must have access to accredited supervisors throughout the duration of the project. The contractor/supervisor training course shall adequately address the following topics: (a) The physical characteristics of asbestos and asbestos-containing materials. Identification of asbestos, aerodynamic characteristics, typical uses, physical appearance, a review of hazard assessment considerations, and a summary of abatement control options. (b) Potential health effects related to asbestos exposure. The nature of asbestos-related diseases; routes of exposure; dose-response relationships and the lack of a safe exposure level; synergism between cigarette smoking and asbestos exposure; and latency period for diseases. (c) Employee personal protective equipment. Classes and characteristics of respirator types; limitations of respirators; proper selection, inspection, donning, use, maintenance, and storage procedures for respirators; methods for field testing of the facepiece-to-face seal (positive and negative-pressure fit checks); qualitative and quantitative fit testing procedures; variability between field and laboratory protection factors that alter respiratory fit (e.g., facial hair); the components of a proper respiratory protection program; selection and use of personal protective clothing; and use, storage, and handling of non-disposable clothing; and regulations covering personal protective equipment. (d) State-of-the-art work practices. Proper work practices for asbestos abatement activities, including descriptions of proper construction and maintenance of barriers and decontamination enclosure systems; positioning of warning signs; lock-out of electrical and ventilation systems; proper working techniques for minimizing fiber release; use of wet methods; use of negative pressure exhaust ventilation equipment; use of HEPA vacuums; and proper clean-up and disposal procedures. Work practices for removal, encapsulation, enclosure, and repair of ACM; emergency procedures for unplanned releases; potential exposure situations; transport and disposal procedures; and recommended and prohibited work practices. New abatement-related techniques and methodologies may be discussed. (e) Personal hygiene. Entry and exit procedures for the work area; use of showers; and avoidance of eating, drinking, smoking, and chewing (gum or tobacco) in the work area. Potential exposures, such as family exposure, shall also be included. (f) Additional safety hazards. Hazards encountered during abatement activities and how to deal with them, including electrical hazards, heat stress, air contaminants other than asbestos, fire and explosion hazards, scaffold and ladder hazards, slips, trips, and falls, and confined spaces. (g) Medical monitoring. OSHA and EPA Worker Protection Rule requirements for physical examinations, including a pulmonary function test, chest X-rays and a medical history for each employee. (h) Air monitoring. Procedures to determine airborne concentrations of asbestos fibers, including descriptions of aggressive air sampling, sampling equipment and methods, reasons for air monitoring, types of samples and interpretation of results. EPA recommends that transmission electron microscopy (TEM) be used for analysis of final air clearance samples, and that sample analyses be performed by laboratories accredited by the National Institute of Standards and Technology's (NIST) National Voluntary Laboratory Accreditation Program (NVLAP). (i) Relevant Federal, State, and local regulatory requirements, procedures, and standards, including: (i) Requirements of TSCA Title II. (ii) National Emission Standards for Hazardous Air Pollutants (40 CFR part 61), Subparts A (General Provisions) and M (National Emission Standard for Asbestos). (iii) OSHA standards for permissible exposure to airborne concentrations of asbestos fibers and respiratory protection (29 CFR 1910.134). (iv) OSHA Asbestos Construction Standard (29 CFR 1926.58). (v) EPA Worker Protection Rule (40 CFR part 763, Subpart G). (j) Respiratory Protection Programs and Medical Monitoring Programs. (k) Insurance and liability issues. Contractor issues; worker's compensation coverage and exclusions; third-party liabilities and defenses; insurance coverage and exclusions. (l) Recordkeeping for asbestos abatement projects. Records required by Federal, State, and local regulations; records recommended for legal and insurance purposes. (m) Supervisory techniques for asbestos abatement activities. Supervisory practices to enforce and reinforce the required work practices and discourage unsafe work practices. (n) Contract specifications. Discussions of key elements that are included in contract specifications. (o) Course review. A review of key aspects of the training course. 3. Inspector All persons who inspect for ACBM in schools or public and commercial buildings must be accredited. All persons seeking accreditation as an inspector shall complete at least a 3-day training course as outlined below. The course shall include lectures, demonstrations, 4 hours of hands-on training, individual respirator fit-testing, course review, and a written examination. EPA recommends the use of audiovisual materials to complement lectures, where appropriate. Hands-on training should include conducting a simulated building walk-through inspection and respirator fit testing. The inspector training course shall adequately address the following topics: (a) Background information on asbestos. Identification of asbestos, and examples and discussion of the uses and locations of asbestos in buildings; physical appearance of asbestos. (b) Potential health effects related to asbestos exposure. The nature of asbestos-related diseases; routes of exposure; dose-response relationships and the lack of a safe exposure level; the synergistic effect between cigarette smoking and asbestos exposure; the latency periods for asbestos-related diseases; a discussion of the relationship of asbestos exposure to asbestosis, lung cancer, mesothelioma, and cancers of other organs. (c) Functions/qualifications and role of inspectors. Discussions of prior experience and qualifications for inspectors and management planners; discussions of the functions of an accredited inspector as compared to those of an accredited management planner; discussion of inspection process including inventory of ACM and physical assessment. (d) Legal liabilities and defenses. Responsibilities of the inspector and management planner; a discussion of comprehensive general liability policies, claims-made, and occurrence policies, environmental and pollution liability policy clauses; state liability insurance requirements; bonding and the relationship of insurance availability to bond availability. (e) Understanding building systems. The interrelationship between building systems, including: an overview of common building physical plan layout; heat, ventilation, and air conditioning (HVAC) system types, physical organization, and where asbestos is found on HVAC components; building mechanical systems, their types and organization, and where to look for asbestos on such systems; inspecting electrical systems, including appropriate safety precautions; reading blueprints and as-built drawings. (f) Public/employee/building occupant relations. Notifying employee organizations about the inspection; signs to warn building occupants; tact in dealing with occupants and the press; scheduling of inspections to minimize disruptions; and education of building occupants about actions being taken. (g) Pre-inspection planning and review of previous inspection records. Scheduling the inspection and obtaining access; building record review; identification of probable homogeneous areas from blueprints or as-built drawings; consultation with maintenance or building personnel; review of previous inspection, sampling, and abatement records of a building; the role of the inspector in exclusions for previously performed inspections. (h) Inspecting for friable and non-friable ACM and assessing the condition of friable ACM. Procedures to follow in conducting visual inspections for friable and non-friable ACM; types of building materials that may contain asbestos; touching materials to determine friability; open return air plenums and their importance in HVAC systems; assessing damage, significant damage, potential damage, and potential significant damage; amount of suspected ACM, both in total quantity and as a percentage of the total area; type of damage; accessibility; material's potential for disturbance; known or suspected causes of damage or significant damage; and deterioration as assessment factors. (i) Bulk sampling/documentation of asbestos. Detailed discussion of the "Simplified Sampling Scheme for Friable Surfacing Materials (EPA 560/5-85-030a October 1985)"; techniques to ensure sampling in a randomly distributed manner for other than friable surfacing materials; sampling of non-friable materials; techniques for bulk sampling; inspector's sampling and repair equipment; patching or repair of damage from sampling; discussion of polarized light microscopy; choosing an accredited laboratory to analyze bulk samples; quality control and quality assurance procedures. EPA's recommendation that all bulk samples collected from school or public and commercial buildings be analyzed by a laboratory accredited under the NVLAP administered by NIST. (j) Inspector respiratory protection and personal protective equipment. Classes and characteristics of respirator types; limitations of respirators; proper selection, inspection; donning, use, maintenance, and storage procedures for respirators; methods for field testing of the facepiece-to-face seal (positive and negative-pressure fit checks); qualitative and quantitative fit testing procedures; variability between field and laboratory protection factors that alter respiratory fit (e.g., facial hair); the components of a proper respiratory protection program; selection and use of personal protective clothing; use, storage, and handling of non-disposable clothing. (k) Recordkeeping and writing the inspection report. Labeling of samples and keying sample identification to sampling location; recommendations on sample labeling; detailing of ACM inventory; photographs of selected sampling areas and examples of ACM condition; information required for inclusion in the management plan required for school buildings under TSCA Title II, section 203(i)(1). EPA recommends that States develop and require the use of standardized forms for recording the results of inspections in schools or public or commercial buildings, and that the use of these forms be incorporated into the curriculum of training conducted for accreditation. (l) Regulatory review. The following topics should be covered: National Emission Standards for Hazardous Air Pollutants (NESHAP; 40 CFR part 61, Subparts A and M); EPA Worker Protection Rule (40 CFR part 763, Subpart G); OSHA Asbestos Construction Standard (29 CFR 1926.58); OSHA respirator requirements (29 CFR 1910.134); the Asbestos-Containing Materials in Schools Rule (40 CFR Part 763, Subpart E); applicable State and local regulations, and differences between Federal and State requirements where they apply, and the effects, if any, on public and nonpublic schools or commercial or public buildings. (m) Field trip. This includes a field exercise, including a walk-through inspection; on-site discussion about information gathering and the determination of sampling locations; on-site practice in phsical assessment; classroom discussion of field exercise. (n) Course review. A review of key aspects of the training course. 4. Management Planner All persons who prepare management plans for schools must be accredited. All persons seeking accreditation as management planners shall complete a 3-day inspector training course as outlined above and a 2-day management planner training course. Possession of current and valid inspector accreditation shall be a prerequisite for admission to the management planner training course. The management planner course shall include lectures, demonstrations, course review, and a written examination. EPA recommends the use of audiovisual materials to complement lectures, where appropriate. TSCA Title II does not require accreditation for persons performing the management planner role in public and commercial buildings. Nevertheless, such persons may find this training and accreditation helpful in preparing them to design or administer asbestos operations and maintenance programs for public and commercial buildings. The management planner training course shall adequately address the following topics: (a) Course overview. The role and responsibilities of the management planner; operations and maintenance programs; setting work priorities; protection of building occupants. (b) Evaluation/interpretation of survey results. Review of TSCA Title II requirements for inspection and management plans for school buildings as given in section 203(i)(1) of TSCA Title II; interpretation of field data and laboratory results; comparison of field inspector's data sheet with laboratory results and site survey. (c) Hazard assessment. Amplification of the difference between physical assessment and hazard assessment; the role of the management planner in hazard assessment; explanation of significant damage, damage, potential damage, and potential significant damage; use of a description (or decision tree) code for assessment of ACM; assessment of friable ACM; relationship of accessibility, vibration sources, use of adjoining space, and air plenums and other factors to hazard assessment. (d) Legal implications. Liability; insurance issues specific to planners; liabilities associated with interim control measures, in-house maintenance, repair, and removal; use of results from previously performed inspections. (e) Evaluation and selection of control options. Overview of encapsulation, enclosure, interim operations and maintenance, and removal; advantages and disadvantages of each method; response actions described via a decision tree or other appropriate method; work practices for each response action; staging and prioritizing of work in both vacant and occupied buildings; the need for containment barriers and decontamination in response actions. (f) Role of other professionals. Use of industrial hygienists, engineers, and architects in developing technical specifications for response actions; any requirements that may exist for architect sign-off of plans; team approach to design of high-quality job specifications. (g) Developing an operations and maintenance (O&M) plan. Purpose of the plan; discussion of applicable EPA guidance documents; what actions should be taken by custodial staff; proper cleaning procedures; steam cleaning and HEPA vacuuming; reducing disturbance of ACM; scheduling O&M for off-hours; rescheduling or canceling renovation in areas with ACM; boiler room maintenance; disposal of ACM; in-house procedures for ACM-bridging and penetrating encapsulants; pipe fittings; metal sleeves; polyvinyl chloride (PVC), canvas, and wet wraps; muslin with straps, fiber mesh cloth; mineral wool, and insulating cement; discussion of employee protection programs and staff training; case study in developing an O&M plan (development, implementation process, and problems that have been experienced). (h) Regulatory review. Focusing on the OSHA Asbestos Construction Standard found at 29 CFR 1926.58; the National Emission Standard for Hazardous Air Pollutants (NESHAP) found at 40 CFR part 61, Subparts A (General Provisions) and M (National Emission Standard for Asbestos), EPA Worker Protection Rule found at 40 CFR part 763, Subpart G; TSCA Title II; applicable State regulations. (i) Recordkeeping for the management planner. Use of field inspector's data sheet along with laboratory results; on-going recordkeeping as a means to track asbestos disturbance; procedures for recordkeeping. EPA recommends that States require the use of standardized forms for purposes of management plans and incorporate the use of such forms into the initial training course for management planners. (j) Assembling and submitting the management plan. Plan requirements for schools in TSCA Title II section 203(i)(1); the management plan as a planning tool. (k) Financing abatement actions. Economic analysis and cost estimates; development of cost estimates; present costs of abatement versus future operation and maintenance costs; Asbestos School Hazard Abatement Act grants and loans. (l) Course review. A review of key aspects of the training course. 5. Project Designer A person must be accredited as a project designer to design any of the following activities with respect to friable ACBM in a school or public and commercial building: (1) A response action other than a SSSD maintenance activity, (2) a maintenance activity that disturbs friable ACBM other than a SSSD maintenance activity, or (3) a response action for a major fiber release episode. All persons seeking accreditation as a project designer shall complete at least a minimum 3-day training course as outlined below. The project designer course shall include lectures, demonstrations, a field trip, course review and a written examination. EPA recommends the use of audiovisual materials to complement lectures, where appropriate. The abatement project designer training course shall adequately address the following topics: (a) Background information on asbestos. Identification of asbestos; examples and discussion of the uses and locations of asbestos in buildings; physical appearance of asbestos. (b) Potential health effects related to asbestos exposure. Nature of asbestos-related diseases; routes of exposure; dose-response relationships and the lack of a safe exposure level; the synergistic effect between cigarette smoking and asbestos exposure; the latency period of asbestos-related diseases; a discussion of the relationship between asbestos exposure and asbestosis, lung cancer, mesothelioma, and cancers of other organs. (c) Overview of abatement construction projects. Abatement as a portion of a renovation project; OSHA requirements for notification of other contractors on a multi-employer site (29 CFR 1926.58). (d) Safety system design specifications. Design, construction, and maintenance of containment barriers and decontamination enclosure systems; positioning of warning signs; electrical and ventilation system lock-out; proper working techniques for minimizing fiber release; entry and exit procedures for the work area; use of wet methods; proper techniques for initial cleaning; use of negative-pressure exhaust ventilation equipment; use of HEPA vacuums; proper clean-up and disposal of asbestos; work practices as they apply to encapsulation, enclosure, and repair; use of glove bags and a demonstration of glove bag use. (e) Field trip. A visit to an abatement site or other suitable building site, including on-site discussions of abatement design and building walk-through inspection. Include discussion of rationale for the concept of functional spaces during the walk-through. (f) Employee personal protective equipment. Classes and characteristics of respirator types; limitations of respirators; proper selection, inspection; donning, use, maintenance, and storage procedures for respirators; methods for field testing of the facepiece-to-face seal (positive and negative-pressure fit checks); qualitative and quantitative fit testing procedures; variability between field and laboratory protection factors that alter respiratory fit (e.g., facial hair); the components of a proper respiratory protection program; selection and use of personal protective clothing; use, storage, and handling of non-disposable clothing. (g) Additional safety hazards. Hazards encountered during abatement activities and how to deal with them, including electrical hazards, heat stress, air contaminants other than asbestos, fire, and explosion hazards. (h) Fiber aerodynamics and control. Aerodynamic characteristics of asbestos fibers; importance of proper containment barriers; settling time for asbestos fibers; wet methods in abatement; aggressive air monitoring following abatement; aggressive air movement and negative-pressure exhaust ventilation as a clean-up method. (i) Designing abatement solutions. Discussions of removal, enclosure, and encapsulation methods; asbestos waste disposal. (j) Final clearance process. Discussion of the need for a written sampling rationale for aggressive final air clearance; requirements of a complete visual inspection; and the relationship of the visual inspection to final air clearance. EPA recommends the use of TEM for analysis of final air clearance samples. These samples should be analyzed by laboratories accredited under the NIST NVLAP. (k) Budgeting/cost estimating. Development of cost estimates; present costs of abatement versus future operation and maintenance costs; setting priorities for abatement jobs to reduce costs. (l) Writing abatement specifications. Preparation of and need for a written project design; means and methods specifications versus performance specifications; design of abatement in occupied buildings; modification of guide specifications for a particular building; worker and building occupant health/medical considerations; replacement of ACM with non-asbestos substitutes. (m) Preparing abatement drawings. Significance and need for drawings, use of as-built drawings as base drawings; use of inspection photographs and on-site reports; methods of preparing abatement drawings; diagramming containment barriers; relationship of drawings to design specifications; particular problems related to abatement drawings. (n) Contract preparation and administration. (o) Legal/liabilities/defenses. Insurance considerations; bonding; hold-harmless clauses; use of abatement contractor's liability insurance; claims made versus occurrence policies. (p) Replacement. Replacement of asbestos with asbestos-free substitutes. (q) Role of other consultants. Development of technical specification sections by industrial hygienists or engineers; the multi-disciplinary team approach to abatement design. (r) Occupied buildings. Special design procedures required in occupied buildings; education of occupants; extra monitoring recommendations; staging of work to minimize occupant exposure; scheduling of renovation to minimize exposure. (s) Relevant Federal, State, and local regulatory requirements, procedures and standards, including, but not limited to: (i) Requirements of TSCA Title II. (ii) National Emission Standards for Hazardous Air Pollutants, (40 CFR part 61) subparts A (General Provisions) and M (National Emission Standard for Asbestos). (iii) OSHA Respirator Standard found at 29 CFR 1910.134. (iv) EPA Worker Protection Rule found at 40 CFR part 763, subpart G. (v) OSHA Asbestos Construction Standard found at 29 CFR 1926.58. (vi) OSHA Hazard Communication Standard found at 29 CFR 1926.59. (t) Course review. A review of key aspects of the training course. 6. Project Monitor EPA recommends that States adopt training and accreditation requirements for persons seeking to perform work as project monitors. Project monitors observe abatement activities performed by contractors and generally serve as a building owner's representative to ensure that abatement work is completed according to specification and in compliance with all relevant statutes and regulations. They may also perform the vital role of air monitoring for purposes of determining final clearance. EPA recommends that a State seeking to accredit individuals as project monitors consider adopting a minimum 5-day training course covering the topics outlined below. The course outlined below consists of lectures and demonstrations, at least 6 hours of hands-on training, course review, and a written examination. The hands-on training component might be satisfied by having the student simulate participation in or performance of any of the relevant job functions or activities (or by incorporation of the workshop component described in item "n" below of this unit). EPA recommends that the project monitor training course adequately address the following topics: (a) Roles and responsibilities of the project monitor. Definition and responsibilities of the project monitor, including regulatory/specification compliance monitoring, air monitoring, conducting visual inspections, and final clearance monitoring. (b) Characteristics of asbestos and asbestos-containing materials. Typical uses of asbestos; physical appearance of asbestos; review of asbestos abatement and control techniques; presentation of the health effects of asbestos exposure, including routes of exposure, dose-response relationships, and latency periods for asbestos-related diseases. (c) Federal asbestos regulations. Overview of pertinent EPA regulations, including: NESHAP, 40 CFR part 61, subparts A and M; AHERA, 40 CFR part 763, subpart E; and the EPA Worker Protection Rule, 40 CFR part 763, subpart G. Overview of pertinent OSHA regulations, including: Construction Industry Standard for Asbestos, 29 CFR 1926.58; Respirator Standard, 29 CFR 1910.134; and the Hazard Communication Standard, 29 CFR 1926.59. Applicable State and local asbestos regulations; regulatory interrelationships. (d) Understanding building construction and building systems. Building construction basics, building physical plan layout; understanding building systems (HVAC, electrical, etc.); layout and organization, where asbestos is likely to be found on building systems; renovations and the effect of asbestos abatement on building systems. (e) Asbestos abatement contracts, specifications, and drawings. Basic provisions of the contract; relationships between principle parties, establishing chain of command; types of specifications, including means and methods, performance, and proprietary and nonproprietary; reading and interpreting records and abatement drawings; discussion of change orders; common enforcement responsibilities and authority of project monitor. (f) Response actions and abatement practices. Pre-work inspections; pre-work considerations, precleaning of the work area, removal of furniture, fixtures, and equipment; shutdown/modification of building systems; construction and maintenance of containment barriers, proper demarcation of work areas; work area entry/exit, hygiene practices; determining the effectiveness of air filtration equipment; techniques for minimizing fiber release, wet methods, continuous cleaning; abatement methods other than removal; abatement area clean-up procedures; waste transport and disposal procedures; contingency planning for emergency response. (g) Asbestos abatement equipment. Typical equipment found on an abatement project; air filtration devices, vacuum systems, negative pressure differential monitoring; HEPA filtration units, theory of filtration, design/construction of HEPA filtration units, qualitative and quantitative performance of HEPA filtration units, sizing the ventilation requirements, location of HEPA filtration units, qualitative and quantitative tests of containment barrier integrity; best available technology. (h) Personal protective equipment. Proper selection of respiratory protection; classes and characteristics of respirator types, limitations of respirators; proper use of other safety equipment, protective clothing selection, use, and proper handling, hard/bump hats, safety shoes; breathing air systems, high pressure v. low pressure, testing for Grade D air, determining proper backup air volumes. (i) Air monitoring strategies. Sampling equipment, sampling pumps (low v. high volume), flow regulating devices (critical and limiting orifices), use of fibrous aerosol monitors on abatement projects; sampling media, types of filters, types of cassettes, filter orientation, storage and shipment of filters; calibration techniques, primary calibration standards, secondary calibration standards, temperature/pressure effects, frequency of calibration, recordkeeping and field work documentation, calculations; air sample analysis, techniques available and limitations of AHERA on their use, transmission electron microscopy (background to sample preparation and analysis, air sample conditions which prohibit analysis, EPA's recommended technique for analysis of final air clearance samples), phase contrast microscopy (background to sample preparation, and AHERA's limits on the use of phase contrast micrscopy), what each technique measures; analytical methodologies, AHERA TEM protocol, NIOSH 7400, OSHA reference method (non clearance), EPA recommendation for clearance (TEM); sampling strategies for clearance monitoring, types of air samples (personal breathing zone v. fixed-station area) sampling location and objectives (pre-abatement, during abatement, and clearance monitoring), number of samples to be collected, minimum and maximum air volumes, clearance monitoring (post-visual-inspection) (number of samples required, selection of sampling locations, period of sampling, aggressive sampling, interpretations of sampling results, calculations), quality assurance; special sampling problems, crawl spaces, acceptable samples for laboratory analysis, sampling in occupied buildings (barrier monitoring). (j) Safety and health issues other than asbestos. Confined-space entry, electrical hazards, fire and explosion concerns, ladders and scaffolding, heat stress, air contaminants other than asbestos, fall hazards, hazardous materials on abatement projects. (k) Conducting visual inspections. Inspections during abatement, visual inspections using the ASTM E1368 document; conducting inspections for completeness of removal; discussion of "how clean is clean?" (l) Legal responsibilities and liabilities of project monitors. Specification enforcement capabilities; regulatory enforcement; licensing; powers delegated to project monitors through contract documents. (m) Recordkeeping and report writing. Developing project logs/daily logs (what should be included, who sees them); final report preparation; recordkeeping under Federal regulations. (n) Workshops (6 hours spread over 3 days). Contracts, specifications, and drawings: This workshop could consist of each participant being issued a set of contracts, specifications, and drawings and then being asked to answer questions and make recommendations to a project architect, engineer or to the building owner based on given conditions and these documents. Air monitoring strategies/asbestos abatement equipment: This workshop could consist of simulated abatement sites for which sampling strategies would have to be developed (i.e., occupied buildings, industrial situations). Through demonstrations and exhibition, the project monitor may also be able to gain a better understanding of the function of various pieces of equipment used on abatement projects (air filtration units, water filtration units, negative pressure monitoring devices, sampling pump calibration devices, etc.). Conducting visual inspections: This workshop could consist, ideally, of an interactive video in which a participant is "taken through" a work area and asked to make notes of what is seen. A series of questions will be asked which are designed to stimulate a person's recall of the area. This workshop could consist of a series of two or three videos with different site conditions and different degrees of cleanliness. C. Examinations 1. Each State shall administer a closed book examination or designate other entities such as State-approved providers of training courses to administer the closed-book examination to persons seeking accreditation who have completed an initial training course. Demonstration testing may also be included as part of the examination. A person seeking initial accreditation in a specific discipline must pass the examination for that discipline in order to receive accreditation. For example, a person seeking accreditation as an abatement project designer must pass the State's examination for abatement project designer. States may develop their own examinations, have providers of training courses develop examinations, or use standardized examinations developed for purposes of accreditation under TSCA Title II. In addition, States may supplement standardized examinations with questions about State regulations. States may obtain commercially developed standardized examinations, develop standardized examinations independently, or do so in cooperation with other States, or with commercial or non-profit providers on a regional or national basis. EPA recommends the use of standardized, scientifically-validated testing instruments, which may be beneficial in terms of both promoting competency and in fostering accreditation reciprocity between States. Each examination shall adequately cover the topics included in the training course for that discipline. Each person who completes a training course, passes the required examination, and fulfills whatever other requirements the State imposes must receive an accreditation certificate in a specific discipline. Whether a State directly issues accreditation certificates, or authorizes training providers to issue accreditation certificates, each certificate issued to an accredited person must contain the following minimum information: a. A unique certificate number b. Name of accredited person c. Discipline of the training course completed. d. Dates of the training course. e. Date of the examination. f. An expiration date of 1 year after the date upon which the person successfully completed the course and examination. g. The name, address, and telephone number of the training provider that issued the certificate. h. A statement that the person receiving the certificate has completed the requisite training for asbestos accreditation under TSCA Title II. States or training providers who reaccredit persons based upon completion of required refresher training must also provide accreditation certificates with all of the above information, except the examination date may be omitted if a State does not require a refresher examination for reaccreditation. Where a State licenses accredited persons but has authorized training providers to issue accreditation certificates, the State may issue licenses in the form of photo-identification cards. Where this applies, EPA recommends that the State licenses should include all of the same information required for the accreditation certificates. A State may also choose to issue photo-identification cards in addition to the required accreditation certificates. Accredited persons must have their initial and current accreditation certificates at the location where they are conducting work. 2. The following are the requirements for examination in each discipline: a. Worker: i. 50 multiple-choice questions ii. Passing score: 70 percent correct b. Contractor/Supervisor: i. 100 multiple-choice questions ii. Passing score: 70 percent correct c. Inspector: i. 50 Multiple-choice questions ii. Passing score: 70 percent correct d. Management Planner: i. 50 Multiple-choice questions ii. Passing score: 70 percent correct e. Project Designer: i. 100 multiple-choice questions ii. Passing score: 70 percent correct D. Continuing Education For all disciplines, a State's accreditation program shall include annual refresher training as a requirement for reaccreditation as indicated below: 1. Workers: One full day of refresher training. 2. Contractor/Supervisors: One full day of refresher training. 3. Inspectors: One half-day of refresher training. 4. Management Planners: One half-day of inspector refresher training and one half-day of refresher training for management planners. 5. Project Designers: One full day of refresher training. The refresher courses shall be specific to each discipline. Refresher courses shall be conducted as separate and distinct courses and not combined with any other training during the period of the refresher course. For each discipline, the refresher course shall review and discuss changes in Federal, State, and local regulations, developments in state-of-the-art procedures, and a review of key aspects of the initial training course as determined by the State. After completing the annual refresher course, persons shall have their accreditation extended for an additional year from the date of the refresher course. A State may consider requiring persons to pass reaccreditation examinations at specific intervals (for example, every 3 years). EPA recommends that States formally establish a 12-month grace period to enable formerly accredited persons with expired certificates to complete refresher training and have their accreditation status reinstated without having to re-take the initial training course. E. Qualifications In addition to requiring training and an examination, a State may require candidates for accreditation to meet other qualification and/or experience standards that the State considers appropriate for some or all disciplines. States may choose to consider requiring qualifications similar to the examples outlined below for inspectors, management planners and project designers. States may modify these examples as appropriate. In addition, States may want to include some requirements based on experience in performing a task directly as a part of a job or in an apprenticeship role. They may also wish to consider additional criteria for the approval of training course instructors beyond those prescribed by EPA. 1. Inspectors: Qualifications -possess a high school diploma. States may want to require an Associate's Degree in specific fields (e.g., environmental or physical sciences). 2. Management Planners: Qualifications -Registered architect, engineer, or certified industrial hygienist or related scientific field. 3. Project Designers: Qualifications -registered architect, engineer, or certified industrial hygienist. 4. Asbestos Training Course Instructor: Qualifications -academic credentials and/or field experience in asbestos abatement. EPA recommends that States prescribe minimum qualification standards for training instructors employed by training providers. F. Recordkeeping Requirements for Training Providers All approved providers of accredited asbestos training courses must comply with the following minimum recordkeeping requirements. 1. Training course materials. A training provider must retain copies of all instructional materials used in the delivery of the classroom training such as student manuals, instructor notebooks and handouts. 2. Instructor qualifications. A training provider must retain copies of all instructors' resumes, and the documents approving each instructor issued by either EPA or a State. Instructors must be approved by either EPA or a State before teaching courses for accreditation purposes. A training provider must notify EPA or the State, as appropriate, in advance whenever it changes course instructors. Records must accurately identify the instructors that taught each particular course for each date that a course is offered. 3. Examinations. A training provider must document that each person who receives an accreditation certificate for an initial training course has achieved a passing score on the examination. These records must clearly indicate the date upon which the exam was administered, the training course and discipline for which the exam was given, the name of the person who proctored the exam, a copy of the exam, and the name and test score of each person taking the exam. The topic and dates of the training course must correspond to those listed on that person's accreditation certificate. States may choose to apply these same requirements to examinations for refresher training courses. 4. Accreditation certificates. The training providers or States, whichever issues the accreditation certificate, shall maintain records that document the names of all persons who have been awarded certificates, their certificate numbers, the disciplines for which accreditation was conferred, training and expiration dates, and the training location. The training provider or State shall maintain the records in a manner that allows verification by telephone of the required information. 5. Verification of certificate information. EPA recommends that training providers of refresher training courses confirm that their students possess valid accreditation before granting course admission. EPA further recommends that training providers offering the initial management planner training course verify that students have met the prerequisite of possessing valid inspector accreditation at the time of course admission. 6. Records retention and access. (a) The training provider shall maintain all required records for a minimum of 3 years. The training provider, however, may find it advantageous to retain these records for a longer period of time. (b) The training provider must allow reasonable access to all of the records required by the MAP, and to any other records which may be required by States for the approval of asbestos training providers or the accreditation of asbestos training courses, to both EPA and to State Agencies, on request. EPA encourages training providers to make this information equally accessible to the general public. (c) If a training provider ceases to conduct training, the training provider shall notify the approving government body (EPA or the State) and give it the opportunity to take possession of that providers asbestos training records. G. Deaccreditation 1. States must establish criteria and procedures for deaccrediting persons accredited as workers, contractor/supervisors, inspectors, management planners, and project designers. States must follow their own administrative procedures in pursuing deaccreditation actions. At a minimum, the criteria shall include: (a) Performing work requiring accreditation at a job site without being in physical possession of initial and current accreditation certificates; (b) Permitting the duplication or use of one's own accreditation certificate by another; (c) Performing work for which accreditation has not been received; or (d) Obtaining accreditation from a training provider that does not have approval to offer training for the particular discipline from either EPA or from a State that has a contractor accreditation plan at least as stringent as the EPA MAP. EPA may directly pursue deaccreditation actions without reliance on State deaccreditation or enforcement authority or actions. In addition to the above-listed situations, the Administrator may suspend or revoke the accreditation of persons who have been subject to a final order imposing a civil penalty or convicted under section 16 of TSCA, 15 U.S.C. 2615 or 2647, for violations of 40 CFR part 763, or section 113 of the Clean Air Act, 42 U.S.C. 7413, for violations of 40 CFR part 61, subpart M. 2. Any person who performs asbestos work requiring accreditation under section 206(a) of TSCA, 15 U.S.C. 2646(a), without such accreditation is in violation of TSCA. The following persons are not accredited for purposes of section 206(a) of TSCA: (a) Any person who obtains accreditation through fraudulent representation of training or examination documents; (b) Any person who obtains training documentation through fraudulent means; (c) Any person who gains admission to and completes refresher training through fraudulent representation of initial or previous refresher training documentation; or (d) Any person who obtains accreditation through fraudulent representation of accreditation requirements such as education, training, professional registration, or experience. H. Reciprocity EPA recommends that each State establish reciprocal arrangements with other States that have established accreditation programs that meet or exceed the requirements of the MAP. Such arrangements might address cooperation in licensing determinations, the review and approval of training programs and/or instructors, candidate testing and exam administration, curriculum development, policy formulation, compliance monitoring, and the exchange of information and data. The benefits to be derived from these arrangements include a potential cost-savings from the reduction of duplicative activity and the attainment of a more professional accredited workforce as States are able to refine and improve the effectiveness of their programs based upon the experience and methods of other States. II. EPA Approval Process for State Accreditation Programs A. States may seek approval for a single discipline or all disciplines as specified in the MAP. For example, a State that currently only requires worker accreditation may receive EPA approval for that discipline alone. EPA encourages States that currently do not have accreditation requirements for all disciplines required under section 206(b)(2) of TSCA, 15 U.S.C. 2646(b)(2), to seek EPA approval for those disciplines the State does accredit. As States establish accreditation requirements for the remaining disciplines, the requested information outlined below should be submitted to EPA as soon as possible. Any State that had an accreditation program approved by EPA under an earlier version of the MAP may follow the same procedures to obtain EPA approval of their accreditation program under this MAP. B. Partial approval of a State Program for the accreditation of one or more disciplines does not mean that the State is in full compliance with TSCA where the deadline for that State to have adopted a State Plan no less stringent than the MAP has already passed. State Programs which are at least as stringent as the MAP for one or more of the accredited disciplines may, however, accredit persons in those disciplines only. C. States seeking EPA approval or reapproval of accreditation programs shall submit the following information to the Regional Asbestos Coordinator at their EPA Regional office: 1. A copy of the legislation establishing or upgrading the State's accreditation program (if applicable). 2. A copy of the State's accreditation regulations or revised regulations. 3. A letter to the Regional Asbestos Coordinator that clearly indicates how the State meets the program requirements of this MAP. Addresses for each of the Regional Asbestos Coordinators are shown below: EPA, Region I, (ATC-111) Asbestos Coordinator, JFK Federal Bldg., Boston, MA 02203-2211, (617) 565-3836. EPA, Region II, (MS-500), Asbestos Coordinator, 2890 Woodbridge Ave., Edison, NJ 08837-3679, (908) 321-6671. EPA, Region III, (3AT-33), Asbestos Coordinator, 841 Chestnut Bldg., Philadelphia, PA 19107, (215) 597-3160. EPA, Region IV, Asbestos Coordinator, 345 Courtland St., N.E., Atlanta, GA 30365, (404) 347-5014. EPA, Region V, (SP-14J), Asbestos Coordinator, 77 W. Jackson Blvd., Chicago, IL 60604-3590, (312) 886-6003. EPA, Region VI, (6T-PT), Asbestos Coordinator, 1445 Ross Ave., Dallas, TX 75202-2744, (214) 655-7244. EPA, Region VII, (ARTX/ASBS), Asbestos Coordinator, 726 Minnesota Ave., Kansas City, KS 66101, (913) 551-7020. EPA, Region VIII, (8AT-TS), Asbestos Coordinator, 1 Denver Place, Suite 500, 999 - 18th St., Denver, CO 80202-2405, (303) 293-1442. EPA, Region IX, (A-4-4), Asbestos Coordinator, 75 Hawthorne St., San Francisco, CA 94105, (415) 744-1128. EPA, Region X, (AT-083), Asbestos Coordinator, 1200 Sixth Ave., Seattle, WA 98101, (206) 553-4762. EPA maintains a listing of all those States that have applied for and received EPA approval for having accreditation requirements that are at least as stringent as the MAP for one or more disciplines. Any training courses approved by an EPA-approved State Program are considered to be EPA-approved for purposes of accreditation. III. Approval of Training Courses Individuals or groups wishing to sponsor training courses for disciplines required to be accredited under section 206(b)(1)(A) of TSCA, 15 U.S.C. 2646(b)(1)(A), may apply for approval from States that have accreditation program requirements that are at least as stringent as this MAP. For a course to receive approval, it must meet the requirements for the course as outlined in this MAP, and any other requirements imposed by the State from which approval is being sought. Courses that have been approved by a State with an accreditation program at least as stringent as this MAP are approved under section 206(a) of TSCA, 15 U.S.C. 2646(a), for that particular State, and also for any other State that does not have an accreditation program as stringent as this MAP. A. Initial Training Course Approval A training provider must submit the following minimum information to a State as part of its application for the approval of each training course: 1. The course provider's name, address, and telephone number. 2. A list of any other States that currently approve the training course. 3. The course curriculum. 4. A letter from the provider of the training course that clearly indicates how the course meets the MAP requirements for: a. Length of training in days. b. Amount and type of hands-on training. c. Examination (length, format, and passing score). d. Topics covered in the course. 5. A copy of all course materials (student manuals, instructor notebooks, handouts, etc.). 6. A detailed statement about the development of the examination used in the course. 7. Names and qualifications of all course instructors. Instructors must have academic and/or field experience in asbestos abatement. 8. A description of and an example of the numbered certificates issued to students who attend the course and pass the examination. B. Refresher Training Course Approval The following minimum information is required for approval of refresher training courses by States: 1. The length of training in half-days or days. 2. The topics covered in the course. 3. A copy of all course materials (student manuals, instructor notebooks, handouts, etc.). 4. The names and qualifications of all course instructors. Instructors must have academic and/or field experience in asbestos abatement. 5. A description of and an example of the numbered certificates issued to students who complete the refresher course and pass the examination, if required. C. Withdrawal of Training Course Approval States must establish criteria and procedures for suspending or withdrawing approval from accredited training programs. States should follow their own administrative procedures in pursuing actions for suspension or withdrawal of approval of training programs. At a minimum, the criteria shall include: (1) Misrepresentation of the extent of a training course's approval by a State or EPA; (2) Failure to submit required information or notifications in a timely manner; (3) Failure to maintain requisite records; (4) Falsification of accreditation records, instructor qualifications, or other accreditation information; or (5) Failure to adhere to the training standards and requirements of the EPA MAP or State Accreditation Program, as appropriate. In addition to the criteria listed above, EPA may also suspend or withdraw a training course's approval where an approved training course instructor, or other person with supervisory authority over the delivery of training has been found in violation of other asbestos regulations administered by EPA. An administrative or judicial finding of violation, or execution of a consent agreement and order under 40 CFR 22.18, constitutes evidence of a failure to comply with relevant statutes or regulations. States may wish to adopt this criterion modified to include their own asbestos statutes or regulations. EPA may also suspend or withdraw approval of training programs where a training provider has submitted false information as a part of the self-certification required under Unit V.B. of the revised MAP. Training course providers shall permit representatives of EPA or the State which approved their training courses to attend, evaluate, and monitor any training course without charge. EPA or State compliance inspection staff are not required to give advance notice of their inspections. EPA may suspend or withdraw State or EPA approval of a training course based upon the criteria specified in this Unit III.C. IV. EPA Procedures for Suspension or Revocation of Accreditation or Training Course Approval A. If the Administrator decides to suspend or revoke the accreditation of any person or suspend or withdraw the approval of a training course, the Administrator will notify the affected entity of the following: 1. The grounds upon which the suspension, revocation, or withdrawal is based. 2. The time period during which the suspension, revocation, or withdrawal is effective, whether permanent or otherwise. 3. The conditions, if any, under which the affected entity may receive accreditation or approval in the future. 4. Any additional conditions which the Administrator may impose. 5. The opportunity to request a hearing prior to final Agency action to suspend or revoke accreditation or suspend or withdraw approval. B. If a hearing is requested by the accredited person or training course provider pursuant to the preceding paragraph, the Administrator will: 1. Notify the affected entity of those assertions of law and fact upon which the action to suspend, revoke, or withdraw is based. 2. Provide the affected entity an opportunity to offer written statements of facts, explanations, comments, and arguments relevant to the proposed action. 3. Provide the affected entity such other procedural opportunities as the Administrator may deem appropriate to ensure a fair and impartial hearing. 4. Appoint an EPA attorney as Presiding Officer to conduct the hearing. No person shall serve as Presiding Officer if he or she has had any prior connection with the specific case. C. The Presiding Officer appointed pursuant to the preceding paragraph shall: 1. Conduct a fair, orderly, and impartial hearing, without unnecessary delay. 2. Consider all relevant evidence, explanation, comment, and argument submitted pursuant to the preceding paragraph. 3. Promptly notify the affected entity of his or her decision and order. Such an order is a final Agency action. D. If the Administrator determines that the public health, interest, or welfare warrants immediate action to suspend the accreditation of any person or the approval of any training course provider, the Administrator will: 1. Notify the affected entity of the grounds upon which the emergency suspension is based; 2. Notify the affected entity of the time period during which the emergency suspension is effective. 3. Notify the affected entity of the Administrator's intent to suspend or revoke accreditation or suspend or withdraw training course approval, as appropriate, in accordance with Unit IV.A. above. If such suspension, revocation, or withdrawal notice has not previously been issued, it will be issued at the same time the emergency suspension notice is issued. E. Any notice, decision, or order issued by the Administrator under this section, and any documents filed by an accredited person or approved training course provider in a hearing under this section, shall be available to the public except as otherwise provided by section 14 of TSCA or by 40 CFR part 2. Any such hearing at which oral testimony is presented shall be open to the public, except that the Presiding Officer may exclude the public to the extent necessary to allow presentation of information which may be entitled to confidential treatment under section 14 of TSCA or 40 CFR part 2. V. Implementation Schedule The various requirements of this MAP become effective in accordance with the following schedules: A. Requirements applicable to State Programs 1. Each State shall adopt an accreditation plan that is at least as stringent as this MAP within 180 days after the commencement of the first regular session of the legislature of the State that is convened on or after April 4, 1994. 2. If a State has adopted an accreditation plan at least as stringent as this MAP as of April 4, 1994, the State may continue to: a. Conduct TSCA training pursuant to this MAP. b. Approve training course providers to conduct training and to issue accreditation that satisfies the requirements for TSCA accreditation under this MAP. c. Issue accreditation that satisfies the requirements for TSCA accreditation under this MAP. 3. A State that had complied with an earlier version of the MAP, but has not adopted an accreditation plan at least as stringent as this MAP by April 4, 1994, may: a. Conduct TSCA training which remains in compliance with the requirements of Unit V.B. of this MAP. After such training has been self-certified in accordance with Unit V.B. of this MAP, the State may issue accreditation that satisfies the requirement for TSCA accreditation under this MAP. b. Sustain its approval for any training course providers to conduct training and issue TSCA accreditation that the State had approved before April 4, 1994, and that remain in compliance with Unit V.B. of this MAP. c. Issue accreditation pursuant to an earlier version of the MAP that provisionally satisfies the requirement for TSCA accreditation until October 4, 1994. Such a State may not approve new TSCA training course providers to conduct training or to issue TSCA accreditation that satisfies the requirements of this MAP until the State adopts an accreditation plan that is at least as stringent as this MAP. 4. A State that had complied with an earlier version of the MAP, but fails to adopt a plan as stringent as this MAP by the deadline established in Unit V.A.1., is subject to the following after that deadline date: a. The State loses any status it may have held as an EPA-approved State for accreditation purposes under section 206 of TSCA, 15 U.S.C. 2646. b. All training course providers approved by the State lose State approval to conduct training and issue accreditation that satisfies the requirements for TSCA accreditation under this MAP. c. The State may not: i. Conduct training for accreditation purposes under section 206 of TSCA, 15 U.S.C. 2646. ii. Approve training course providers to conduct training or issue accreditation that satisfies the requirements for TSCA accreditation; or iii. Issue accreditation that satisfies the requirement for TSCA accreditation. EPA will extend EPA-approval to any training course provider that loses State approval because the State does not comply with the deadline, so long as the provider is in compliance with Unit V.B. of this MAP, and the provider is approved by a State that had complied with an earlier version of the MAP as of the day before the State loses its EPA approval. 5. A State that does not have an accreditation program that satisfies the requirements for TSCA accreditation under either an earlier version of the MAP or this MAP, may not: a. Conduct training for accreditation purposes under section 206 of TSCA, 15 U.S.C. 2646; b. Approve training course providers to conduct training or issue accreditation that satisfies the requirements for TSCA accreditation; or c. Issue accreditation that satisfies the requirement for TSCA accreditation. B. Requirements applicable to Training Courses and Providers As of October 4, 1994, an approved training provider must certify to EPA and to any State that has approved the provider for TSCA accreditation, that each of the provider's training courses complies with the requirements of this MAP. The written submission must document in specific detail the changes made to each training course in order to comply with the requirements of this MAP and clearly state that the provider is also in compliance with all other requirements of this MAP, including the new recordkeeping and certificate provisions. Each submission must include the following statement signed by an authorized representative of the training provider: "Under civil and criminal penalties of law for the making or submission of false or fraudulent statements or representations (18 U.S.C. 1001 and 15 U.S.C. 2615), I certify that the training described in this submission complies with all applicable requirements of Title II of TSCA, 40 CFR part 763, Appendix C to Subpart E, as revised, and any other applicable Federal, state or local requirements." A consolidated self-certification submission from each training provider that addresses all of its approved training courses is permissible and encouraged. The self-certification must be sent via registered mail, to EPA Headquarters at the following address: Attn. Self-Certification Program, Field Programs Branch, Chemical Management Division (7404), Office of Pollution Prevention and Toxics, Environmental Protection Agency, 401 M St., SW., Washington, DC 20460. A duplicate copy of the complete submission must also be sent to any States from which approval had been obtained. The timely receipt of a complete self-certification by EPA and all approving States shall have the effect of extending approval under this MAP to the training courses offered by the submitting provider. If a self-certification is not received by the approving government bodies on or before the due date, the affected training course is not approved under this MAP. Such training providers must then reapply for approval of these training courses pursuant to the procedures outlined in Unit III. C. Requirements applicable to Accredited Persons. Persons accredited by a State with an accreditation program no less stringent than an earlier version of the MAP or by an EPA-approved training provider as of April 3, 1994, are accredited in accordance with the requirements of this MAP, and are not required to retake initial training. They must continue to comply with the requirements for annual refresher training in Unit I.D. of the revised MAP. D. Requirements applicable to Non-Accredited Persons. In order to perform work requiring accreditation under TSCA Title II, persons who are not accredited by a State with an accreditation program no less stringent than an earlier version of the MAP or by an EPA-approved training provider as of April 3, 1994, must comply with the upgraded training requirements of this MAP by no later than October 4, 1994. Non-accredited persons may obtain initial accreditation on a provisional basis by successfully completing any of the training programs approved under an earlier version of the MAP, and thereby perform work during the first 6 months after this MAP takes effect. However, by October 4, 1994, these persons must have successfully completed an upgraded training program that fully complies with the requirements of this MAP in order to continue to perform work requiring accreditation under section 206 of TSCA, 15 U.S.C. 2646. [52 FR 15876, Apr. 30, 1987; 59 FR 5236, Feb. 3, 1994; 60 FR 31917, June 19, 1995] s 341.17. Approval of Asbestos Cement Pipe Training and Asbestos Cement Pipe Course Providers for the Purpose of Employer Exemption from Registration Requirements. (a) Scope and Application. Any course provider (individual or business entity) desiring to provide asbestos cement pipe training for the purpose of employer exemption from requirements for "asbestos-related work" as provided by Section 1529(r) and Labor Code Section 6501.8(c) shall apply for and obtain approval pursuant to this section. (b) Criteria for Asbestos Cement Pipe Course Approval. (1) Initial course. The course shall consist of a minimum of four (4) hours training for workers and for supervisors, and shall include, but is not limited to the following topics: (A) The physical characteristics and health hazards of asbestos. (B) The types of asbestos cement pipe an employee may encounter in his or her specific work assignments. (C) Safe practices and procedures for minimizing asbestos exposures from operations involving asbestos cement pipe. (D) A review of general industry and construction safety orders relating to asbestos exposure. (E) Hands-on instruction using pipe and the tools and equipment employees will use in the work place. (2) Refresher course. Annual re-training must be provided in accordance with Section 1529(k)(9)(B). The annual refresher shall include at least two hours of review of the important elements covered in the initial course, any changes in federal and state asbestos regulations, and the latest developments in state of the art practices for work involving asbestos cement pipe. (c) Applying for Course Approval. Any individual or entity that desires to provide Division approved asbestos cement pipe training may apply to the Division at this address: Division of Occupational Safety and Health AC Pipe training approval P.O. Box 420603 San Francisco, CA 94142 The following information shall be provided: (1) The name and address of the individual or entity providing the training, the name and title of the person submitting the application with his or her signature and a statement certifying that the information and material submitted will be used in the course for which approval is being sought, and the name, title, and telephone number of the person whom the Division should contact regarding course approval matters. (2) A written description of the training topics and hands-on practices that will be taught, and a copy of any training documents and visual training aids that will be used. (d) Application Fee. (1) The application fee is $200 for the initial course and $100 for the annual refresher course. (2) Remittance for the application fee shall be made payable to Asbestos Training Approval Account. (3) The fee is not refundable. (e) Process of Application. (1) Within 25 business days of receipt of an application, the Division shall notify the applicant in writing that the application is approved and issue a Division Course Approval Number, or that the application is deficient. The notice shall specify what additional information or documentation is necessary when the application is found to be deficient. (2) Within 15 business days of receipt of the requested additional information or documentation, the Division shall notify the applicant in writing that the application is approved and issue a Division Approval Number, or that the application is still deficient and denied. (3) An applicant whose application is denied may submit a new application with another application fee. (f) Training Records. (1) To maintain the course approval, the course provider shall maintain records which give the names of the trainees, the dates that the training was provided, the name(s) of the instructor(s) giving the training, and the Division issued Course Approval Number. This applies whether or not the course provider is also the employer. (2) The course provider shall provide a copy of the training records to the Division when requested. (3) Training records shall be maintained for a minimum of three years. (g) Revocation of Course Approval. (1) The Division may at any time, upon showing of good cause and after notice and an opportunity to be heard, revoke any course approval issued pursuant to this section. (2) Notice shall be in writing and served upon the course provider at least 24 hours in advance of the hearing. Service shall be by personal service or certified mail to the course provider address as shown on the course approval application. The notice shall specify the reasons for the action taken by the Division in order that the course provider may prepare for the hearing. (3) The hearing shall be held as soon as possible at the Division's headquarters office or at such other location as may be designated by the Division and shall be presided over by the Chief of the Division or authorized designee. (4) At the hearing the Division shall establish good cause for the action taken by it. Good cause is deemed to exist if the Division establishes that the course provider did not provide the required training. (5) The course provider receiving a revocation from the Division may appeal such revocation to the Director. The Director shall hold a hearing at such place designated by the Director or authorized designee for the convenience of the attending parties within two working days of the course provider's appeal. The course provider shall have the burden of establishing that the revocation is not justified. The hearing shall be presided over by the Director or authorized designee. (6) Following the hearing, the Director shall issue a decision. The Director's decision shall be final except for any rehearing or judicial review provided for by law. All requests for hearing shall be filed with the Director within 10 days from the date of the Director's decision. Note: Authority cited: Sections 60.5, 6308 and 9021.9, Labor Code. Reference: Sections 6501(c) and 9021.9, Labor Code; and Section 1529, Title 8, California Code of Regulations. s 342. Reporting Work-Connected Fatalities and Serious Injuries. (a) Every employer shall report immediately by telephone or telegraph to the nearest District Office of the Division of Occupational Safety and Health any serious injury or illness, or death, of an employee occurring in a place of employment or in connection with any employment. Immediately means as soon as practically possible but not longer than 8 hours after the employer knows or with diligent inquiry would have known of the death or serious injury or illness. If the employer can demonstrate that exigent circumstances exist, the time frame for the report may be made no longer than 24 hours after the incident. Serious injury or illness is defined in section 330(h), Title 8, California Administrative Code. (b) Whenever a state, county, or local fire or police agency is called to an accident involving an employee covered by this part in which a serious injury, or illness, or death occurs, the nearest office of the Division of Occupational Safety and Health shall be notified by telephone immediately by the responding agency. (c) When making such report, whether by telephone or telegraph, the reporting party shall include the following information, if available: (1) Time and date of accident. (2) Employer's name, address and telephone number. (3) Name and job title, or badge number of person reporting the accident. (4) Address of site of accident or event. (5) Name of person to contact at site of accident. (6) Name and address of injured employee(s). (7) Nature of injury. (8) Location where injured employee(s) was (were) moved to. (9) List and identity of other law enforcement agencies present at the site of accident. (10) Description of accident and whether the accident scene or instrumentality has been altered. (d) The reporting in (a) and (b) above, is in addition to any other reports required by law and may be made by any person authorized by the employers, state, county, or local agencies to make such reports. Note: Authority cited: Sections 60.5, 6308 and 6409.1, Labor Code. Reference: Sections 6302(h), 6307, 6308, 6313 and 6409, Labor Code. s 343. Aerial Passenger Tramway Inspection Fee Schedule. (a) Inspection Fees. Pursuant to Section 7350 of the Labor Code the Division hereby fixes inspection fees as follows: (1) A fee of $125.00 per hour or fraction thereof shall be charged for new inspections, major alterations, operational inspections, and consultations performed by a Division engineer. (2) Fees shall be charged for actual inspection time. Actual inspection time begins from the time the Division engineer arrives, by appointment, in the area and continues until the engineer has completed the Division's report and is ready to leave the area. (3) Permit of an existing installation shall be: Rope Toe...................... $ 125.00 per unit Surface Lift.................. $ 250.00 per unit Fixed Grip Lift -up to 1000 feet............ $ 250.00 per unit -up to 4000 feet............ $ 375.00 per unit -over 4000 feet............. $ 625.00 per unit Detachable Grip Lift Chair -up to 1000 feet...... $ 750.00 per unit Chair -up to 4000 feet...... $1,000.00 per unit Chair -over 4000 feet....... $1,250.00 per unit Gondola -up to 2000 feet.... $ 750.00 per unit Gondola -over 2000 feet..... $1,250.00 per unit Aerial Tramway................ $1,500.00 per unit (b) No charge shall be made in any one permit year for more than two inspections except where safety orders have not been complied with and subsequent inspections are necessary. Then, an additional fee not to exceed $125.00 per hour or fraction thereof may, at the discretion of the Division, be charged. (c) The Division will charge no fee for an inspection performed by a certified insurance inspector except a charge of $10.00 to cover the cost of processing the permit to operate. (d) Aerial passenger tramways shall be inspected at least two times each year. (e) At least one of the inspections required by subdivision (d) shall take place between November 15 of each year and March 15 of the succeeding year. Note: Authority cited: Sections 60.5, 6308 and 7350, Labor Code. Reference: Sections 7344 and 7350, Labor Code. s 344. Shop and Resale Inspection Fees, Consultation and Audit Fees, Boilers and Tanks. (a) A fee of $110.00 per hour, or part thereof, including travel time as set forth in part (1) of this subsection, based on quarter hour intervals, with a minimum of one-half hour, shall be charged for all shop, field erection and resale inspections of all tanks, boilers, parts of tanks and boilers, nuclear components and for consultation, surveys, audits, manual review and other activities required or related to the ASME code or other national standards concerning the design or construction of boilers or pressure vessels or for evaluating fabricator's plant facilities when these services are requested of the division by entities desiring these services. (1) Travel time shall include the travel time from the Division's local office or the site of previous inspection, whichever is less, to the inspection site and travel time from the inspection site to the Division's local office or the site of a following inspection, whichever is less. The Division shall not charge more than one employer for the same period of travel time. (b) Whenever a person using qualified engineers of the division to perform services stated in Section 344(a) fails to pay the fees required under this section within 60 days after notification, said person shall pay, in addition to the fees required under this section, a penalty fee equal to 100 percent of the fee. For the purpose of this section, the date of the invoice shall be considered the date of notification. (c) Expenses. (1) When the mileage from the division's office of the authorized inspector or authorized inspector-supervisor is in excess of 50 miles roundtrip to the inspection site a charge of 31 cents per mile will be added to the hourly rate charges. (2) When overnight expenses are incurred by the authorized inspector or the authorized inspector-supervisor, the actual cost of meals and lodging, up to a maximum per day of $150.00 when lodging is obtained in the counties of Alameda, San Francisco, San Mateo and Santa Clara, and Central and Western Los Angeles, and up to a maximum per day of $124.00 when lodging is obtained in any other location in the state, will be added to the hourly rate charges. (3) The division shall not charge more than one employer for the same amount of expenses incurred the same day except as follows: When more than one employer incurs these expenses the division may, at its discretion, equitably allocate the expenses among the parties inspected. Note: Authority cited: Sections 60.5, 6308, 7721 and 7722, Labor Code. Reference: Sections 7721 and 7728, Labor Code. s 344.1. Air Tank, Liquefied Petroleum Gas (L.P.G.), and Boiler Inspection Fees. (a) A fee of $135.00 per hour or any part thereof, including travel time as set forth in part (1) of this subsection, based on quarter hour intervals with a minimum of one-half hour, shall be charged for field permit inspection of air tanks, L.P.G. tanks, and boilers by qualified safety engineers employed by the division. Such fees may also, in the division's discretion, be charged for subsequent consultation or inspections to determine if applicable safety orders have been complied with. No additional fees shall be assessed for follow-up inspections when Safety Order requirements have been complied with, and the division notified, within 15 days of the compliance date shown on the Preliminary Order. (1) Travel time shall include the travel time from the Division's local office or the site of previous inspection, whichever is less, to the inspection site and travel time from the inspection site to the Division's local office or the site of a following inspection, whichever is less. The Division shall not charge more than one employer for the same period of travel time. (b) Whenever a person owning or having the custody, management or operation of an air tank, L.P.G. tank, or boiler fails to pay the fees required under this section within 60 days after notification, said person shall pay, in addition to the fees required under this section, a penalty fee equal to 100 percent of the fee. For the purpose of this section, the date of the invoice shall be considered the date of notification. Note: Authority cited: Sections 60.5, 6308 and 7721, Labor Code. Reference: Sections 7721 and 7728, Labor Code. s 344.2. Boiler, Tank and Resale Inspection Reports and Permits to Operate. (a) Permits to operate and Resale Permits shall be issued by the Division, a qualified city or county, or an insurance company, or a corporation or company that inspects only boilers and tanks to be used by such company and not for resale. A qualified city or county or insurance company or a corporation or company that inspects only boilers and tanks to be used by such company and not for resale, is one that employs certified inspectors, as provided for in Section 779 of the Boiler and Fired Pressure Vessel Safety Orders. (b) The Division shall issue a permit to operate upon receipt of the inspection reports required by Labor Code section 7654 and a fee of $15.00 to cover the costs of processing the Permit to Operate. If a Permit to Operate is issued on the Division's behalf by a certified inspector employed by an insurance company or by an employer who inspects boilers and tanks for the employer's own use and not for resale, the Division shall assess a fee of $15.00 to cover the cost of processing the Permit to Operate. (c) Whenever a person owning or having the custody, management or operation of an air tank, L.P.G. tank, or boiler fails to pay the fees required under this section within 60 days after notification, said person shall pay, in addition to the fees required under this section, a penalty fee equal to 100 percent of the fee. For the purpose of this section, the date of the invoice shall be considered the date of notification. Note: Authority cited: Sections 6308 and 7721, Labor Code. Reference: Sections 7721, 7650, 7654 and 7680, Labor Code. s 344.3. Boiler Shop Inspection Fees. Note: Authority cited: Sections 6308 and 7721, Labor Code. Reference: Section 7721, Labor Code. s 344.4. Boiler Permit and Inspection Fees. Note: Authority cited: Sections 6308 and 7721, Labor Code. Reference: Section 7721, Labor Code. s 344.5. Application. (a) This Article governs permanent amusement rides operated anywhere in the State of California. (b) This Article does not apply to any of the following: (1) Any playground operated by a school or local government if the playground is an incidental amenity and the operating entity is not primarily engaged in providing amusement, pleasure, thrills or excitement; (2) Museums or other institutions principally devoted to the exhibition of products of agriculture, industry, education, science, religion or the arts; (3) Skating rinks, arcades, laser or paint ball war games, indoor interactive arcade games, bowling alleys, miniature golf courses, mechanical bulls, inflatable rides, trampolines, ball crawls, exercise equipment, jet skis, paddle boats, air boats, helicopters, airplanes, parasails, hot air balloons (tethered or untethered,) theaters, amphitheaters, batting cages, stationary spring-mounted fixtures, rider-propelled merry-go-rounds, games, slide shows, live-animal rides, or live-animal shows; or (4) Permanent amusement rides operated at a private event that is not open to the general public and not subject to a separate admission fee. (5) Amusement rides that are not permanent amusement rides. Note: Authority cited: Sections 60.5, 7923 and 7928, Labor Code. Reference: Sections 7920-7932, Labor Code. s 344.6. Definitions. For purposes of this Article, the following terms are defined as set forth herein: (a) An "as-built document" is a document signed by a licensed engineer responsible for the construction of the permanent amusement ride stating that the ride has been constructed according to its final plans. (b) A "California-licensed engineer" is a professional engineer with a certificate of registration issued by the California Board of Professional Engineers and Land Surveyors. (c) A "licensed engineer" is a California-licensed engineer or a professional engineer with equivalent licensing by another state. (d) A "major modification" is any change in the structure or operation of a permanent amusement ride that materially alters either the performance of the ride or any safety-related system of the ride. For the purposes of this definition, the disassembly and relocation of a ride is considered to be a major modification of the ride. (e) A "new permanent amusement ride" is a permanent amusement ride that is placed in operation and opened to the public for the first time on or after November 5, 2001. (f) An "operational inspection" is an inspection that consists of inspecting the operation of the permanent amusement ride, including its safety-related systems and procedures, and reviewing any other specific information that is substantially related to the safe operation of the ride. (g) An "owner" or "operator" is a person or entity who owns or controls or has the duty to control the operation of a permanent amusement ride. The terms include the State and every political subdivision of the State, including every state agency, and each county, city, district, and all the public and quasi-public corporations and public agencies therein. (h) A "permanent amusement ride" is a mechanical device, aquatic device, or combination of devices of a permanent nature that carries or conveys passengers along, around, or over a fixed or restricted course for the purpose of giving its passengers amusement, pleasure, thrills, or excitement. "Permanent amusement ride" includes bungee-jumping services, but does not include dry slides, playground equipment, coin-operated devices, conveyances that operate directly on the ground or on pavement or a surface directly on the ground, or aerial passenger tramways as defined by Labor Code section 7340(a). For the purposes of this definition, the phrase "of a permanent nature" means remaining at a single location for longer than 180 days. (i) A "qualified safety inspector," or "QSI," is an individual certified by the Division pursuant to section 344.10. A QSI may be a safety inspector employed by the owner or operator of a permanent amusement ride, an employee or agent of the insurance underwriter or insurance broker of a permanent amusement ride, an employee or agent of the manufacturer of a permanent amusement ride, an employee of the Division of Occupational Safety and Health, or an independent consultant or contractor. (j) "Safety-Related Systems and Procedures" are systems and procedures that materially affect safety or are designed or intended to increase the safety of a permanent amusement ride, including, but not limited to: (1) Ride-control devices, including safety devices; (2) Speed-limiting devices; (3) Brakes; (4) Passenger-carrying devices, including restraint systems; (5) Mechanical systems that materially affect the safe operation of the ride; (6) Ride electrical or electronic systems, including process-control equipment that are designed or intended to ensure safe operation of the ride; (7) Daily pre-operational safety-related tests; (8) Owner or operator safety-related maintenance, inspection and operational activities; (9) Emergency procedures related to the operation of the ride, including, but not limited to, cessation of operation, evacuation procedures, ingress and egress controls, location of communication devices, and summoning of medical or emergency assistance; and (10) Signage. (k) A "structural inspection" is an inspection of a permanent amusement ride, which includes examination of the following structural attributes: (1) Structural supports and foundations including wind and seismic integrity; (2) Structural bracing; and (3) Ride track elements, if any. Note: Authority cited: Sections 60.5, 7923 and 7928, Labor Code. Reference: Sections 7920-7932, Labor Code. s 344.7. Certificate of Compliance. (a) On or before November 5, 2002, the owner or operator of a permanent amusement ride who does not elect to have a Division QSI perform the annual inspection required by section 344.8(c) shall submit to the Division a Certificate of Compliance together with the fee required by section 344.16(c). A new Certificate of Compliance shall be submitted annually and shall become due on each anniversary date of the first submission, unless the owner or operator elects in compliance with section 344.8(c)(2) to have a Division QSI conduct the annual inspection. (b) The Certificate of Compliance shall include each of the following items: (1) The legal name and address of the owner and his, her or its representative, if any, and the primary place of business of the owner; (2) The legal name and address of the operator, if different from those of the owner; (3) The name and a description of the permanent amusement ride, the address at which it is located, the name(s) of the manufacturer(s) of the ride, and if provided by the manufacturer(s), the serial number and model number of the permanent amusement ride; and (4) A written declaration stating that, within the preceding 12-month period, the permanent amusement ride was inspected by a QSI, together with all of the individuals necessary to competently review the ride's safety-related systems and structural attributes, and that the permanent amusement ride is in conformance with the requirements of Subchapter 6.2 of Chapter 4 of Division 1 (starting at section 3195.1) of this Title. The written declaration shall be executed by a QSI under penalty of perjury. Note : The requirement that the written declaration state that the permanent amusement ride is in conformance with the requirements of Subchapter 6.2 of Chapter 4 of Division 1 (starting at section 3195.1) of this Title shall not take effect until November 5, 2002, or 180 days after the date that Subchapter 6.2 has been adopted and takes effect, whichever is later. (c) The owner or operator of multiple permanent amusement rides at one address may submit a single Certificate of Compliance that provides the information required in section 344.7(b) for all of the permanent amusement rides located at that address. (d) Upon receipt of the Certificate of Compliance, the Division shall notify the owner or operator in writing within five (5) business days, that the Certificate of Compliance has been received and whether it meets the requirements of this Article. If a Certificate of Compliance is determined to be deficient, the Division's written notification shall enumerate the deficiencies and the information required to correct such deficiencies. (e) All current written notifications issued by the Division pursuant to subsection (d) shall be available for public inspection during normal business hours at a readily accessible location at the site where the permanent amusement ride is located. Such documents may either be posted at the entrance to each permanent amusement ride, or at the election of the owner or operator, located at a readily accessible central location. If the owner or operator chooses not to maintain the documents at the entrance to a ride, a sign shall be posted at the entrance to the ride notifying the public of the location where the documents can be viewed. (f) No person shall operate a permanent amusement ride unless the permanent amusement ride complies with all applicable requirements of this Article and Subchapter 6.2 of Chapter 4 of Division 1 (starting at section 3195.1) of this Title. Note: The requirement that the amusement ride comply with all applicable requirements of Subchapter 2 shall not take effect unless and until Subchapter 2 is adopted and takes effect. (g) Starting on November 5, 2002, an owner or operator who has not elected in compliance with sections 344.8(c)(1) and (c)(2) to have the Division conduct the annual inspection required by section 344.8(c) shall not operate an amusement ride with passengers unless a valid Certificate of Compliance applicable to the ride has been submitted to, and accepted by, the Division as required by section 344.7. Exception No 1: If the Division fails to notify the owner or operator within 5 business days of receipt of a Certificate of Compliance that the Certificate has been received and whether it meets the requirements of this Article as required by subsection (d), the owner or operator may continue to operate the ride, unless and until the Division notifies the owner or operator that the Certificate is deficient. Exception No . 2: If a tardy request for a Division-conducted annual inspection is made, and the Division can accommodate the request, the ride may be operated after the inspection has been initiated and the Division informs the owner or operator that the ride may be operated. Note: Authority cited: Sections 60.5, 7923 and 7928, Labor Code. Reference: Sections 7920-7932, Labor Code. s 344.8. Inspections. (a) Initial Division Inspection of New Permanent Amusement Rides. A Division QSI shall conduct an operational inspection of each new permanent amusement ride before the ride is placed in operation and opened to the public to evaluate the safety of the ride. (1) The owner or operator of the ride shall notify the Division, in writing, at least 30 days prior to opening the ride to the public. (2) The notification shall state the location of the ride, the date the owner or operator intends to commence public operation, and the earliest date the ride will be ready for inspection by the Division. (3) If the Division receives notification in compliance with section 344.8(a)(1), the Division shall initiate the inspection before the date indicated by the operator for commencement of public operation of the ride, and shall make a reasonable effort to complete the inspection prior to that date. If the Division is unable to complete the inspection within 30 days of receiving notification by the owner or operator, and the lack of completion of the inspection is not attributable to the action or inaction of the owner or operator, the ride may by opened to the public until the inspection is completed, unless there is a substantial reason to question the safety of the ride. (4) The ride owner or operator shall ensure that a representative is present to operate the ride and perform the tests requested by the Division QSI as necessary to complete the operational inspection. (5) In conjunction with the inspection, the owner or operator of the ride shall make available to the Division each of the following: (A) A written certification from a licensed engineer that the ride meets the all applicable design requirements set forth in Subchapter 6.2 of Chapter 4 of Division 1 (starting at section 3195.1) of this Title. Note : This requirement shall not take effect unless and until Subchapter 6.2 has been adopted and takes effect. (B) An as-built document. (C) A copy of the certificate of occupancy issued by the local building authority, if the local building authority has such a requirement. (b) Division Inspection of Major Modifications. After any major modification has been made to a permanent amusement ride, a Division QSI shall conduct an operational inspection of the ride before the ride is reopened to the public. (1) The owner or operator of the ride shall provide the Division with at least 30 days advance written notice of the anticipated date of reopening the ride to the public following the major modification. (2) The advance written notice shall state the date the owner or operator intends to resume public operation, and the earliest date the ride will be ready for Division inspection. (3) If the Division receives notification in compliance with section 344.8(b)(1), the Division shall initiate the inspection before the date indicated by the operator for reopening of the ride to the public, and shall make a reasonable effort to complete the inspection prior to that date. If the Division is unable to complete the inspection within 30 days of receiving notification by the owner or operator, and the lack of completion of the inspection is not attributable to the action or inaction of the owner or operator, the ride may by opened to the public until the inspection is completed, unless there is a substantial reason to question the safety of the ride. (4) In conjunction with the Division's major modification inspection, the owner or operator of a permanent amusement ride shall make available to the Division each of the following: (A) A written certification from a licensed engineer that the ride as modified meets all applicable design requirements set forth in Subchapter 6.2 of Chapter 4 of Division 1 (starting at section 3195.1) of this Title. Note : This requirement shall not take effect unless and until Subchapter 6.2 has been adopted and takes effect. (B) An as-built document. (C) A copy of the certificate of occupancy issued by the local building authority, if the local building authority has such a requirement. (c) Annual QSI Inspection. An annual QSI inspection shall be conducted of each permanent amusement ride at least once each year by either a QSI selected by the owner/operator or by a Division QSI, at the election of the owner or operator. (1) If the owner or operator elects to have a Division QSI conduct the Annual QSI Inspection, the owner or operator shall submit a written request that the Division conduct the inspection. The request shall be submitted to the Division no later than 60 days prior to the date the Certificate of Compliance becomes due. (2) Whenever an owner or operator elects to have a Division QSI conduct an annual inspection, the date of completion of the Division's inspection shall become the anniversary date by which the owner or operator's Certificate of Compliance becomes due the following year if a request for a Division-conducted QSI inspection is not made pursuant to subsection (c)(1). (3) The annual QSI inspection shall include both a structural inspection and an operational inspection. (4) A permanent amusement ride found on inspection to be unsafe shall be closed to the public and shall not be reopened to the public until all necessary repairs and modifications have been completed and certified as completed by a QSI. (d) Annual Division Records Audit and Inspection. (1) Starting on December 4, 2002, a Division QSI shall annually audit the records pertaining to each permanent amusement ride, including, but not limited to, records of accidents, records of employee training, and records of maintenance, repair, and inspection of the ride. (2) A Division QSI shall conduct an operational inspection in conjunction with the annual records audit. The operational inspection shall be conducted in two phases, as follows: (A) One phase shall consist of an unannounced inspection conducted during business hours to observe the normal operation of the ride with passengers. (B) The other phase, consisting of all other aspects of the operational inspection, shall be pre-announced and conducted without passengers present. (e) Exception to subsections (a), (b), (c), and (d): The following provisions shall apply to each permanent amusement ride that is located within a county or other political subdivision of the State that, as of April 1, 1998, has adopted the provisions of Chapter 66 (commencing with section 6601.1) of the 1994 Uniform Building Code providing for the routine inspection of permanent amusement rides by counties and other political subdivisions of the State, provided that the Division determines that these inspections meet or exceed the inspection standards set forth in this Article: (1) The ride shall not be subject to the inspection or records audit requirements of subsections (a), (b), or (d), to the extent that the county or other political subdivision provides inspections according to the same criteria as those specified in each of these subsections. (2) The ride shall be subject to the requirements of subsection (c). However, the employer may elect to have the county or other political subdivision conduct the Annual QSI Inspection on the same basis that it may elect to have the Division conduct the Annual QSI Inspection, provided that the county or other political subdivision provides inspections according to the same criteria as those specified in subsection (c) and the owner or operator complies with all applicable deadlines for making written requests. (f) Discretionary Division Inspections. A Division QSI may conduct an inspection to determine the safety of a permanent amusement ride, in a manner consistent with any reasonable safety concern raised by the information available to the Division, whenever the Division: (1) Receives notification, or otherwise learns, of an accident involving the permanent amusement ride required to be reported pursuant to section 344.15; (2) Determines that a fraudulent Certificate of Compliance for the permanent amusement ride was submitted; (3) Determines, based on factors such as ride cycles or number of riders, that a permanent amusement ride has a disproportionately-high incidence of accidents when compared to other rides of similar type and design in the State of California; or (4) Receives a complaint or otherwise becomes aware of information, when the complaint or information reasonably appears to be reliable and credible, that one of the safety-related systems or structural components of a ride is unsafe, or that a particular practice associated with a ride is unsafe. (g) The Division shall cause the least possible disruption to the normal operation of a permanent amusement ride consistent with the effective completion of an inspection. Note: Authority cited: Sections 60.5, 7923 and 7928, Labor Code. Reference: Sections 7920-7932, Labor Code. s 344.9. Order Prohibiting Operation. (a) If, after inspection by a Division QSI, the Division determines that a permanent amusement ride, or any part thereof, presents an imminent hazard or is otherwise unsafe for patrons, the Division may prohibit the operation of the ride, or any affected part thereof. The Division shall frame the scope of the prohibition with the narrowest scope reasonably necessary to ensure the protection of the public. Exception No . 1: The Division shall not issue an Order Prohibiting Operation if the hazardous or unsafe condition can be corrected immediately and the operator, after being informed of the condition by the Division, immediately abates the hazardous or unsafe condition. Exception No . 2: If an unsafe condition does not constitute an imminent hazard to patrons, the Division shall, prior to issuing an Order Prohibiting Operation, engage in an informal consultation with the owner or operator in an effort to resolve any factual questions or gather information relevant to determining whether the public operation of the amusement ride should be prohibited. (b) The Division shall notify the owner or operator in writing of the grounds for prohibition of operation and of the conditions in need of correction at the time it issues the Order Prohibiting Operation. (c) Operation of the permanent amusement ride shall not be reopened to the public until the conditions cited in the Order Prohibiting Operation have been corrected and approved by an authorized Division representative. (d) The owner or operator may appeal any Order Prohibiting Operation. The Division shall conduct appeal proceedings in accordance with Labor Code Section 6327. Note: Authority cited: Sections 60.5, 7923 and 7928, Labor Code. Reference: Sections 7920-7932, Labor Code. s 344.10. Certification of a QSI. (a) No person shall perform the services of a QSI for permanent amusement rides unless he or she possesses a current, valid QSI Certificate issued by the Division. (b) An application for certification as a QSI shall be made to the Division on a form prescribed by the Division, which shall require the applicant to provide information limited to his or her name, social security number, mailing address, daytime telephone number, two passport photographs, and information required to satisfy subsection (c). (1) All statements on the application shall be made under penalty of perjury. (2) Within 20 business days of receipt of an application for certification as a QSI, the division shall notify the applicant in writing that the application is complete and accepted for filing or incomplete and what additional evidence, documentation, or information is necessary to complete the application. An application shall be considered to be complete once all evidence, documentation, and information required by subsection (c)(1) or (c)(2) have been submitted. (3) Within 20 business days of receipt of a completed application, the Division shall notify the applicant in writing of its decision to approve or disapprove the application. If the application is made pursuant to subsection (c)(2), the Division shall, upon approval of the application, allow the applicant to sit for an examination pursuant to subsection (c)(2)(D). (4) If the applicant has qualified for certification under subsection (c)(1), the Division shall issue a QSI Certificate to the applicant upon approval of the application. If the applicant has qualified for certification under subsection (c)(2), the Division shall issue a QSI Certificate to the applicant upon completion of the QSI Examination with a score of at least 80% as required by subsection (c)(2)(D). (c) To be eligible for certification as a QSI, an applicant shall qualify as either a licensed engineer or as a non-engineer. (1) To qualify as a licensed engineer, the applicant shall do all of the following: (A) Provide satisfactory evidence that the applicant is a licensed engineer and has completed at least two years of experience in the amusement ride field, consisting of at least one year of actual inspection of amusement rides for a manufacturer, government agency, amusement park, carnival or insurance underwriter, and an additional year of practicing any combination of amusement ride inspection, design, fabrication, installation, maintenance, testing, repair, or operation. (B) Provide any other information reasonably requested by the Division. (2) To qualify as a non-engineer, the applicant shall do all of the following: (A) Provide satisfactory evidence of completing a minimum of five years of experience in the amusement ride field, at least two years of which consisted of actual inspection of amusement rides for a manufacturer, government agency, amusement park, carnival or insurance underwriter. The remaining experience may consist of any combination of amusement ride inspection, design, fabrication, installation, maintenance, testing, repair, or operation. (B) Provide any other information reasonably requested by the Division. (C) Produce a valid certificate from a QSI Training Program approved by the Division pursuant to section 344.11, evidencing the applicant's successful completion of 80-hour QSI certification training. For the purposes of this subsection, the training must have been completed within the past five years as of the time the application is made, but must not have been received earlier than January 1, 1999. Note : A certificate of completion from an approved QSI Training Program which is based on training received prior to the date this Article takes effect is acceptable if the course work has been retroactively approved pursuant to section 344.11(f). Exception: An applicant may apply up to 40 hours of successfully completed nondestructive testing (NDT) training toward completion of the requirement for 80 hours of QSI certification training from an approved QSI Training Program. For the purposes of this exception, an acceptable NDT training course is one offered by an instructor certified by the American Society for Nondestructive Testing, Inc. ( "ASNT") Nondestructive Training Level III, and covering the test method body of knowledge as described in the ASNT Recommended Practice No. SNT-TC-1A, 1996. The applicant shall provide all documentation or evidence reasonably necessary to demonstrate that the NDT training sought to be applied toward the 80-hour requirement meets these criteria. Other NDT courses shall be considered to be acceptable if the QSI applicant can demonstrate that the course instructor and content are equally effective in imparting skills and subject matter to attendees that are necessary for competent inspection of permanent amusement rides. No course shall be considered acceptable if the Division reasonably determines that the subject matter is insufficiently related to the inspection of permanent amusement rides to qualify as substitutable NDT training, or if the Division reasonably determines that the manner of instruction is insufficiently managed or monitored to be considered bona fide training. (D) Achieve a score of at least 80% on a written examination (QSI Examination) pertaining to the subjects addressed in this Article and Subchapter 6.2 of Chapter 4 of Division 1 (starting at section 3195.1) of this Title and subject matter applicable to the safe operation of permanent amusement rides. The examination shall be given during the Division's normal business hours in Sacramento or Anaheim at a time convenient to the applicant. Note : The examination shall not require knowledge of any requirements in Subchapter 6.2 unless and until Subchapter 6.2 has been adopted and takes effect. (d) A QSI Certificate shall be valid for a period of two years from the date of issuance. (e) Application for renewal of a QSI Certificate shall be made to the Division on a form prescribed by the Division, which shall require the certificate holder to provide his or her name and daytime telephone number. (1) All statements on the renewal application shall be made under penalty of perjury. (2) Each application shall be accompanied by the application fee fixed by section 344.16(b). (3) The applicant shall provide evidence of having completed, during the previous biennial renewal cycle, at least 30 hours of training from the continuing education component of a QSI Training Program approved pursuant to section 344.11(c). This training shall include inservice industry or manufacturer updates and seminars. (4) The applicant shall provide any additional information reasonably requested by the Division. (5) Within 10 business days of receipt of an application for renewal of a QSI certificate, the Division shall notify the applicant in writing either that the application is complete and accepted for filing or deficient and what specific information is required to complete the application. Within 10 business days of receipt of a completed application for certification as a QSI or an application for renewal of a QSI certificate, the Division shall notify the applicant of its decision to approve or disapprove the application. (f) The Division shall determine whether the applicant meets the criteria necessary for certification or renewal of certification pursuant to this Article and Part 8.1 of Division 5 of the Labor Code, and shall approve or disapprove the application for certification or renewal of certification accordingly. (g) The Division may revoke or suspend the certification of a QSI, upon determining that the holder: (1) Has submitted a fraudulent inspection report to the Division or to the owner or operator of a permanent amusement ride; or (2) Has not performed competently as a QSI. Note: Authority cited: Sections 60.5, 7923 and 7928, Labor Code. Reference: Sections 7920-7932, Labor Code. s 344.11. Approval of QSI Training Programs. (a) A school or training provider may apply to the Division for approval of a QSI Training Program (referred to in this section as "Program") by submitting the following information: (1) The name(s) of the training courses offered by the Program. (2) The name, title, business address, and phone number of the person whom the Division will contact regarding Program approval matters, a statement certifying that the information provided with the application is true and correct to the best of the applicant's knowledge, and the name title, business address, and phone number of the person signing the declaration if different from the person who will be the Division's contact. (3) Materials describing the subject matter and hours of instruction of each course required by the Program, with an explanation as to which courses are to apply toward: (A) The QSI certification training requirements of section 344.10(c)(2)(C); (B) QSI certification training requirements based on completion of up to 40 hours of NDT training as allowed by the exception to section 344.10(c)(2)(C); and (C) The QSI continuing education requirements of section 344.10(e)(3). Note : A school or training provider may offer any or all of the above three options. (4) The name(s) and qualifications of the instructor(s) of the Program. (5) Any other information reasonably requested by the Division. (b) Processing of Application. (1) Within 20 business days of receipt of an application for approval, the Division shall inform the applicant in writing whether the submitted application information is complete or additional information needs to be submitted. (2) Within 45 business days of receipt of a completed application for approval, the Division shall inform the applicant that the Program is approved or inform the applicant that the application for approval is denied, specifying the reasons for denial. (c) Criteria for Approval. Upon receiving complete application materials from the provider, the Division shall determine whether the applicant meets the criteria necessary for approval pursuant to this Article and the Permanent Amusement Ride Safety Inspection Program, Labor Code section 7920 et seq., and shall approve or disapprove the application accordingly. The approval shall specify each component of QSI Training, as described in section 344.11(a)(3), to which the approval applies. To qualify for approval, the applicant shall demonstrate that its Program will meet all of the following requirements: (1) Ensure that the instructor for each course required by the Program is experienced in the subject matter of the course. (2) Ensure that the course content is current and will be kept current. (3) Require Program participants to attend each course required by the Program for its full duration so that the applicable requirements for hours of instruction as described by sections 344.10(c)(2)(C) and 344.10(e)(3) are met. (4) Utilize a reliable testing method to determine whether the course participants have learned the subject matter presented by the course. (5) Provide a certificate of completion to all successful participants at the completion of the Program. (6) Ensure that the courses required by the Program provide classroom training related to the inspection, design, maintenance, testing, and operation of permanent amusement rides and applicable provisions of Title 8 of this Code, ensure that the subject matter of the training is current and will be kept current, and ensure that the overall content of courses required by the Program meets the intent of the Permanent Amusement Ride Safety Inspection Program, Labor Code section 7920, et seq., that QSIs receive training allowing them to perform competent and effective inspections of permanent amusement rides for the purpose of ensuring the safety of patrons. (d) To maintain QSI Training Program approval, a school or training provider shall promptly notify the Division in writing each time the provider makes a substantive change to any of the information required pursuant to subsection (a). (e) The Division may suspend or revoke the approval of a QSI Training Program upon determining that the Program has substantially failed to comply with approval requirements. (f) The Division may grant retroactive approval of training provided after January 1, 1999 but before this Article takes effect, if the provider demonstrates that the training met the QSI Training Program approval criteria of this section. Note: Authority cited: Sections 60.5, 7923 and 7928, Labor Code. Reference: Sections 7920-7932, Labor Code. s 344.12. Suspension and Revocation Procedures. All suspension and revocation proceedings conducted by the Division shall be initiated by the provision of written notice of the Division's intent to conduct a hearing to determine whether a certification or approval will be suspended or revoked. (a) The written notice shall be served at least 48 hours in advance of the scheduled hearing date. (b) Service shall be by personal service or certified mail to the address shown on the application for certification or approval, or to any other address known to the Division and reasonably believed to be the current address of the certificate holder or course provider. (c) The written notice shall specify the time, date, and location of the hearing, and the reasons for the action proposed by the Division. (d) At the hearing the Division shall have the burden of establishing good cause for the action taken by it. Good cause shall be deemed to exist if the Division establishes that the holder of a certification has substantially failed to comply with the requirements for certification pursuant to section 344.10(g), or that the holder of an approval has substantially failed to comply with the requirements of approval pursuant to section 344.11(e). Note: Authority cited: Sections 60.5, 7923 and 7928, Labor Code. Reference: Sections 7920-7932, Labor Code. s 344.13. Appeals to the Director. (a) The following may be appealed to the Director: (1) Suspensions and revocations by the Division. (2) Denials of applications for QSI certification or QSI Training Program approval. (3) Any final decision after hearing by the Division to uphold an Order Prohibiting Operation. (b) All appeals to the Director shall be in writing and shall be served within 5 business days of receipt of the notification of the Division's decision resulting in a denial, suspension, or revocation. (c) The Director or authorized representative shall schedule a hearing to be held within 5 business days of receipt of an appeal. At the hearing, the appellant shall have the burden of establishing that the Division's decision is in error. (d) Within 3 business days of completing the hearing, the Director shall issue a decision. The Director's decision shall be final except for any rehearing or judicial review provided for by law. Note: Authority cited: Sections 60.5, 7923 and 7928, Labor Code. Reference: Sections 7920-7932, Labor Code. s 344.14. Insurance Requirements. A person or entity may operate a permanent amusement ride only if, at the time of operation, he, she, or it: (a) Has obtained a valid insurance policy in an amount not less than one million dollars ($1,000,000) per occurrence, and; (1) Has submitted to the Division a copy of the policy; (2) Has clearly identified in the policy the permanent amusement rides included and excluded; and (3) Does not operate permanent amusement rides for which coverage is not provided; or (b) Has obtained a bond in an amount not less than one million dollars ($1,000,000), except that the aggregate liability of the surety under that bond shall not exceed the face amount of the bond. A copy of the bond shall be submitted to the Division; or (c) Qualifies as self-insured. Qualification as self-insured shall be demonstrated by providing a letter to the Division attesting that the owner has total assets of at least ten million dollars ($10,000,000), and that the owner's total assets exceed the owner's total liabilities by either a minimum of two million dollars or a ratio of at least ten to one. All statements in the attestation letter to the Division shall be made under penalty of perjury. Exception: State and local governmental entities shall be deemed to qualify as self-insured. Note: Authority cited: Sections 60.5, 7923 and 7928, Labor Code. Reference: Sections 7920-7932, Labor Code. s 344.15. Accident Response and Notification. (a) Reporting of Accidents. Each operator of a permanent amusement ride shall report or cause to be reported to the Division's Anaheim or Sacramento Amusement Ride Section Office immediately by telephone each known accident where maintenance, operation, or use of the permanent amusement ride results in a death or serious injury to any person unless the injury does not require medical service other than ordinary first aid. (b) Preservation of Accident Scene. (1) If a death or serious injury results from the failure, malfunction, or operation of a permanent amusement ride, the equipment or conditions that caused the accident shall be preserved for the purpose of an investigation by the division. (2) Upon receiving a report of an accident from an owner or operator, the Division shall make a determination as to whether preservation is necessary and inform the owner or operator of its determination. (A) If the Division determines that preservation is necessary, the Division shall make a reasonable effort to initiate the inspection within 24 hours of receipt of the report from the owner or operator. (B) Upon initiating the inspection, the Division shall provide the owner or operator with an instruction as to how long the equipment or conditions shall continue to be preserved. (c) Notification of the Division by Emergency Responders. Whenever a state, county, or local fire or police agency is called to an accident involving a permanent amusement ride covered by this Article where the death of a patron or a patron injury requiring medical service other than first aid has occurred, the Anaheim or Sacramento Amusement Ride Section Office of the Division shall be notified by telephone immediately by the responding agency. Note: Authority cited: Sections 60.5, 7923 and 7928, Labor Code. Reference: Sections 7920-7932, Labor Code. s 344.16. Fee Schedule. (a) The application fee for a QSI Certificate shall be five hundred dollars ($500.00). (b) The fee for the biennial renewal of a QSI Certificate shall be one hundred and twenty five dollars ($125.00). (c) The fee for review of Certificates of Compliance and provision of related notifications shall be two hundred and fifty dollars ($250.00). (d) A fee of one hundred and twenty-five dollars ($125.00) per hour, or fraction thereof, shall be charged for all work performed in connection with audits, inspections and investigations conducted pursuant to section 344.8. Note: Authority cited: Sections 60.5, 7923, 7928 and 7929, Labor Code. Reference: Sections 7920-7932, Labor Code. s 344.17. Confidentiality. The Division shall maintain the confidentiality of all documentation received pursuant to this Article to the extent that such documentation is protected by Labor Code Section 6322 or any other applicable provision of law. Note: Authority cited: Sections 60.5, 7923 and 7928, Labor Code. Reference: Sections 6322 and 7920-7928, Labor Code. s 344.18. Amusement Ride Fee Schedule. (a) Inspection Fees. (1) A fee of $125.00 per hour or fraction thereof shall be charged for all inspections, reinspections, and accident investigations pertaining to amusement rides. A minimum fee of $125.00 will be charged per amusement ride. (2) Fees shall be charged for actual inspection time. Actual inspection time begins from the time the Division engineer arrives, generally by appointment, in the area and continues until the engineer has completed the Division's report and is ready to leave the area. (b) The Division will charge no fee for an inspection performed by a certified insurance inspector except a charge of $10.00 to cover the cost of processing the permit to operate. Note: Authority cited: Sections 60.5, 6308 and 7904, Labor Code. Reference: Section 7904, Labor Code. s 344.20. Blaster's License -Application and Examination. (a) Every person requesting a Blaster's License shall submit a completed application form to the Division. (b) The Division shall evaluate every applicant for a Blaster's License. This evaluation will be conducted of the person's training and experience as shown on the application. (c) In order to obtain a Blaster's License, the applicant shall pass a written or an oral qualifying examination given at such times and places as determined by the Division. The examination shall include questions related to the license classification requested. Field tests may also be required as deemed necessary to determine the candidate's qualifications to perform the duties of a blaster. (d) License classification. Class Category Description A Unlimited All types of blasting. B General Above All phases of blasting operations in quarries, open pit Ground mines, and above ground construction. C General All phases of blasting operations in underground mines, Underground shafts, tunnels, and drifts. D Demolition All phases of demolition. E Limited Specific blasting operations indicated on the License. (e) The Blaster's License may be endorsed by any limitation or classification the Division may determine. (f) The Blaster's License is not transferable. Note: Authority cited: Sections 6308, 7314, 7350, 7720-7724, 7728, 7904 and 7991, Labor Code. Reference: Sections 7314, 7350, 7720-7724, 7728, 7904 and 7991, Labor Code. s 344.21. Expiration and Renewal. (a) Each Blaster's License issued under this Article shall be valid for a period of five years with renewal privileges. (b) Application for, and granting of a renewal, shall be administered in the same manner as an original Blaster's License. The Blaster's License examination will be required each five years. s 344.22. Suspension or Revocation -Blaster's License. (a) The Division may suspend or revoke a blaster's license when in the opinion of the Division; (1) There is a question or doubt as to the competency of the blaster, or (2) The blaster has not complied with requirements, safety orders, or rules of the Division. (b) The blaster shall be given notice and a hearing before suspending or revoking a blaster's license. (c) In the event of suspension or revocation of a blaster's license, the person may not apply for a new license for a period of 6 months and the application shall be handled in the same manner as an original blaster's license. Note: Authority cited: Sections 60.5, 6308 and 7991, Labor Code. Reference: Sections 6308 and 7995, Labor Code. s 344.30. Conveyance Inspection Program Fees. Pursuant to the provisions of Section 7314 of the Labor Code, the Division has fixed a schedule of inspection fees as follows: (a) Reinspection (periodic inspection) and witnessing of periodic tests of an existing installation shall be: (1) Hand dumbwaiters.................................. $ 70.00 per unit (2) Power dumbwaiters and material lifts.............. $ 105.00 per unit (3) Hand elevators.................................... $ 70.00 per unit (4) Material lifts with automatic transfer devices.... $ 140.00 per unit (5) Power sidewalk elevators.......................... $ 140.00 per unit (6) Hand-powered man platforms........................ $ 140.00 per unit (7) Escalators and moving walks....................... $ 280.00 per unit (8) Manlifts.......................................... $ 140.00 per unit (9) Hydraulic elevator -direct plunger and roped hydraulic up to three stories........................ $ 105.00 per unit (10) Hydraulic elevator -direct plunger and roped hydraulic 4 stories or more.......................... $ 140.00 per unit (11) Cabled elevator -up to 3 stories................. $ 140.00 per unit (12) Cabled elevator -4 to 10 stories................. $ 210.00 per unit (13) Cabled elevator -11 to 20 stories................ $ 280.00 per unit (14) Cabled elevator -21 or more stories.............. $ 350.00 per unit (15) Special access elevators......................... $ 140.00 per unit (16) Screw type elevator.............................. $ 140.00 per unit (17) Wheel chair lift, vertical or incline............ $ 105.00 per unit (18) Stairway chair lift.............................. $ 70.00 per unit (19) Elevator installed by variance................... $ 140.00 per hour (20) Elevators or dumbwaiters with automatic transfer devices.............................................. $ 140.00 per unit (21) Incline elevators................................ $ 210.00 per unit (22) Construction personnel hoist..................... $ 140.00 per hour (23) Special purpose personnel elevator............... $ 140.00 per unit (24) Rack & Pinion elevator........................... $ 140.00 per unit (25) Vertical and inclined reciprocating conveyors.... $ 140.00 per unit (26) Witnessing of periodic tests..................... $ 140.00 per hour (27) Automatic guided vehicles on guideways........... $1120.00 per unit (b) The fee for the inspection of a new installation of any type of conveyance will be $210.00 per hour or any fraction thereof. (c) The fee for the inspection of any alteration to a conveyance will be $210.00 per hour or any fraction thereof. (d) The fee for replacement inspections required under Section 3001(b)(3) will be $140.00 per hour, or any fraction thereof. (e) The fee for field consultations will be $280.00 per hour or any fraction thereof. If the distance to the job site is more than 50 miles from the District Elevator Unit Office, the actual travel time will be added to the inspection time on order to obtain the total charge. (f) No charge shall be made in any one permit year for more than one inspection except where safety orders have not been complied with and subsequent inspections are necessary or where an alteration has been made to a conveyance. A fee of $140.00 per hour or any fraction thereof shall be charged to determine if applicable safety orders have been complied with. (g) A fee will be charged for processing and mailing a permit. The fee shall reflect the actual cost of processing and mailing up to a maximum of $15.00. (h) The fees to cover the cost of various certifications are as follows: (1) Certified Qualified Conveyance Company (CQCC)...... $ 700.00 (2) Certified Qualified Conveyance Inspection Company (CQCIC)............................................... $ 700.00 (3) Certified Competent Conveyance Mechanic (CCCM)................................................ $ 210.00 (4) Temporary Certified Competent Conveyance Mechanic (TCCCM)............................................... $ 35.00/ application (5) Emergency Certified Competent Elevator Mechanic (ECCEM)............................................... $ 35.00/ application (6) Certified Qualified Conveyance Inspector (CQCI).... $ 210.00 (7) Renewal of a CQCC, CCCM, CQCIC or a CQCI certification......................................... $ 140.00 (8) Replacement of a CQCC, CCCM, CQCIC or a CQCI certification......................................... $ 35.00 (9) Administration of Exam............................. $ 100/ exam (i) The fee for an erection, construction, or installation permit, including the plan approval, is as follows: (1) First hydraulic elevator, including direct plunger elevator and roped hydraulic elevator in a building.................. $ 140.00 per story (2) Additional similar conveyances in the same building.................................................... $ 140.00 per unit (3) First cable-, screw- and rack and pinion type-elevators in a building................................ $ 210.00 per story (4) Additional similar conveyances in the same building.................................................... $ 210.00 per unit (5) Dumbwaiters, material lifts, vertical reciprocating conveyors and sidewalk elevators............................ $ 350.00 per unit (6) Wheelchair lifts, stairway lifts, hand-powered elevators and dumbwaiters................................... $ 280.00 per unit (7) First Escalator or moving walk in a building............. $ 560.00 per unit (8) Additional similar conveyances in the same building.................................................... $ 140.00 per unit (9) Automatic guided vehicles on guideways................... $1120.00 per unit (10) All other conveyances................................... $ 140.00 per hour (j) The fee for an alteration permit, including plan review, is as follows: (1) Permit for one or two alterations to a single unit............. $280.00 (2) Permit for same alterations to similar conveyances in the same building.............................................. $140.00 per unit (3) Permit for three or more alterations to a single conveyance.... $560.00 (4) Permit for same alterations to similar conveyances in the same building.............................................. $140.00 per unit (k) The fee for any change order review of plans shall be $140.00 per hour with a minimum charge of $280.00. (l) Whenever a person owning or having the custody, management or operation of an elevator fails to pay the fees required under this section within 60 days after notification, he or she shall pay in addition to the fees required by this section, a penalty fee equal to 100 percent of the fee. Note: Authority cited: Sections 60.5, 6308, 7311.4 and 7314, Labor Code. Reference: Sections 60.5, 6308, 7311.4 and 7314, Labor Code. s 344.40. Definitions. (a) Complaint. As used in this article, the term complaint shall refer to any written allegation of unsafe or unhealthful working conditions at the place of employment of a state prisoner working in a correctional industry. The Cal/OSHA form 7 may be used as a complaint form, but shall not be required. (b) Committee. As used in this article, the term committee shall refer to the correctional industry safety committee established in accordance with Department of Corrections administrative procedures at each Department of Corrections facility maintaining a correctional industry. (c) Committee Notice. A committee notice is a written notice suggesting the institution take specific corrective measures and setting forth an appropriate abatement date. The notice shall be served upon the Department of Corrections employee having supervisory responsibility over the unsafe or unhealthful condition. Copies of the notice shall be served upon the warden or superintendent of the institution and upon the complainant. Further, a copy of the notice shall be posted by the committee at a location where employees exposed to the unsafe or unhealthful condition will be likely to see it. Such posting shall be for a period of 15 days or until the unsafe condition is corrected, whichever is longer. (d) Filing a complaint. A complaint is deemed filed for purposes of this article upon either being deposited in a readily accessible complaint box or being personally presented to any member of the committee. Note: Authority cited: Section 6304.3, Labor Code. Reference: Sections 6304.2, 6304.3, 6313 and 6413.2, Labor Code. s 344.41. Complaint Procedure. (a) Any state prisoner working in a correctional industry may file with the committee, a complaint alleging unsafe or unhealthful working conditions at her/his place of employment. (b) The committee shall provide correctional industry employees with an expedient means of transmitting complaints to the committee. All correctional industry employees shall be informed by posted notice of the manner available to them for filing a complaint. Note: Authority cited: Section 6304.3, Labor Code. Reference: Sections 6304.2, 6304.3, 6313 and 6413.2, Labor Code. s 344.42. Operation of the Committee. (a) The committee shall meet as often as necessary but at least every 60 days to discuss health and safety issues relating to employees of correctional industries and to hear and act upon health and safety complaints filed by correctional industry employees. (b) The committee shall review and take appropriate action on every complaint within 15 calendar days of its filing. (c) The committee shall take one of the following actions on each complaint: (1) Issue a notice recommending specific corrective measures in the manner set forth in Section 344.40 above. In addition, the committee shall inform the complainant in writing of his/her right to have the committee forward the original complaint and the notice for correction to the Division of Occupational Safety and Health for review if the complainant believes that the notice is insufficient to make the conditions safe or healthful or if the Department of Corrections refuses or fails to comply with the notice. (2) Refer the complaint to the appropriate district office of the Division of Occupational Safety and Health for review. Such referral shall be made whenever the committee is unable, for any reason, to resolve the issues raised by the complaint within 15 days from the date of filing. Such referral shall be in writing and shall be made by the 15th calendar day from the day of filing. The complainant, if known to the committee, shall immediately be informed in writing of the referral. (3) Dismiss the complaint for lack of merit. Unless the complainant is anonymous the committee shall set forth its reasons for dismissal in writing to the complainant. Said writing shall also inform the complainant of his/her right to require the committee to have the initial complaint and the committee finding reviewed by the Division in the event that the complainant finds the conclusions of the committee to be unsatisfactory for any reason. Note: Authority cited: Section 6304.3, Labor Code. Reference: Sections 6304.2, 6304.2, 6313 and 6413.2, Labor Code. s 344.43. Duties of the Department of Corrections and the Committee. (a) Neither the Department of Corrections nor the correctional industry safety committee shall in any way abridge the right of correctional industry employees to file complaints pursuant to this article or to require referral of the complaints to the Division of Occupational Safety and Health. Note: Authority cited: Section 6304.3, Labor Code. Reference: Sections 6304.2, 6304.2, 6313 and 6413.2, Labor Code. s 344.44. Division Participation. (a) Upon receipt of a complaint from the committee, which it determines to constitute a bona fide allegation of a safety or health violation, the Division shall investigate within 3 working days after receipt if the complaint alleges a serious violation, and not later than 14 calendar days after receipt if the complaint alleges a general violation. The Division may give advance notice of an inspection or investigation and may postpone the same if such action is necessary for the maintenance of security at the facility where the inspection or investigation is to be held, or for ensuring the safety and health of the Division's representative who will be conducting the inspection or investigation. (b) In addition to the investigations required under subsection (a) above, the Division shall investigate every fatality and every employment accident involving serious injury to five or more correctional industry employees. The Division may in its discretion investigate any other accident or report of a safety or health violation involving correctional industry employees which are reported to it. Note: Authority cited: Section 6304.3, Labor Code. Reference: Sections 6304.2, 6304.2, 6313 and 6413.2, Labor Code. Note: Authority cited: Section 6304.3, Labor Code. Reference: Sections 6304.2, 6304.2, 6313 and 6413.2, Labor Code. s 344.45. Other Duties of the Correctional Industry Safety Committee. (a) The committee shall retain each complaint or a copy thereof and a record of all action taken pursuant to that complaint for a period of 3 years from the date that all issues with respect to the complaint have been resolved. Such records shall be made available to the Division. Note: Authority cited: Section 6304.3, Labor Code. Reference: Sections 6304.2, 6304.2, 6313 and 6413.2, Labor Code. s 344.46. Other Division Jurisdiction over Unsafe Conditions Pertaining to State Prisoners. (a) When the Division receives information, pursuant to Labor Code Section 6314, about injury or death of a state prisoner resulting from labor performed by the prisoner, the Division may make recommendations to the Department of Corrections, with or without conducting an inspection, of ways in which corrections might improve the safety of the working conditions and work areas of state prisoners and other safety matters. (b) If the Department of Corrections fails to comply with the recommendations described in subsection (a) above, or in any other case in which the Division deems the safety of any state prisoner shall require it, the Division may conduct hearings and after such hearings may adopt such special orders, rules, or regulations, or otherwise proceed as authorized in Chapter 1 (commencing with Section 6300 of Division 5 Part 1 of the Labor Code) as it deems necessary. The Department of Corrections shall comply with any such order, rule, or regulations so adopted by the Division. Note: Authority cited: Section 6304.3, Labor Code. Reference: Sections 6304.2, 6304.3, 6313 and 6413.2, Labor Code. s 344.50. Civil Inspections and Investigations. Compliance personnel of the Division are responsible for conducting inspections and investigations under the California Occupational Safety and Health Act for the purpose of invoking civil enforcement remedies only. If hazardous or violative conditions are found, the civil enforcement remedies which can be utilized include, but are not limited to, the issuance of citations and civil penalties, special orders, orders to take special action, the initiation of injunction proceedings, issuance of orders prohibiting use, and the revocation or suspension of permits. Division compliance personnel have no authority to initiate criminal proceedings. Note: Authority cited: Sections 6308, 6314 and 6315, Labor Code. Reference: Sections 6314 and 6315, Labor Code. s 344.51. Criminal Investigations. The central function of the Bureau of Investigations, within the Division of Occupational Safety and Health, is to conduct criminal investigations. The Bureau must investigate accidents involving violations of a standard, order, or special order, or section 25910 of the Health and Safety Code in which there is a serious injury to five or more employees, death, or request for prosecution by a Division representative. The Bureau of Investigations is the only entity within the Division which is empowered to conduct criminal investigations and to refer the results of such investigations when appropriate to a city attorney or district attorney for necessary action. The Bureau must analyze the circumstances surrounding the violation to determine whether the conduct is sufficiently aggravated to fall within the scope of Labor Code sections 6423, 6425 and other penal statutes. Note: Authority cited: Sections 6308, 6314 and 6315, Labor Code. Reference: Sections 6315 and 6314, Labor Code. s 344.52. Referral of Cases Other Than Accident Cases by Compliance Personnel to the Bureau of Investigations. If Division compliance personnel become aware that there are conditions which may constitute criminal violations, the case must be referred trough the Regional Manager/Supervising Industrial Hygienist, with a copy to the appropriate Deputy, to the respective Northern or Southern Office of the Bureau of Investigations. In cases referred for investigation the Supervising Special Investigator will assign the case to a Special investigator for investigation. The investigator will review the facts of the case, interview witnesses, and otherwise, conduct a thorough investigation. The assigned investigator shall prepare a report to the Supervising Special Investigator which shall include a summary of evidence, findings, and recommendations for appropriate action. Note: Authority cited: Sections 6308, 6314, 6315, Labor Code. Reference: Sections 6315, 6314, Labor Code. s 344.53. Nonreferral of Other Than Willful or Repeated Violations in the Context of Scheduled Inspections by Compliance Personnel to the Bureau of Investigations. Whenever the Division conducts a scheduled inspection according to a general administrative plan in contrast to an accident, complaint, or follow-up investigation, Division compliance personnel shall invoke only the civil enforcement remedies as set forth in Section 344.50 unless the violation is characterized as willful or repeated. This section shall not limit he Division's prerogative to enforce Labor Code Section 6326. Note: Authority cited: Sections 6308, 6314, 6315, Labor Code. Reference: Sections 6315, 6314, Labor Code. s 344.60. Licensing of Certifiers of Cranes and Derricks -Requirements. (a) Any person engaging in the testing, examination and/or certification of cranes, including but not limited to tower cranes, or derricks, used in lifting service exceeding three tons rated capacity, as defined in section 4885 of title 8 of the California Code of Regulations, as required pursuant to Labor Code section 7375 and sections 5020 through 5025 of title 8 of the California Code of Regulations shall apply for and obtain a license from the Division pursuant to this article or be approved by the Division to work as a surveyor under a license issued pursuant to this article prior to engaging in such activities. (1) For the purposes of this article a "licensed certifier" refers to any individual or agency holding a license pursuant to this article. (2) For the purposes of this article "approval", "approved surveyor" or "surveyor" refers to an individual who has been approved to certify cranes only under the authority and supervision of a licensed certifier. (b) Any person authorized by the Division to certify cranes and/or derricks prior to the effective date of this article may continue to perform services under such authority. Any such authority shall expire, however, in the year 1992. For purposes of the month of expiration in the year 1992, the Division will use the first day of the month in which the authorization was regularly scheduled to expire regardless of year. Any certificating agency or person desiring to continue to provide services pursuant to this article must have applied for and obtained a license from the Division prior to expiration of the existing authorization. (c) All persons or agencies licensed or approved pursuant to this Article shall comply with the provisions of Labor Code section 7375(c). Note: Authority cited: Sections 60.5, 6308 and 7375, Labor Code. Reference: Sections 7375, 7378 and 7379 Labor Code. s 344.61. License and Approval -Application Form and Applicant Qualifications. (a) A license to certify cranes pursuant to this article may be obtained by submitting a completed application to the Division and successfully completing a written examination as set forth herein. Application forms may be obtained by calling the Headquarters offices of the Division or by written request to Post Office Box 603, San Francisco, California 94101. (1) An applicant seeking a license must satisfy one of the following criteria: (A) Be an agency or person satisfying the definition of "certificating agency" as set forth in section 4885 of title 8 of the California Code of Regulations, or, (B) Be an agency or person qualified to certify cranes pursuant to section 5021(a)(1) of title 8 of the California Code of Regulations who is not a certificating agency as defined but who will be operating under the direct technical supervision of a certificating agency as defined. (2) All applicants must possess knowledge of sections 4884, et. seq. of Title 8 of the California Code of Regulations, as well as ANSI (American National Standards Institute) and SAE (Society of Automotive Engineers) standards, relating to the design and operation of cranes and derricks, including those specifically applicable to the types of cranes for which a license will be issued. In addition, all applicants must demonstrate at least five years related experience with cranes or derricks. This five years of experience must include not less than two years of crane related field duties such as crane inspection as a crane operator, heavy equipment mechanic, shop foreman, operations supervision, rigging specialist, or mechanical or civil engineer. Related education may be substituted for experience at a ratio of two years of education for one year of experience up to three years. (A) Individuals who have been approved by the Division pursuant to section 5021(a) of Title 8 of the California Code of Regulations and engaging in the certification of cranes prior to the effective date of this Article may use such periods of time to satisfy the experience requirements of this Part. (b) Any applicant for a license desiring to employ persons as surveyors to conduct inspections and examinations under the authority and supervision of the license must request that such individuals be approved by the Division in the application for license. Any surveyor desiring to work under the authority and supervision of a licensed certifier must meet the requirements of this subsection and successfully complete a written examination as set forth herein. (1) To be approved the surveyor must possess knowledge and experience with the specific equipment subject to the license and demonstrate at least five years of related experience as set forth in subsection (a)(2) above. Such surveyors will be approved by the Division to perform certification services only under the authority and supervision of the person issued a license pursuant to this article. Approval of a surveyor pursuant to this subsection does not constitute authorization to engage in certification activities outside the authority of the license. Note: A person may be considered approved as a surveyor by the Division if the person has been previously approved by the Division as a surveyor under another license issued pursuant to this article and the surveyor will be engaging in the certification of the same type(s) of equipment authorized under the previous license. (c) In the case of a business entity, such as a corporation, or a business association, a license will be issued only where a designated responsible managing agent of the entity or association has been licensed pursuant to this article. In such cases the license will be valid only so long as the responsible managing agent remains with the entity or association. If the qualifying managing agent should leave the entity or association a new managing agent must meet the requirements of this article and be licensed pursuant thereto. (d) Application Form. Any application for license and approval will be accepted by the Division upon the filing of a completed application, payment of the application fee and full compliance with all other requirements thereof. All information and attachments shall be given under penalty of perjury. In the case of an entity or agency, all submissions shall be made by a person expressly authorized in writing to act on behalf of the applicant. The application shall include, but not be limited to, the following: (1) A statement of the types of cranes and/or derricks, including their capacities, the applicant desires to certify pursuant to the license. (2) A statement of qualifications and experience satisfying at a minimum the criteria set forth in this section as well as any and all other qualifications the applicant wishes the Division to consider. (3) A list of surveyors, if any, to be approved under the license, including their respective qualifications, whether any have been previously approved by the Division, and the license under which the prior approval was issued. (4) Any other relevant information the applicant desires to be considered by the Division. (e) Written examination. Any qualified applicant and surveyor to be approved under a license must successfully complete a written examination administered by the Division or its authorized representative, as set forth in this section. The Division will evaluate the applicant's qualifications based on the application and the applicant's training, knowledge and experience before allowing participation in the written examination. Note: An applicant will be considered "qualified" if the qualification and experience requirements of this article are satisfied. The written examination will address the following, among other things: (1) Applicable provisions of title 8 of the California Code of Regulations, including operation, testing, inspection and maintenance requirements, and the duties and recordkeeping responsibilities as set forth in this article. (2) Safe operating and engineering principles and practices with respect to the specific types cranes or derricks subject to the license, including inspection and proof loading requirements. Note: Authority cited. Sections 60.5, 6308 and 7375, Labor Code. Reference: Section 7375, Labor Code. s 344.62. Issuance of License and Approvals. (a) If the applicant and the surveyor(s) the applicant is seeking to be approved under the license satisfy the requirements of this article, the Division shall issue a license and approval(s). (b) The Division may impose restrictions on the scope and use of the license or approval(s), such as limiting it to specific types of cranes or derricks based upon the qualifications of the applicant, the desired license, and the qualifications of any surveyor approved under the license. Note: Authority cited: Sections 60.5, 6308 and 7375, Labor Code. Reference: Section 7375, Labor Code. s 344.63. License Application -Processing Time. (a) Within 30 business days of receipt of a completed application for license the Division shall inform the applicant in writing that it is either complete and accepted for filing or that it is deficient and what specific information or documentation is required to complete the application. An application is considered complete if it is in compliance with the requirements of this article. (b) Within 30 business days of the date of the filing of a Completed application the Division shall inform the applicant if the minimum requirements of this article are satisfied and of the applicants eligibility to take the written examination. (c) Within 60 business days from the date of completion of the written examination the Division shall inform the applicant in writing of its decision regarding the issuance of the license or approval(s). Note: Authority cited: Sections 60.5, 6308 and 7375, Labor Code; and Section 15376, Government Code. Reference: Section 7375, Labor Code. s 344.64. Duration and Renewal of License. (a) The license shall be valid for three years. (b) Application for renewal shall be filed with the Division not less than 60 days prior to expiration. A renewal may be obtained by filing a completed application for renewal meeting the requirements of section 344.61 hereof. (c) All applicants for renewal and approved surveyors shall successfully complete a written examination every six years. Note: Authority cited: Sections 60.5. 6308 and 7375, Labor Code. Reference: Section 7375, Labor Code. s 344.65. License Application, Renewal and Examination Fees. (a) To cover the costs associated with investigating and evaluating the application for a license and administering the required written examination, a fee of $250.00 for the application, plus $190.00 for the written examination shall be paid. (b) Where the applicant is seeking the approval of surveyors to work under the authority and supervision of the license either in the application for license or subsequent to the issuance of the license, a fee of $190.00 for each surveyor to be approved shall be paid to cover the costs associated with investigating the request for approval and administering the written examination. (c) To cover the costs associated with investigating and evaluating an application for renewal of a license a fee of $75.00 shall be paid. (d) To cover the costs associated with investigating and evaluating a request to transfer a person approved under an existing license to another license a fee of $50.00 shall be paid. Note: Authority cited: Sections 60.5, 6308, 7375, and 7380, Labor Code. Reference: Sections 7375 and 7380, Labor Code. s 344.66. Denial of License. (a) The Division shall deny issuance of a license if the applicant does not satisfy the requirements of this article. In denying a license, the Division shall notify the applicant, in writing, as set forth in this article, specifying the reasons for such denial and shall send a copy thereof to the Director. (b) Any applicant denied a license by the Division may appeal such denial to the Director. The Director shall hold a hearing at such place designated by the Director or his authorized representative within five working days of the appeal. The applicant has the burden of establishing qualification for a license. The hearing shall be presided over by the Director or authorized representative. (c) The Director shall issue a decision within 10 days of the hearing. The Director's decision shall be final except for any rehearing or judicial review provided for by law. All requests for rehearing shall be filed with the Director within ten days from the date of the Director's denial. Note: Authority cited: Sections 60.5, 6308, and 7375, Labor Code. Reference: Section 7375, Labor Code. s 344.67. Revocation or Suspension of License. (a) The Division may at any time, upon a showing of good cause and after notice and an opportunity to be heard, revoke or suspend any license issued pursuant to this article. (b) Notice shall be in writing and served at least two days in advance of the hearing. Service shall be by personal service or certified mail to the address as shown on the application form. The notice shall specify the reasons for the action taken by the Division in order that the applicant may prepare for the hearing. The Division shall also include within the notice of revocation or suspension specific conditions which must be met before the applicant will be entitled to apply for a new certification. (c) The hearing shall be held at the Division's Headquarters offices or at such other location as may be designated by the Director and shall be presided over by the Chief of the Division or authorized representative. (d) During the hearing, the Division shall establish good cause for the action taken. Good cause is deemed to exist if the Division establishes any of the criteria set forth in Labor Code section 7376(a) or that the licensed certifier has committed any of the following acts: (1) Failure to meet or comply with the requirements of this article or the limitations imposed on the license; (2) Performance of work not in compliance with applicable laws and regulations. (e) The period of suspension or revocation for the commission of any act referenced in Labor Code section 7376(a) shall be six months for the first such suspension and one year for each subsequent suspension or revocation. (1) The commission of any other act referenced in subsection (d) may result in suspension or revocation of up to one year. (f) Following the period of suspension or revocation, an application for license may be filed with the Division. (g) The certificating agency or person may appeal such suspension or revocation to the Director. The Director shall hold a hearing at such place designated by the Director or authorized representative within five work-ing days of the appeal. The certificating agency shall have the burden of establishing qualification for licensure.(h) Following the hearing, the Director shall issue a decision. The Director's decision shall be final except for any rehearing or judicial review provided for by law. All requests for rehearings shall be filed with the Director within 10 days from the date of the Director's decision.(i) The filing of an appeal shall not stay the revocation or suspension, and such action shall remain in effect until such time as the applicant presents proof that the specified written conditions required by the Division are met or until otherwise ordered after resolution of the appeal. Note: Authority cited: Sections 60.5, 6308, 7375, and 7376, Labor Code. Reference: Sections 7375 and 7376, Labor Code. s 344.70. Tower Cranes -Operating Permit -Scope and Requirements. (a) The permit requirements of this article apply to two types of tower cranes referred to in these orders as: (1) "Fixed Tower Crane", which includes free standing and climber type tower cranes where the vertical mast or tower is attached to a fixed anchorage, foundation or undercarriage attached to rails, as defined in Labor Code section 7371(a) and (b) and section 4885 of title 8 of the California Code of Regulations, and, (2) "Mobile Tower Crane", which includes mobile and self erecting type tower cranes, as defined in Labor Code section 7371(a) and (c) and section 4885 of title 8 of the California Code of Regulations. (b) Any employer operating a fixed or mobile tower crane as described in this section shall obtain a permit from the District Office of the Division pursuant to this article prior to operating the tower crane. Note: The requirements of this article are in addition to the permit requirements of section 341 et seq. of title 8 of the California Code of Regulations applicable to the erection of the vertical mast or tower for a fixed tower crane. (c) For the purposes of this article an operating permit is required when the fixed or mobile tower crane is ready for operation, which means the crane has been erected (in the case of a fixed tower crane) and certified for operation by a Division-licensed crane certifier. Note: Authority cited: Sections 60.5, 6308, 7371, 7373 and 7375, Labor Code. Reference: Sections 7371, 7373 and 7375, Labor Code. s 344.71. Application for and Issuance of Operating Permit. (a) Fixed and Mobile Tower Cranes -Application for Permit -Location. (1) In the case of a fixed tower crane the application must be filed at he District Office nearest the location where the tower crane will be operated. (2) In the case of a mobile tower crane the application may be filed at the District Office nearest the location where the mobile tower crane will be operated or nearest the principal business offices of the applicant. (b) If the responsibility for operation of the fixed or mobile tower crane changes during the effective period of an existing permit the new employer shall apply for and obtain a separate permit from the Division as set forth in this article prior to continuing operation of the crane. (c) Blank application forms and fee schedules may be obtained from any district Office of the Division. (d) A permit may be issued by the Division following the filing of a completed application form and full compliance with all the requirements thereof. Application fees must be paid to the Division upon filing of the application. All inspection fees must be paid by the applicant before the permit will be issued by the Division, unless a temporary permit has been issued pursuant to section 344.72(d) of this article. (1) In the case of a fixed tower crane the operating permit shall be valid only for the period it is located and operated at the specific site referenced in the permit. (A) If a fixed tower crane is relocated to a new position on the same project a new operating permit is required. (2) In the case of a mobile tower crane the permit shall be valid for one year. (e) The information and attachments submitted with the application for an operating permit shall comply with this section and be given under penalty of perjury by a person duly authorized in writing to act on the behalf of the applicant with respect to the matters referenced in the application. The application shall contain the following: (1) Employer/Applicant name, address, phone number, project safety contact person, employer's representative at the site including title and phone number and employer/applicant Contractor's Licence No. (2) Designation of type of contractor and description of crane being operated. (3) Location and phone number of crane jobsite including nearest cross street, city and county. (4) Number of employees and anticipated starting date. (5) Designation of existence of high voltage lines. (6) Certification that the applicant possesses knowledge of the applicable occupational safety and health standards and manufacturer's operating instructions for the subject crane, as well as a statement of the applicants related training, education and/or experience within the last five years. (7) Certification that the applicant will comply with all applicable standards and other lawful orders of the Division, and, that the conditions, practices, means, methods, operations or processes used or proposed to be used will be safe, and healthful and that the permit to operate will be posted at the site of operation. (A) In addition, in the case of a fixed tower crane, the employer shall provide a written job plan which describes the intended operation of the subject crane including the specific uses of the crane and the nature and weight of anticipated loads. (8) In the case of a fixed tower crane, certification that a Division-licensed certifier or surveyor, or safety representative for the distributor or manufacturer, will be present during erection, climbing and dismantling operations to ensure that such processes and operations are performed in accordance with manufacturer recommendations and applicable standards or orders. (9) A statement of all previous business identities of the applicant within 10 years prior to the date of application. (A) "Business identities" include, but shall not be limited to, fictitious business names, corporate names, and/or joint venture partnerships and any other business affiliations in the construction industry involving the use of cranes. (10) A certification issued by a Division-licensed certifier for subject crane. (f) The applicant issued a permit pursuant to this article shall have the fixed or mobile tower crane subject to the permit inspected by the Division twice a year. One of these required inspections must be completed prior to the issuance of a permit pursuant to this article. Note: The initial permit inspection shall be considered as one of the two mandatory yearly inspections. (g) The holder of a permit issued pursuant to this article shall notify the Division of the following: (1) In the case of a fixed tower crane the date and time: (A) The crane will commence operation; (B) The climbing of the crane; and, (C) The dismantling of the crane. (2) In the case of a mobile tower crane the date, time and location of for each new site of operation. This notification is required only in instances where the mobile tower crane will be located at any given site in excess of one day. Where the crane will be operated at any site, or multiple sites, for less then one da notification is not required. Note: The notification must be provided to the Division at least 24 hours prior to the activity which is the subject of the notification, and may be made in writing or by telephone followed by written notification. The notification shall be made to the District Office of the Division from which the permit was obtained and must include the date and time of the intended activity. Note: Authority cited: Sections 60.5, 6308, 7372, 7373 and 7375, Labor Code. Reference: Sections 7371, 7372, 7373, 7382 and 7383 Labor Code. s 344.72. Tower Crane Operating Permit Application -Issuance and Processing Time. (a) Within 5 business days of receipt of an application the Division shall inform the applicant in writing of whether it is accepted for filing and if not what deficiencies exist with reference to the application. (b) The Division shall issue a permit within 10 days of the receipt of a completed application. (c) The Division may issue a temporary permit pending the payment of any inspection fees where such fees are not paid in advance. All inspection fees must be paid within 30 business days of the date of the invoice indicating such fees are due. If the inspection fees are not paid within thirty business days as set forth herein, the temporary permit shall immediately expire. Note: Authority cited: Sections 60.5, 6308, 7373 and 7375, Labor Code; and Section 15376, Government Code. Reference: Sections 7371 and 7373, Labor Code. s 344.73. Tower Crane Operating Permit and Inspection Fee Schedule. (a) To cover the costs associated with investigating and issuing an operating permit for a fixed or mobile tower crane, the fee of $200.00 shall be paid. Note: The permit to operate and the associated application fee is separate from, and in addition to, the permit and fee requirements of section 341 of title 8 of the California Code of Regulations for the erection of a fixed tower crane. (b) In addition to the fees set forth in subsection (a) of this section, the hourly fee of $75.00 or fraction thereof, including travel time as set forth in part (1) of this subsection, based on quarter hour intervals, with a minimum of one-half hour, shall be paid to cover the costs associated with inspecting any fixed or mobile tower crane pursuant to the permit requirements of this article and Labor Code section 7373. (1) Travel time shall include the time from the District Office of the Division processing the request for a permit to the inspection site, and from the inspection site back to the District Office. In the event the travel encompasses multiple permit inspections of different cranes operated by different employers the Division shall allocate the travel time equitably among the permit applicants. Note: Authority cited: Sections 60.5, 6308, 7373 and 7375, Labor Code. Reference: Sections 7371 and 7373, Labor Code. s 344.74. Denial of Permit. (a) The Division shall deny issuance of an operating permit if the provisions of this article are not satisfied. Upon denying an operating permit to an applicant employer, the Division shall promptly notify the employer, in writing, specifying the reasons for such denial and shall send a copy thereof to the Director. (b) Any employer denied a permit by the Division may appeal such denial to the Director. The Director shall hold a hearing at such place designated by the Director or authorized representative for the convenience of the attending parties within two working days of the employer's appeal. The employer has the burden of establishing that it qualifies for a permit. The hearing shall be presided by the Director or authorized representative and shall also be open to employees or employees' representative. The employer shall notify the employees or employees' representative of such hearing a reasonable time prior to the such hearing, but in no case later than 24 hours prior to the hearing. Proof of such notification by the employer shall be made at the hearing. (c) The Director shall issue a decision within ten business days of the hearing. The Director's decision shall be final except for any rehearing or judicial review provided for by law. All requests for rehearing shall be filed with the Director within ten days from the date of the Director's decision. Note: Authority cited: Sections 60.5, 6308, 7373 and 7375, Labor Code. Reference: Sections 7371 and 7374, Labor Code. s 344.75. Revocation or Suspension of Permit. (a) The Division may at any time, upon a showing of good cause and after notice and an opportunity to be heard, revoke or suspend any permit issued pursuant to this article. (b) Notice shall be in writing and served upon the applicant at least 24 hours in advance of the hearing. Service shall be by personal service or certified mail to the project address as shown on the application form. The notice shall specify the reasons for the action taken by the Division. The Division shall also include within the notice of revocation or suspension specific conditions which must be met before the applicant will be entitled to resume operation of the tower crane. (c) The hearing shall be held as soon as possible at the Division's headquarters offices or at such other location as may be designated by the Director and shall be presided by the Chief of the Division or authorized representative. (d) During the hearing, the Division shall establish good cause for the action taken. Good cause is deemed to exist if the Division establishes any of the criteria set forth in Labor Code section 7374(a). (e) The period of suspension or revocation for the commission of any act referenced in Labor Code section 7374(a) shall be six months for the first such suspension and one year for each subsequent suspension or revocation. (1) The commission of any other act referenced in subsection (d) may result in suspension or revocation of up to one year. (f) The crane employer may appeal such suspension or revocation to the Director. The Director shall hold a hearing at such place designated by the Director or authorized representative for the convenience of the attending parties within five working days of the appeal. The crane employer shall notify employees and employees' representatives of such hearing in a reasonable time prior to the hearing. The crane employer shall have the burden of establishing qualification for crane operation. (g) Following the hearing, the Director shall issue a decision within ten business days. The Director's decision shall be final except for any rehearing or judicial review provided for by law. All requests for rehearings shall be filed with the Director within ten days from the date of the Director's decision. (h) The filing of an appeal shall not stay the revocation or suspension, and such action shall remain in effect until such time as the applicant presents proof that the specified written conditions required by the Division are met or until otherwise ordered after resolution of the appeal. Note: Authority cited: Sections 60.5, 6308, 7373, 7374 and 7375, Labor Code. Reference: Sections 7371, 7373 and 7374, Labor Code. s 344.80. License -Duties and Recordkeeping Requirements. Every crane or derrick certifier, licensed pursuant to article 11 of these orders shall comply with the following requirements: (a) All tests and examinations shall be performed in accordance with the requirements of title 8 of the California Code of Regulations commencing with section 4884. (1) No certification shall be issued without first performing all necessary tests and examinations as required by applicable standards or orders, including but not limited to the examination of items 1 through 14 referenced in Plate V of section 4885 of title 8 of the California Code of Regulations. (2) All certifications shall be issued in a form consistent with that set forth in Plate V of section 4885 of title 8 of the California Code of Regulations. (b) All testing, examinations, inspections, heat treatments, and recordkeeping procedures shall be carried out by or under the direct supervision of the licensed certifier or surveyor. (1) Certificates issued pursuant to the license shall be completed and personally signed by the licensed certifier or surveyor performing the test and/or examination. (c) The District Office of the Division nearest the site of inspection shall be notified of any deficiencies affecting the safe operation of the crane found during the course of any certification inspection. This notification shall be made within five working days following the test/examination date and shall be submitted on a form equivalent to Division form No. IS-162 containing the information set forth in subsection (j) of this section. Note: Blank IS-162 forms may be obtained from any District Office of the Division: or, see Plate 1 appended to these orders. (d) Deficiencies for the purposes of this article include any and all conditions found during the course of the certification examination or testing which do not comply with applicable safety orders or manufacturer's specifications. (e) Correction of all deficiencies affecting the safe operation of the crane shall be verified by the licensed certifier or surveyor prior to issuance of a certification. A signed and dated verification of correction shall be submitted to the Division location where notification was given pursuant to subsection (d) of this section and on the IS-162 form or equivalent along with the certificate issued. (f) Complete and accurate records of all inspections, tests, and other work performed shall be maintained. At a minimum the licensed certifier shall maintain an inspection record for each crane or derrick inspected and/or tested for certification indicating all items inspected or tested during the course of the certification inspection, as well as copies of any Certifier's Notice of Crane Safety Deficiencies issued and records pertaining to the verification of corrections of any such deficiencies, and all certificates issued. All records shall be maintained for a period of at least five years and shall be made available to the Division upon request. (g) The following records of the operating history of each crane being examined and/or tested for certification shall be reviewed, if available: (1) Records of previous certifications and Notices of Crane Safety Deficiencies. (2) Records of tests performed by others, and, (3) Records of any modifications, downgrading, upgrading, accidents, and damage relating to the crane or derrick. (h) Any inspection and/or testing, including proof load tests, being performed shall be limited to those machines authorized by the License. (i) The Division shall be notified, within 24 hours, in writing if any approved surveyor ceases to be employed by the licensed certifier. (j) The Notice of Crane Safety deficiencies shall contain at least the following: (1) Name, address, license number and signature of the licensed certifier or surveyor conducting the inspection. (2) Name, address and phone number of crane owner and location of crane. (3) Description and rated capacity of equipment or device, including manufacturer, model No., serial No., and owners identification No., if any. (4) Date of inspection and notification to the owner and description of deficiencies found during the course of the inspection. (5) A statement that a certification will not be issued until all deficiencies affecting the safe operation of the crane or derrick have been corrected. (6) Verification and dates of correction of noted deficiencies. Note: See Plate 1 appended hereto for a sample form IS-162. PLATE 1 NOTICE OF CRANE SAFETY DEFICIENCIES (Sample format -IS 162) Equipment Operator: _______________ Owner: _______________ Address: __________________________ Address: _____________ Description and location of equipment inspected: __________ __________________________________________________________ Manufacturer: ________ Model No.: ______ Serial No.: ______ Owner I.D.: __________ Rated Capacity: _______________ The following deficiencies were found to exist during the inspection, testing and/or examiantion of the above-referenced equipment on -------------------. Description of Condition to be Corrected Verification Date and Signature --------------------------------------------------------------------------- 1. --------------------------------------------------------------------------- 2. --------------------------------------------------------------------------- 3. --------------------------------------------------------------------------- 4. --------------------------------------------------------------------------- 5. --------------------------------------------------------------------------- 6. --------------------------------------------------------------------------- 7. --------------------------------------------------------------------------- 8. --------------------------------------------------------------------------- 9. --------------------------------------------------------------------------- (See attached sheet for additional items or descriptions, if any.) A certificate to operate the above-referenced equipment will not be issued until the items noted herein are corrected and verified as such by the undersigned. A copy of this Notice, as well as any subsequent verification of corrections, shall be sent, as required, to the Division of Occupational Safety and Health. Labor Code 7375 and Sections 344.6, et. seq. and 4884, et. seq. of Title 8 of the California Code of Regulations prohibit the operation of any crane or derrick subject to the certification requirements thereof to be operated without a valid certification issued by a Division-licensed certifier or approved surveyor. Licensed Certifier, Name: __________ License No.: __________ Address: ___________________________ Approved Surveyor, Name: _____________ Title: ______________ Date: __________________ Signature: _______________ Note: Authority cited: Sections 60.5, 6308 and 7375, Labor Code. Reference: Sections 7375, Labor Code. s 344.81. Fixed and Mobile Tower Crane Certification. (a) Fixed tower cranes and mobile tower cranes subject to this article shall be examined, tested and certified pursuant to article 99 annually and in the case of a fixed tower crane whenever it is erected at a new site. (b) If a fixed tower crane is relocated to a new position on the same project a new certification is required. This requirement does not apply to the climbing of the tower crane. (c) Each annual certification of a fixed or mobile tower crane shall include examination and testing of the crane structure and its parts as required pursuant to sections 4884 et seq. of title 8 of the California Code of Regulations and manufacturer recommendations. In the case of any fixed tower crane the annual certification must include detailed non-destructive tests of the load hook, slewing ring, tower section and slewing ring bolts, as well as all structural welds in the crane's tower section, mast and the jibs shall be performed where applicable. All deficiencies shall be corrected prior to use. Note: Written records of the tests and test procedures performed shall be maintained and made available to the Division upon request for a period of five years. Note: Authority cited: Sections 60.5, 6308, 7373 and 7375, Labor Code. Reference: Sections 7370-7383, Labor Code. s 344.85. Limitations on Division Eligibility for Certifications, Licenses, and Registrations for Aliens. (a) All eligibility requirements contained herein shall be applied without regard to the race, creed, color, gender, religion, or national origin of the applicant. (b) Pursuant to Section 411 of the Personal Responsibility and Work Opportunity Reconciliation Act of 1996, [Pub. L. No. 104-193 (PRWORA)], (8 U.S.C. section 1621), and notwithstanding any other provision of this division, an alien who is not a qualified alien, a nonimmigrant alien under the Immigration and Nationality Act (INA) (8 U.S.C. section 1101 et seq.), or an alien paroled into the United States under Section 212(d)(5) of the INA [(8 U.S.C. 1182(d)(5)], for less than one year, is not eligible for any of the following benefits, except as provided in 8 U.S.C. 1621(c)(2): (1) A certification as an asbestos consultant or site surveillance technician pursuant to 8 CCR sections 341.15 and Business and Professions Code Section 7180, (2) A blaster's license pursuant to 8 CCR sections 344.20 through 344.22 and Labor Code Section 7990, (3) A license to certify cranes or derricks pursuant to 8 CCR section 344.60 through 344.67 and Labor Code Section 7375, (4) A registration for asbestos-related work pursuant to 8 CCR sections 341.6 through 341.14 and Labor code Section 6501.5, (5) A certification as a gas tester pursuant to 8 CCR sections 7104, 8406 and 8424 and Labor Code Section 7999. (6) A certification as a safety representative pursuant to 8 CCR section 8406 and Labor Code Section 7999. (c) A qualified alien is an alien who, at the time he or she applies for, receives, or attempts to receive a public benefit, is, under Section 431(b) and (c) of the PRWORA [8 U.S.C. section 1641(b) and (c)], any of the following: (1) An alien lawfully admitted for permanent residence under the INA (8 U.S.C. section 1101 et seq.). (2) An alien who is granted asylum under Section 208 of the INA (8 U.S.C. section 1158). (3) A refugee who is admitted to the United States under Section 207 of the INA (8 U.S.C. section 1157). (4) An alien who is paroled into the United States under Section 212(d)(5) of the INA [8 U.S.C. section 1182(d)(5)] for a period of at least one year. (5) An alien whose deportation is being withheld under Section 243(h) of the INA [8 U.S.C. section 1253(h)], as in effect immediately before the effective date of Section 307 of division C of Public Law 104-208), or Section 241(b)(3) of such Act [8 U.S.C. Section 1251(b)(3)], (as amended by Section 305(a) of division C of Public Law 104-208). (6) An alien who is granted conditional entry pursuant to Section 203(a)(7) of the INA as in effect prior to April 1, 1980. [8 U.S.C. s 1153(a)(7)] (See editorial note under 8 U.S.C. Section 1101, "Effective Date of 1980 Amendment.") (7) An alien who is a Cuban or Haitian entrant (as defined in Section 501(e) of the Refugee Education Assistance Act of 1980 [8 U.S.C. s 1522 note)]. (8) An alien who meets all of the conditions of subparagraphs (A), (B), (C), and (D) below: (A) The alien has been battered or subjected to extreme cruelty in the United States by a spouse or a parent, or by a member of the spouse's or parent's family residing in the same household as the alien, and the spouse or parent of the alien consented to, or acquiesced in, such battery or cruelty. For purposes of this subsection, the term "battered or subjected to extreme cruelty" includes, but is not limited to being the victim of any act or threatened act of violence including any forceful detention, which results or threatens to result in physical or mental injury. Rape, molestation, incest (if the victim is a minor), or forced prostitution shall be considered to be acts of violence. (B) There is a substantial connection between such battery or cruelty and the need for the benefits to be provided in the opinion of Division. For purposes of this subsection, the following circumstances demonstrate a substantial connection between the battery or cruelty and the need for the benefits to be provided: 1. The benefits are needed to enable the alien to become self-sufficient following separation from the abuser. 2. The benefits are needed to enable the alien to escape the abuser and/or the community in which the abuser lives, or to ensure the safety of the alien from the abuser. 3. The benefits are needed due to a loss of financial support resulting from the alien's separation from the abuser. 4. The benefits are needed because the battery or cruelty, separation from the abuser, or work absences or lower job performance resulting from the battery or extreme cruelty or from legal proceedings relating thereto (including resulting child support, child custody, and divorce actions), cause the alien to lose his or her job or to earn less or to require the alien to leave his or her job for safety reasons. 5. The benefits are needed because the alien requires medical attention or mental health counseling, or has become disabled, as a result of the battery or extreme cruelty. 6. The benefits are needed because the loss of a dwelling or source of income or fear of the abuser following separation from the abuser jeopardizes the alien's ability to care for his or her children (e.g., inability to house, feed, or clothe children or to put children into day care for fear of being found by the abuser). 7. The benefits are needed to alleviate nutritional risk or need resulting from the abuse or following separation from the abuser. 8. The benefits are needed to provide medical care during a pregnancy resulting from the abuser's sexual assault or abuse of, or relationship with, the alien and/or to care for any resulting children. 9. Where medical coverage and/or health care services are needed to replace medical coverage or health care services the alien had when living with the abuser. (C) The alien has a petition that has been approved or has a petition pending which sets forth a prima facie case for: 1. Status as a spouse or child of a United States citizen pursuant to clause (ii), (iii), or (iv) of Section 204(a)(1)(A) of the INA [8 U.S.C. section 1154(a)(1)(A)(ii), (iii) or (iv)]. 2. Classification pursuant to clause (ii) or (iii) of Section 204(a)(1)(B) of the INA [8 U.S.C. section 1154(a)(1)(B)(ii) or (iii)]. 3. Suspension of deportation and adjustment of status pursuant to Section 244(a)(3) of the INA [8 U.S.C. section 1254(a)(3)], as in effect prior to April 1, 1997 [Pub.L. 104-208, sec. 501 (effective Sept. 30, 1996, pursuant to sec. 591); Pub.L. 104-208, sec. 304 (effective April 1, 1997, pursuant to sec. 309) Pub.L. 105-33, sec. 5581 (effective pursuant to sec. 5582)] (incorrectly codified as "cancellation of removal under Section 240A of such act (8 U.S.C. Section 1229b) as in effect prior to April 1, 1997"). 4. Status as a spouse or child of a United States citizen pursuant to clause (i) of Section 204(a)(1)(A) of the INA [8 U.S.C. section 1154(a)(1)(A)] or classification pursuant to clause (i) of Section 204(a)(1)(B) of the INA [8 U.S.C. section 1154(a)(1)(B)(i)]. 5. Cancellation of removal pursuant to Section 240A(b)(2) of the INA (8 U.S.C. Section 1229(b)(2)). (D) For the period for which benefits are sought, the individual responsible for the battery or cruelty does not reside in the same household or family eligibility unit as the individual subjected to the battery or cruelty. (9) An alien who meets all of the conditions of subparagraphs (A), (B), (C), (D) and (E) below: (A) The alien has a child who has been battered or subjected to extreme cruelty in the United States by a spouse or a parent of the alien (without the active participation of the alien in the battery or cruelty), or by a member of the spouse's or parent's family residing in the same household as the alien, and the spouse or parent consented or acquiesced to such battery or cruelty. For purposes of this subsection, the term "battered or subjected to extreme cruelty" includes, but is not limited to being the victim of any act or threatened act of violence including any forceful detention, which results or threatens to result in physical or mental injury. Rape, molestation, incest (if the victim is a minor), or forced prostitution shall be considered as acts of violence. (B) The alien did not actively participate in such battery or cruelty. (C) There is a substantial connection between such battery or cruelty and the need for benefits to be provided in the opinion of the Division. For purposes of this subsection, the following circumstances demonstrate a substantial connection between the battery or cruelty and the need for the benefits to be provided: 1. The benefits are needed to enable the alien's child to become self-sufficient following separation from the abuser. 2. The benefits are needed to enable the alien's child to escape the abuser and/or the community in which the abuser lives, or to ensure the safety of the alien's child from the abuser. 3. The benefits are needed due to a loss of financial support resulting from the alien's child's separation from the abuser. 4. The benefits are needed because the battery or cruelty, separation from the abuser, or work absences or lower job performance resulting from the battery or extreme cruelty or from legal proceedings relating thereto (including resulting child support, child custody, and divorce actions) cause the alien's child to lose his or her job or to earn less or to require the alien's child to leave his or her job for safety reasons. 5. The benefits are needed because the alien's child requires medical attention or mental health counseling, or has become disabled, as a result of the battery or extreme cruelty. 6. The benefits are needed because the loss of a dwelling or source of income or fear of the abuser following separation from the abuser jeopardizes the alien's child's ability to care for his or her children (e.g., inability to house, feed, or clothe children or to put children into day care for fear of being found by the abuser). 7. The benefits are needed to alleviate nutritional risk or need resulting from the abuse or following separation from the abuser. 8. The benefits are needed to provide medical care during a pregnancy resulting from the abuser's sexual assault or abuse of, or relationship with, the alien's child and/or to care for any resulting children. 9. Where medical coverage and/or health care services are needed to replace medical coverage or health care services the alien's child had when living with the abuser. (D) The alien meets the requirements of subsection (c)(8)(C) above. (E) For the period for which benefits are sought, the individual responsible for the battery or cruelty does not reside in the same household or family eligibility unit as the individual subjected to the battery or cruelty. (10) An alien child who meets all of the conditions of subparagraphs (A), (B), and (C) below: (A) The alien child resides in the same household as a parent who has been battered or subjected to extreme cruelty in the United States by that parent's spouse or by a member of the spouse's family residing in the same household as the parent and the spouse consented or acquiesced to such battery or cruelty. For purposes of this subsection, the term "battered or subjected to extreme cruelty" includes, but is not limited to being the victim of any act or threatened act of violence including any forceful detention, which results or threatens to result in physical or mental injury. Rape, molestation, incest (if the victim is a minor), or forced prostitution shall be considered acts of violence. (B) There is a substantial connection between such battery or cruelty and the need for the benefits to be provided in the opinion of the Division. For purposes of this subsection, the following circumstances demonstrate a substantial connection between the battery or cruelty and the need for the benefits to be provided: 1. The benefits are needed to enable the alien child's parent to become self-sufficient following separation from the abuser. 2. The benefits are needed to enable the alien child's parent to escape the abuser and/or the community in which the abuser lives, or to ensure the safety of the alien child's parent from the abuser. 3. The benefits are needed due to a loss of financial support resulting from the alien child's parent's separation from the abuser. 4. The benefits are needed because the battery or cruelty, separation from the abuser, or work absences or lower job performance resulting from the battery or extreme cruelty or from legal proceedings relating thereto (including resulting child support, child custody, and divorce actions) cause the alien child's parent to lose his or her job or to earn less or to require the alien child's parent to leave his or her job for safety reasons. 5. The benefits are needed because the alien child's parent requires medical attention or mental health counseling, or has become disabled, as a result of the battery or extreme cruelty. 6. The benefits are needed because the loss of a dwelling or source of income or fear of the abuser following separation from the abuser jeopardizes the alien child's parent's ability to care for his or her children (e.g., inability to house, feed, or clothe children or to put children into a day care for fear of being found by the abuser). 7. The benefits are needed to alleviate nutritional risk or need resulting from the abuse or following separation from the abuser. 8. The benefits are needed to provide medical care during a pregnancy resulting from the abuser's sexual assault or abuse of, or relationship with the alien child's parent and/or to care for any resulting children. 9. Where medical coverage and/or health care services are needed to replace medical coverage or health care services the alien child's parent had when living with the abuser. (c) The alien child meets the requirements of Subsection (c)(8)(C). (d) For purposes of this section, "nonimmigrant" is defined the same as in Section 101(a)(15) of the INA [8 U.S.C. section 1101(a)(15)]. (e) For purposes of establishing eligibility for benefits, as described in subsection (b)(1)-(b)(6), all of the following must be met: (1) The applicant shall declare himself or herself to be a citizen of the United States or a qualified alien under subsection (c), a nonimmigrant alien under subsection (d), or an alien paroled into the United States for less than one year under Section 212(d)(5) of the INA [8 U.S.C. section 1182(d)(5)]. The applicant shall declare that status through use of the "Statement of Citizenship, Alienage, and Immigration Status for State Public Benefits," Cal/OSHA-W-1 issued on April 30, 1998, incorporated herein by reference. (2) The applicant shall present documents of a type acceptable to the Immigration and Naturalization Service (INS) which serve as reasonable evidence of the applicant's declared status. (3) The applicant shall complete and sign a Cal/OSHA-W-1 issued on April 30, 1998, incorporated herein by reference. (4) Where authorized by the INS, the documentation presented by an alien as reasonable evidence of the alien's declared immigration status must be submitted to the INS for verification through the Systematic Alien Verification for Entitlements (SAVE) system procedures as follows: (A) Unless the primary SAVE system is unavailable for use, the primary SAVE system verification shall be used to access the biographical/immigration status computer record contained in the Alien Status Verification Index maintained by the INS. Except as provided in the next paragraph [(subparagraph (B)], this procedure shall be used to verify the status of all aliens who claim to be qualified aliens and who present an INS-issued document that contains an alien registration or alien admission number. (B) In any of the following cases, the secondary SAVE system verification procedure shall be used to forward copies of original INS documents evidencing an alien's status as a qualified alien, as a nonimmigrant alien under the INA, or as an alien paroled into the United States under Section 212(d)(5) of the INS [8 U.S.C. section 1182(d)(5)], for less than one year: 1. The primary SAVE system is unavailable for verification. 2. A primary check of the Alien Status Verification Index instructs the Division to institute secondary verification. 3. The document presented indicates immigration status but does not include an alien registration or alien admission number. 4. The Alien Status Verification Index record includes the alien registration or admission number on the document presented by the alien but does not match other information contained in the document. 5. The document is suspected to be counterfeit or to have been altered. 6. The document includes an alien registration number in the "not yet issued" or "illegal border crossing" series, as defined by the INS. Note: The numbers used by the INS for each series are A60 000 000 and A80 000 000 respectively, as of the date of adoption of this regulation. 7. The document is a fee receipt from INS for replacement of a lost, stolen, or unreadable INS document. 8. The document is one of the following: an INS Form I-181b notification letter issued in connection with an INS Form I-181 Memorandum of Creation of Record of Permanent Residence; an Arrival-Departure Record (INS Form I-94); or a foreign passport stamped "PROCESSED FOR I-551, TEMPORARY EVIDENCE OF LAWFUL PERMANENT RESIDENCE" that INS issued more than one year before the date of application for a benefit described in subsection (b)(1)-(b)(6). (5) Where verification through the SAVE system is not available, if the documents presented do not on their face reasonably appear to be genuine or to relate to the individual presenting them, the government entity that originally issued the document shall be contacted for verification. With regard to naturalized citizens and derivative citizens presenting certificates of citizenship and aliens, the INS is the appropriate government entity to contact for verification. The Division shall request verification by the INS by filing INS Form G-845 with copies of the pertinent documents provided by the applicant with the local INS office. If the applicant has lost his or her original documents, or presents expired documents or is unable to present any documentation evidencing his or her immigration status, the applicant should be referred to the local INS office to obtain documentation. (6) If the INS advises that the applicant has citizenship status or immigration status which makes him or her a qualified alien, a nonimmigrant or alien paroled for less than one year under section 212(d)(5) of the INA, the INS verification shall be accepted. If the INS advises that it cannot verify that the applicant has citizenship status or an immigration status that makes him or her a qualified alien, or a nonimmigrant or an alien paroled for less than one year under section 212(d)(5) of the INA, benefits shall be denied and the applicant notified pursuant to subsection (h) or (i) of his or her rights to appeal the denial of benefits. (7) Provided that the alien has completed and signed form Cal/OSHA-W-1 issued on April 30, 1998, incorporated herein by reference, under penalty of perjury, eligibility for benefits for certification, license or registration, as found in subsection (b)(1)-(b)(6), shall not be delayed, denied, reduced or terminated while the status of the alien is verified. (f) Pursuant to Section 432(d) of the PRWORA (8 U.S.C. section 1642(d)), a nonprofit charitable organization that provides federal, state, or local public benefits shall not be required to determine, verify, or otherwise require proof of eligibility of any applicant or beneficiary with respect to his or her immigration status or alienage. (g) Pursuant to Section 434 of the PRWORA (8 U.S.C. section 1644), where the Division reasonably believes that an alien is unlawfully in the State based on the failure of the alien to provide reasonable evidence of the alien's declared status, after an opportunity to do so, said alien shall be reported to the Immigration and Naturalization Service. (h) Denial of Application. (1) The Division shall deny issuance of the benefit applied for if the applicant does not meet the requirements of this section. Upon denial of the benefit the Division shall promptly notify the applicant specifying the reason for the denial. (2) Any applicant denied certification, license or registration by the Division may appeal such denial to the Director. The Director shall hold a hearing at such place designated by the Director or his authorized designee for the convenience of the applicant within two working days of the applicant's appeal. The hearing shall be presided by the Director or his authorized designee. (3) Following the hearing, the Director shall issue a decision. The Director's decision shall be final except for any rehearing or judicial review provided for by law. All requests for rehearing shall be filed with the Director within 10 days from the date of the Director's decision. (i) Revocation or Suspension of Certification, License or Registration. (1) The Division may at any time, upon a showing of good cause and after notice and an opportunity to be heard, revoke or suspend any benefit issued pursuant to this section. (2) Notice shall be in writing and served upon the recipient of the benefit at least 24 hours in advance of the hearing. Service shall be by personal service or certified mail to the recipient of the benefit to the address as shown on the application form. The notice shall specify the reasons for the action taken by the Division in order that the recipient may prepare for the hearing. The Division shall also include within the notice of revocation or suspension specific conditions which must be met before the recipient of the benefit will be entitled to reapply for the benefit of this section. (3) The hearing shall be held as soon as possible at the Division's headquarters offices or at such other location as may be designated by the Director and shall be presided by the Chief of the Division or his authorized representative. (4) At the hearing the Division shall establish good cause for the action taken by it. Good cause is deemed to exist if the Division establishes that the recipient of the benefit has failed to comply with the requirements of this section. The recipient of the benefit may appeal such revocation or suspension to the Director in the same manner specified in subsection (h). The filing of an appeal shall not stay the revocation or suspension, and such action shall remain in effect until the benefit recipient provides proof that the requirements of this section have been met. Note: Authority cited: Sections 54, 55, 59 and 60.5, Labor Code. Reference: Sections 6501.5, 7375, 7990 and 7999, Labor Code; Section 7180, Business and Professions Code; and Sections 1621, 1641 and 1642, Title 8, United States Code. s 344.90. Impalement Protection. Specifications and Testing Criteria (See Construction Safety Orders, Title 8, CCR s 1712). (a) Scope: This section governs the testing of manufactured protective covers designed to prevent accidental impalement from exposed reinforcing steel (rebar) or other similar projections. (b) Effective Date: This section applies to all protective covers manufactured on or after October 1, 2000. (c) All manufactured protective covers used as protection against impalement for workers at grade or the same level as the projection shall: (1) Pass the drop test described in subsection (e) of this section, except that the drop height may be reduced to 7 1/2 ' . (2) Meet all other applicable requirements of section 1712 of this Code. (d) All manufactured protective covers used as protection against impalement for work performed at levels not to exceed 7 1/2 ' above grade shall: (1) Have a minimum of 4 " by 4 " square surface area, or if round, a minimum diameter of 4 1/2 " . Troughs shall be at least 4 " wide. (2) Pass the drop test specified in subsection (e) of this section. (3) Meet all other applicable requirements of section 1712 of this Code. (e) Manufactured protective covers shall be able to pass the following penetration tests, as verified by a person, firm, or entity with appropriate registered-engineering competence, or by a person, firm, or entity, independent of the manufacturer of the subject protective covers, with demonstrated competence in the field of such evaluation. (1) Protective covers for rebar shall be tested for penetration by dropping a 250-lb. bag of dry sand (less than 10% moisture by weight) onto the subject protective cover from a height of 10 ' . The 10 ' shall be measured from the bottom of the bag to the top of the protective cover. (A) The sandbag shall be generally round, and shall have a circumference of 36 " to 42 " . When filled with 250 lbs. of sand, the bag shall be tightly closed by use of crimping, drawstring, or twisting at the top level of the sand so that there is little extra room in the bag to allow the sand to shift. The bag shall be constructed and reinforced (as necessary) with material, which will not rupture or be penetrated by the protective cover for rebar. (B) The protective cover for rebar shall be installed over the sheared end of a piece of #4 rebar. The rebar shall be mounted on a support with 6 " of the rebar projecting vertically above the surface of the support. The support shall be of such height and width that it shall not interfere with the falling sandbag, and shall allow the full initial impact of the sandbag to be borne by the protective cover. (C) The drop test shall be repeated three times, using a new protective cover for each test. One drop test shall be performed with the protective cover sitting squarely on top of the rebar; the other two drop tests shall be performed with the protective cover sitting at the maximum angle out of square (out of level) that the protective cover will permit with its stabilizer vanes/fins removed. (2) Protective covers for projections or equipment other than rebar, (such as lighting rods,) shall be tested in the same manner as protective covers for rebar, except that protruding equipment which is normally installed with a protective cover as a single unit may be tested as a unit, using the equipment in lieu of the rebar. (3) Rebar troughs shall be tested for penetration by dropping a 250-lb bag of dry sand (less than 10% moisture by weight) onto the subject trough from a height of 10 ' . The 10 ' shall be measured from the bottom of the bag to the top of the protective cover. (A) The sandbag shall be generally round, and shall have a circumference of 36 " to 42 " . When filled with 250 lbs. of sand, the bag shall be tightly closed by use of crimping, drawstring, or twisting at the top level of the sand so that there is little extra room in the bag to allow the sand to shift. The bag shall be constructed and reinforced (as necessary) with material, which will not rupture or be penetrated by the protective cover for rebar. (B) The trough shall be installed over the sheared ends of three pieces of #4 rebar. The three pieces rebar shall be mounted in a straight line, 24 " apart, on a support with 6 " of each piece of rebar projecting vertically above the surface of the support. The trough shall be 72 " in length, and shall be centered over the three pieces of rebar so that 12 " of the trough extends beyond each of the outside pieces of rebar. (C) The drop test shall be repeated four times, using a new trough for each test. The sandbag shall be dropped: (i) once with the trough level and the sandbag centered over the middle piece of rebar; (ii) once with the trough level and the sandbag centered over one of the end pieces of rebar; (iii) once with the trough tilted (at the maximum angle allowed by the design) with the sandbag centered over the middle piece of rebar; (iv) once with the trough tilted (at the maximum angle allowed by the design) with the sandbag centered over one of the end pieces of rebar. (4) Other methods for penetration testing may be substituted for those set forth in this section where acceptable to the Division as being equally effective. (f) Each manufacturer, or other person or entity reselling or distributing manufactured protective covers, shall furnish the ultimate user of the protective cover with instructions regarding appropriate use of the protective covers. The instructions, written in English, shall include at least the following: (1) Instructions as to whether the protective cover is designed for use at grade or above grade. (2) A statement indicating the maximum height of fall that the cover is designed to protect against impalement, but not to exceed 7 1/2 ' . (3) Installation instructions. (4) Instructions regarding the inspection and/or use of damaged or defective protective covers. The effects, if any, of damaged stabilizer vanes/fins shall be included in this instruction. (5) Any other instructions deemed necessary by the manufacturer regarding the use of the protective covers. (g) Each employer whose employees use or work around or above protective covers shall inform its employees of the content of the manufacturer's instructions. Such information shall be provided to employees in a manner that allows them to understand the appropriate use of protective covers and the hazards associated with impalement. (h) Marking -Each protective cover shall be marked with the following information: (1) Model Number or Trademark. (2) California Approval Number as issued pursuant to Sections 1712 and 1505 of this Code. (3) Size(s) designation. Note: Authority cited: Sections 60.5 and 6308, Labor Code. Reference: Sections 60.5 and 6308, Labor Code. <<(Chapter Originally Printed 1-12-74)>> 8 CCR T. 8, Div. 1, Chap. 3.3, Refs & Annos, 8 CA ADC T. 8, Div. 1, Chap. 3.3, Refs & Annos s 345. Scope and Application of Rules. These rules of practice and procedure of the Occupational Safety and Health Appeals Board shall govern all appeals, contests, motions, hearings, petitions, and proceedings before the Appeals Board and an Administrative Law Judge of the Appeals Board, arising from actions by the Division of Occupational Safety and Health taken pursuant to Part 1 (commencing with Section 6300) of Division 5 of the Labor Code or Section 2950 of the Health and Safety Code, or for employers' cost recovery pursuant to Section 149.5 of the Labor Code. Note: Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Sections 148.7 and 149.5, Labor Code. s 346. Tenses, Gender and Number. Note: Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Sections 148.7 and 149.5, Labor Code. s 347. Definitions. For the purpose of these rules: (a) "Administrative Law Judge" means any person appointed by the Appeals Board pursuant to Labor Code Sections 6605 and 6607 as a hearing officer to conduct hearings and to decide matters within the jurisdiction of the Appeals Board; (b) "Affected Employee" means an employee of a cited employer who is exposed to the alleged hazard described in the citation as a result of assigned duties; (c) "Appeals Board" or "Board" means the Occupational Safety and Health Appeals Board, and includes the chairman and members of the Appeals Board, administrative law judges, and staff of the Appeals Board; (d) "Authorized Employee Representative" means a labor organization which has a collective bargaining relationship with the cited employer and which represents affected employees or an employee organization which has been formally acknowledged by a public agency as an employee organization that represents affected employees of the public agency; (e) "Declaration" means a certification in substantially the following form: (1) If executed within California: I declare under penalty of perjury that the foregoing is true and correct. Executed at _____________, California on __________________, (City) (Date) (Signature) _______________________________________________ (Typed or printed name) (2) If executed outside California: I declare under penalty of perjury under the laws of the State of California that the foregoing is true and correct. ________________ (Signature) _____________________________ (Date) (Typed or printed name) (f) "Division" means the Division of Occupational Safety and Health; (g) "Division Action" means any citation, notice, special order, order to take special action, notification of penalty, notification of failure to abate alleged violation and of additional civil penalty, or notification of failure to return a signed statement of abatement issued by the Division pursuant to Part 1 (commencing with Section 6300) of Division 5 of the Labor Code or Section 2950 of the Health and Safety Code, which by statute may be appealed to the Appeals Board; (h) "Docketed Appeal" means any completed appeal form which has been received by the Appeals Board and assigned a specific docket number; (i) "Employee" means every person who is required or directed by any employer, to engage in any employment, or to go to work or be at any time in any place of employment; (j) "Employee Appeal" means any appeal filed by an employee from the period allowed by the Division to abate the alleged violation; (k) "Employer" means the state and every state agency, each county, city, district, and all public and quasi-public corporations and public agencies therein, every person including any public service corporation, which has any natural person in service, and the legal representative of any deceased employer; ( l) "Hearing" means any hearing before the Appeals Board or an Administrative Law Judge set for the purpose of receiving evidence; (m) "Hearing Record" means the official record of evidence taken by electronic device in any proceeding before the Appeals Board; (n) "Intervenor" means a person, group of persons, trade association, legal foundation, or public or private interest group who has been granted leave to intervene in any proceeding; (o) "Memorandum of Items of Costs" means an itemization of costs claimed pursuant to Section 149.5 of the Labor Code; (p) "Obligor" means a person other than an employer who is obligated to an employer to repair any machine, device, apparatus, or equipment and to pay any penalties assessed against an employer; (q) "Participation Notice" means a notice informing affected employees of their right to participate in certain proceedings; (r) "Party" means a person who has made an appearance before the Appeals Board and been granted party status; (s) "Person" means an individual, firm, partnership, trust, estate, association, corporation, company, or other entity. (t) "Petition for Costs" means any claim for reasonable costs to be awarded by the Appeals Board pursuant to Section 149.5 of the Labor Code; (u) "Proceeding" means any adjudicatory action begun by the filing of an appeal and includes a hearing, prehearing conference, petition for costs, reconsideration, or any other act that may result in an order or decision of the Appeals Board; (v) "Representative" means a person authorized by a party or intervenor to represent that party or intervenor in a proceeding; (w) "Rule" means any section set forth in this chapter adopted by the Appeals Board; (x) "Working Days" means any day that is not a Saturday, Sunday or State-recognized holiday as provided in Government Code Sections 6700 and 6701. Note: Authority cited: Section 148.7, Labor Code. Reference: Section 2015.5, Code of Civil Procedure; Sections 148.7, 149.5, 6301, 6302, 6304, 6304.1 and 6305(b), Labor Code. s 347.1. Appendices. Note: Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Sections 148.7 and 149.5, Labor Code. s 348. Computation of Time. (a) In computing the time within which a right may be exercised or an act is to be performed, the first day shall be excluded and the last day shall be included. If the last day is not a working day, time shall be extended to the next working day. (b) Unless otherwise indicated by proof of service, if the envelope was properly addressed, the mailing date shall be presumed to be: (1) the postmark date appearing on the envelope if first-class postage was prepaid; or (2) the date of delivery to a common carrier promising overnight delivery as shown on the carrier's receipt. (c) Where service of any document, letter, application, request, motion, pleading, brief, decision, petition, answer, memorandum, response, or other writing is by mail, and if within a given number of days after such service, a right may be exercised, or an act is to be performed, the time within which such right may be exercised or act performed is extended five days if the place of address is within the State of California, and 10 days if the place of address is outside the State of California but within the United States. Such extension shall not apply to extend the time for filing an appeal. Note: Authority cited: Section 148.7, Labor Code. Reference: Section 1013(a), Code of Civil Procedure; and Sections 148.7 and 149.5, Labor Code. s 349. Late Filing. Note: Authority cited: Section 148.7, Labor Code. Reference: Sections 148.7, 149.5 and 6601, Labor Code. s 350. Administrative Law Judge's Oath. (a) Before entering upon judicial duties, each Administrative Law Judge shall take the following oath or affirmation and sign a written copy: "I do solemnly swear (or affirm) that I will faithfully and fairly hear and determine matters and issues referred to me, to make just findings and to report according to my understanding." (b) The oath of affirmation taken by an Administrative Law Judge shall apply to all subsequent official actions taken in that capacity and need not be repeated for each matter or proceeding. Note: Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Sections 148.7, 149.5 and 6607, Labor Code. s 350.1. Authority of Administrative Law Judges. (a) In any proceeding assigned for hearing and decision under the provisions of Labor Code Sections 6604 and 6605, an Administrative Law Judge shall have full power, jurisdiction and authority to hold a hearing and ascertain facts for the information of the Appeals Board, to hold a prehearing conference, to issue a subpoena and subpoena duces tecum for the attendance of a person and the production of testimony, books, documents, or other things, to compel the attendance of a person residing anywhere in the state, to certify official acts, to regulate the course of a hearing, to grant a withdrawal, disposition or amendment, to order a continuance, to approve a stipulation voluntarily entered into by the parties, to administer oaths and affirmations, to rule on objections, privileges, defenses, and the receipt of relevant and material evidence, to call and examine a party or witness and introduce into the hearing record documentary or other evidence, to request a party at any time to state the respective position or supporting theory concerning any fact or issue in the proceeding, to extend the submittal date of any proceeding, to hear and determine all issues of fact and law presented and to issue such interlocutory and final orders, findings, and decisions as may be necessary for the full adjudication of the matter. Final orders, findings, and decisions issued by an Administrative Law Judge shall be the orders, findings, and decisions of the Appeals Board unless reconsideration is granted. (b) In any proceeding which has been assigned for hearing and preparation of a proposed decision pursuant to Section 6604(b), an Administrative Law Judge shall have the same power, jurisdiction, and authority as set forth in subdivision (a) above except that a proposed decision shall be prepared in such form that it may be adopted by the Appeals Board as the decision in the matter. Note: Authority cited: Sections 148.7, 149.5, 6604 and 6605, Labor Code. Reference: Section 11182, Government Code; and Sections 148.7, 148.8, 149.5, 6604, 6605 and 6607, Labor Code. s 350.2. Authority of Executive Officer and Chief Counsel. The Executive Officer and the Chief Counsel shall have full power, jurisdiction and authority to issue a subpoena and subpoena duces tecum for the attendance of a person and the production of testimony, books, documents, or other things, to compel the attendance of a person residing anywhere in the State, to certify official acts, to grant a withdrawal, disposition or amendment, and to issue such other orders as may be necessary for the full adjudication of the matter. Final orders issued by the Executive Officer or the Chief Counsel shall be the orders of the Appeals Board unless reconsideration is granted. Note: Authority cited: Sections 148.7, 149.5 and 6604, Labor Code. Reference: Section 11182, Government Code; and Sections 148.7, 148.8, 149.5 and 6604, Labor Code. s 351. Records of the Appeals Board. (a) Except where public disclosure of information or exhibits is restricted by law, records of the Appeals Board are public records and are available at its Principal Office in Sacramento, California, for inspection and copying between 8:00 a.m. and 12:00 noon and between 1:00 p.m. and 4:00 p.m. on any working day. (b) Persons requesting copies of papers, records, or documents are encouraged to employ an independent copy service. However, the Appeals Board will copy and forward papers, records, or documents as its working conditions permit and upon payment of costs, fees, and applicable sales tax. (c) No costs or fees will be charged for records furnished to California State Agencies. (d) Payment of costs, fees, and sales tax must accompany the request by check or money order made payable to the Department of Industrial Relations. (e) Unless otherwise required, compliance by the Appeals Board with a subpoena duces tecum from a court of record, administrative board or commission, hearing officer or other body conducting a legal or administrative proceeding will be pursuant to Article 4 (commencing with Section 1560) of the Evidence Code. Note: Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Sections 148.7, 149.5, 6314(a) and 6322, Labor Code. s 352. Ex Parte Communication. (a) Except as provided in subsection (b), a person shall not communicate with Appeals Board Members or Administrative Law Judges of the Appeals Board regarding a proceeding. (b) The following communications are permitted: (1) Written communications, if copies of them are contemporaneously served by the communicator on all parties to a proceeding in accordance with Sections 355(c) and 355(e); (2) Oral communications, if advance notice of them is given by the communicator to all parties to a proceeding and adequate opportunity is afforded to all parties to participate in the communication; (3) Oral or written requests for information related solely to the procedure of the Appeals Board or status of a proceeding; (4) Oral or written communications which all the parties to a proceeding have agreed may be made on an ex parte basis; (5) Oral or written communications proposing settlement, or an agreement for disposition of any or all issues in a proceeding; and (6) Oral or written communications concerning a proceeding, if made more than 30 days after service by the Appeals Board of a final order or decision in that proceeding. Note: Authority cited: Section 148.7, Labor Code. Reference: Sections 148.7 and 149.5, Labor Code. s 353. Service, Notice and Posting. Note: Authority cited: Section 148.7 and 149.5, Labor Code. Reference: Sections 148.7, 149.5 and 6610, Labor Code. s 354. Party Status. (a) The Division is a party to all proceedings before the Appeals Board, whether or not the Division has appeared or participated in a proceeding. (b) An affected employee or authorized representative of an affected employee may move to participate as a party to a proceeding by filing a motion in accordance with Section 371. (c) Affected employees or authorized representatives of affected employees shall not participate as parties to employers' cost recovery proceedings pursuant to Section 149.5 of the Labor Code. (d) When an Employee Appeal is filed alleging the unreasonableness of the period allowed by the Division to abate an alleged violation, the employer charged with the responsibility of abating the violation is a party to the proceeding. (e) An obligor may move to participate as a party to a proceeding by filing a motion in accordance with Section 371. (f) When an obligor appeal is filed from actions taken by the Division, the employer charged may move to participate as a party at any time prior to the beginning of a hearing. (g) An obligor shall not participate as a party to employers' cost recovery proceedings pursuant to Section 149.5 of the Labor Code. (h) A person whose motion for party status has been granted by the Appeals Board becomes a party to the proceeding and is entitled to service of all documents and notices. Each party shall serve within 10 working days of the order granting party status, copies of all documents previously filed with the Appeals Board and not served on the new party. Service shall be in a manner as prescribed in Section 355(c) and proof of such service meeting the requirements of Section 355(e) shall be filed with the Appeals Board. Note: Authority cited: Sections 148.7 and 6603(a), Labor Code. Reference: Sections 148.7, 6319(b), 6600 and 6603(a), Labor Code. s 354.1. Intervention. (a) A person may move to participate as an intervenor in any proceeding by filing a motion in accordance with Section 371. Such participation shall be limited to the terms prescribed in the order of the Appeals Board. (b) The motion to intervene shall set forth the interest of the moving party in the proceeding and how that interest is similar to that of a party, how the participation of the moving party will assist in the determination of the issues before the Appeals Board, and that intervention will not unnecessarily delay the proceeding. (c) A person whose motion for intervention has been granted by the Appeals Board is entitled to service of all documents and notices to which parties are entitled and to participate in hearings and prehearing conferences to the extent consistent with the terms prescribed in the order of the Appeals Board granting intervention. An intervenor shall bear the costs of copying documents previously filed with the Appeals Board. Note: Authority cited: Section 148.7, Labor Code. Reference: Section 148.7, Labor Code. s 355. Proper Method of Service. (a) The Appeals Board shall maintain in each proceeding an official address record which shall contain the names and addresses of all parties and intervenors and their representatives, agents, or attorneys of record. Any change or substitution in such information must be communicated promptly in writing to the Appeals Board. (b) Service on a party or intervenor who has appeared through a representative shall be made upon such representative. (c) Unless otherwise required, service may be made by personal delivery or by depositing the document in a post office, mailbox or mail chute, or other like facility regularly maintained by the United States Postal Service, sealed, properly addressed, with first-class postage prepaid, by deposit with a carrier guaranteeing overnight delivery, or by facsimile ( "FAX") machine, as provided in subsections (h) and (i) below. (d) Service is complete at the time of personal delivery or mailing. (e) Proof of service shall be filed with the document and may be made by any of the following means: (1) Affidavit or declaration of service by personal delivery, mail, overnight courier or FAX; (2) Written statement endorsed upon the document served and signed by the party making the statement; or (3) Letter of transmittal. (f) Proof of service by the Appeals Board may be made by endorsement on the document served, setting forth the fact of service on the persons listed on the official address record on the date of service. The endorsement shall state whether such service was made personally, by mail, overnight courier or FAX, the date of service and the signature of the person making the service. (g) Where service is made by the posting of a document, citation, notice, order or decision, proof or certification of such posting shall be filed with the issuing office of the Division not later than the second working day following the posting. (h) The Appeals Board may serve documents on parties and parties may file documents with the Appeals Board and serve them on other parties by means of FAX under the following conditions: (1) The length of the document to be filed and/or served shall be no more than twelve (12) pages including cover page and attachments; (2) A cover sheet shall be attached containing the number of pages transmitted, the FAX number of the sender, the sender's telephone number, and the name of a contact person; (3) If a document is filed by FAX, all parties shall be served in the same manner or by guaranteed overnight delivery. The FAX transmission shall include a proof of service indicating the method of service on each party. (i) A document is considered received on the following working day if transmission begins later than 5:00 p.m. Pacific Time. Note: Authority cited: Section 148.7, Labor Code. Reference: Sections 148.7, 149.5 and 6610, Labor Code. s 355.1. Use of Facsimile Machines. Note: Authority cited: Section 148.7, Labor Code. Reference: Section 148.7, Labor Code. s 356. Notice to Employees of Appeal and Hearing. (a) The employer shall give notice of an appeal to its employees by posting the docketed Appeal Form, Participation Notice, and Notice of Hearing at or near the site of the alleged violation, positioned so as to be easily read by employees working in the area. If it is not practicable to post the document at or near the site of the alleged violation, the document may be posted in a conspicuous place where it will be readily observable by employees, or at a location to which employees report each day, or at a location from which employees operate to carry out their duties. The docketed Appeal Form, Participation Notice, and Notice of Hearing shall be posted immediately upon receipt from the Appeals Board and shall remain posted until the date of the hearing or receipt of an order disposing of the appeal. (b) Service of the docketed Appeal Form, Participation Notice, and Notice of Hearing is required, in addition to posting, under the following circumstances: (1) If affected employees are represented by an authorized employee representative, service in a manner prescribed in Section 355(c) shall be made upon the representative. (2) If an employee sustained a serious injury or illness, or was killed, as a result of an alleged violation that is being appealed, service in the manner prescribed in Section 355(c) shall be made upon the employee or the representative of the deceased employee. Note: Authority cited: Section 148.7, Labor Code. Reference: Section 6603(a), Labor Code. s 356.1. Form of Participation Notice. (a) The Participation Notice required by Section 356 shall be in the following form: "Your employer, (name of employer), has been cited by the California Division of Occupational Safety and Health for violation of an Occupational Safety and Health standard. The citation and/or civil penalty has been contested and will be the subject of a hearing before the Occupational Safety and Health Appeals Board. Affected employees are entitled to participate in this hearing as parties under terms and conditions established by the Occupational Safety and Health Appeals Board in its rules of practice and procedure by filing a motion for party status. The motion for party status shall be sent to the Occupational Safety and Health Appeals Board, at the Appeals Board's principal office in Sacramento, California, and shall be accompanied by a proof of service and shall indicate that it was served on the Division and Employer and any other parties as provided in Section 355. "All papers filed relative to this matter may be inspected at: (A place reasonably convenient to employees, preferably at or near work place.)" Where appropriate, the second sentence of the above notice will be deleted and the following sentence will be substituted: "The reasonableness of the period prescribed by the Division of Occupational Safety and Health for abatement of the violation has been contested and will be the subject of a hearing before the Occupational Safety and Health Appeals Board." (b) For a special order or an order to take special action, the first two sentences of the above notice will be deleted and the following sentences will be substituted: "Your employer, (name of employer), has been issued an order by the California Division of Occupational Safety and Health. The order has been contested and will be the subject of a hearing before the Occupational Safety and Health Appeals Board." (c) An employer shall file with the issuing office of the Division, not later than the second working day following the service or posting, proof or certification of service or posting of the docketed Appeal and Participation Notice. (d) This section and Section 356 do not apply to appeals from citations issued pursuant to Section 2950 of the Health and Safety Code. Note: Authority cited: Sections 148.7 and 6603(a), Labor Code. Reference: Sections 148.7, 6602 and 6603(a), Labor Code. s 356.2. Responsibility of Employee to Notify Employer and Other Employees of Proceeding. (a) When an Employee Appeal is filed by an employee, a copy of the docketed Employee Appeal shall be forwarded by the Appeals Board to the employer. (b) The employer shall post both a copy of the docketed Employee Appeal and a copy of the Participation Notice. Posting shall be in a manner as prescribed in Section 356(a). The form of the participation notice shall follow the format of section 356.1. (c) When an Employee Appeal is filed by an employee and there are other employees who are represented by an authorized employee representative, the employee shall, upon receipt of the docketed Employee Appeal and the statement by the Division required by Section 361(e) relating to the reasonableness of the abatement period, serve a copy of the Employee Appeal, the Participation Notice, and the statement on the authorized employee representative. Service shall be in a manner as prescribed in Section 355(c) and proof of such service meeting the requirements of Section 355(e) shall be filed with the Appeals Board. (d) An authorized employee representative who files an Employee Appeal shall serve a copy of the docketed Employee Appeal upon any other authorized employee representative whose members are affected employees. (e) Where posting is required by this rule, such posting shall be maintained until the commencement of the hearing or until earlier disposition of the proceeding. Note: Authority cited: Sections 148.7 and 6603(a), Labor Code. Reference: Sections 148.7 and 6603(a), Labor Code. s 359. Filing of Appeal - Date. (a) Except as provided in Section 361.1(b), an appeal shall be deemed filed on the date a communication indicating a desire to appeal the Division action is hand delivered, mailed to, or received by the Appeals Board in Sacramento, California, whichever is earlier. No particular format is necessary to institute the appeal. (b) The time for filing any appeal may be extended or a late filing permitted upon a written showing of good cause that contains sufficient facts to show or establish a reasonable basis for the late filing. (c) A request to file a late appeal shall be accompanied by a declaration containing a statement that any facts therein are based upon the personal knowledge of the declarant. Note: Authority cited: Section 148.7, Labor Code. Reference: Sections 148.7 and 6601, Labor Code. s 359.1. Appeal Form. (a) A completed appeal form shall be filed for each contested Division action. (b) If an appeal is initiated by other than an appeal form, a completed appeal form shall be filed with the Appeals Board within 10 days of acknowledgement by the Appeals Board of the desire to appeal. Failure to file a completed appeal form may result in dismissal of the appeal. (c) The Appeals Board shall furnish appeal forms upon request and shall provide them to the district offices of the Division. (d) Upon receipt of a timely completed appeal form, the Appeals Board shall assign a docket number and deliver or mail a copy of the docketed appeal to each party. Note: Authority cited: Section 148.7, Labor Code. Reference: Section 148.7, Labor Code. s 359.2. Issues on Appeal. Note: Authority cited: Section 148.7, Labor Code. Reference: Sections 148.7, 6317, 6319.5 and 6601, Labor Code. s 360. Stay of Abatement Period and Abatement Changes. Note: Authority cited: Section 148.7, Labor Code. Reference: Section 148.7, Labor Code. s 361. Employer Appeal. (a) An employer may appeal to the Appeals Board any Division citation or penalty for any ground set forth in Labor Code Section 6600. (b) An employer may appeal to the Appeals Board a special order or order to take special action for any ground set forth in Labor Code Section 6600.5. Note: Authority cited: Section 148.7, Labor Code. Reference: Sections 6319(b) and 6600-6602, Labor Code. s 361.1. Employee Appeal. (a) An employee or authorized employee's representative may, within 15 working days of the issuance of a citation, special order, or order to take special action, appeal to the Appeals Board the reasonableness of the period of time fixed by the Division for abatement. (b) An Employee Appeal may be filed with the Division or the Appeals Board. No particular format is necessary to institute the appeal, but the notice of appeal must be in writing. (c) If an Employee Appeal is filed with the Division, the Division shall note on the face of the document the date of receipt, include any envelope or other proof of the date of mailing, and promptly transmit the document to the Appeals Board. (d) The Division shall, no later than 10 working days from receipt of the Employee Appeal, file with the Appeals Board and serve on each party a clear and concise statement of the reasons why the abatement period prescribed by it is reasonable. Note: Authority cited: Sections 148.7 and 6603(a), Labor Code. Reference: Sections 148.7 and 6602, Labor Code. s 361.2. Appeal by Persons Obligated to Employer. (a) An obligor may appeal to the Appeals Board a citation alleging a violation involving any machine, device, apparatus, or equipment to which the obligation applies, for any ground set forth in Labor Code Section 6600. (b) An obligor may appeal to the Appeals Board a special order or order to take special action ordering changes to any machine, device, apparatus, or equipment to which the obligation applies, for any ground set forth in Labor Code Section 6600.5. Note: Authority cited: Section 148.7, Labor Code. Reference: Sections 148.7, 6319(b) and 6600-6602, Labor Code. s 361.3. Issues on Appeal. The issues on appeal shall be limited to those set forth in the Division action that is contested by a docketed appeal, subject to the following limitations: (a) If the Division action appealed from is a citation, the employer must specify on the appeal form which one or more of the following issues it is raising in its appeal; (1) The existence of the violation alleged in the underlying citation; (2) The classification of the violation; (3) The abatement period; (4) The reasonableness of the changes required by the Division to abate the violation; or (5) Only the reasonableness of the proposed penalty. If the appeal contests only the reasonableness of the proposed penalty, the issues on appeal shall be limited to the classification of the violation and the reasonableness of the proposed penalty, unless a timely motion pursuant to Section 371 is granted to amend the appeal to contest the existence of the violation, the abatement period, or the reasonableness of the changes required by the Division to abate the violation. (b) If a citation is classified as a repeat violation pursuant to Section 334(d), the earlier citation established by failure to appeal or the entry of a final disposition by the Appeals Board shall not be in issue and shall not be a docketed appeal. (c) If an employer files a timely appeal from a notification of failure to abate but did not file an appeal from the underlying citation, the existence of the alleged violation shall be an issue in the same hearing if the employer files a motion, in accordance with Section 371, demonstrating good cause for having not appealed the underlying citation. (d) If the Division amends a citation for the sole purpose of revoking an abatement credit, the employer may appeal the revocation within 15 working days from receipt of the amended citation. The amendment shall not give the Appeals Board jurisdiction over any other issue. Note: Authority cited: Section 148.7, Labor Code. Reference: Sections 148.7, 6317, 6319.5 and 6601, Labor Code. s 362. Stay of Abatement Period and Abatement Changes. Unless otherwise provided by statute, all abatement periods and changes required by the Division are stayed upon the filing of a docketed appeal with the Appeals Board and remain stayed until withdrawal of the appeal or a final disposition of the proceeding by the Appeals Board. Note: Authority cited: Section 148.7, Labor Code. Reference: Section 148.7, Labor Code. s 363. Consolidation and Severance. (a) The Appeals Board may consolidate for hearing and decision any number of proceedings involving the same employer. (b) Upon motion of a party or upon its own motion, the Appeals Board may consolidate for hearing and decision any number of proceedings involving different employers where the facts and circumstances are similar and consolidation will result in conservation of time and expense. Any party may object to consolidation in writing within 10 days of the date of service of the order of consolidation. (c) Consolidated proceedings may be severed by the Appeals Board for good cause. Note: Authority cited: Section 148.7, Labor Code. Reference: Section 148.7, Labor Code. s 364. Withdrawal of Appeal. (a) An appellant may withdraw an appeal by written notification at any time before a decision is issued or by oral motion on the hearing record. The Appeals Board shall grant such withdrawal by letter, order or decision served on the parties. (b) An appeal so dismissed shall be reinstated by the Appeals Board if the appellant files a written motion with sufficient facts to show that the withdrawal resulted from misinformation given by the Division or the Appeals Board, or from fraud or coercion. A motion for reinstatement must be filed within 60 days of service of the letter, order or decision or, in the event of fraud which could not have been suspected or discovered with the exercise of reasonable diligence, within 60 days of discovery of such fraud. The motion shall be accompanied by a declaration containing a statement that any facts therein are based upon the personal knowledge of the declarant. Note: Authority cited: Section 148.7, Labor Code. Reference: Section 148.7, Labor Code. s 364.1. Withdrawal of Division Action. (a) The Division may withdraw its action by written motion at any time or by oral motion on the hearing record. (b) If the motion is made prior to the hearing, the Division shall serve a copy of the motion to withdraw on each party and on any authorized employee representative if known to the Division to represent affected employees. Service shall be in a manner as prescribed in Section 355(c) and proof of such service meeting the requirements of Section 355(e) shall be filed with the Appeals Board. (c) Upon a showing of good cause, the Appeals Board shall grant such withdrawal by order or decision served on the parties. (d) The employer shall post for 15 working days a copy of the order or decision granting the withdrawal. Posting shall be in a manner as prescribed in Section 356(a). Note: Authority cited: Sections 148.7 and 6603(a), Labor Code. Reference: Sections 148.7 and 6614, Labor Code. s 364.2. Disposition of Appeal. (a) Upon a showing of good cause, the Appeals Board may dispose of the issues on appeal by granting a written motion of the parties made at any time or an oral motion of the parties made on the hearing record or in the prehearing conference. (b) The Division shall serve a copy of the disposition on any authorized employee representative if known to the Division to represent affected employees. Service shall be in a manner as prescribed in Section 355(c) and proof of such service meeting the requirements of Section 355(e) shall be filed with the Appeals Board. (c) The Appeals Board shall grant such disposition by order or decision served on the parties. (d) The employer shall post for 15 working days a copy of the order or decision and a copy of the disposition. Posting shall be in a manner as prescribed in Section 356(a). (e) An appeal hearing will be taken off calendar if a disposition is received by the Appeals Board's Sacramento office before 10:00 a.m. on the working day preceding the first day of the hearing. If the terms of the disposition are given orally, confirmation by both the employer and the Division is required. The Appeals Board may allow up to 30 days for submission in writing of such oral dispositions. Note: Authority cited: Sections 148.7 and 6603(a), Labor Code. Reference: Sections 148.7 and 6614, Labor Code. s 368. Amendment. Note: Authority cited: Sections 148.7 and 6603(a), Labor Code. Reference: Sections 11507 and 11516, Government Code; and Sections 148.7, 6317, 6319 and 6603(a), Labor Code. s 370. Application of Article. This article applies to all proceedings before the Appeals Board brought pursuant to Part 1 (commencing with Section 6300) of Division 5 of the Labor Code, Section 2950 of the Health and Safety Code and a petition for costs pursuant to Article 6 but not a proceeding under reconsideration pursuant to Article 5. Note: Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Sections 148.7 and 149.5, Labor Code. s 371. Prehearing Motions. (a) Any motion or request for action, any opposition thereto, and any reply relating to any proceeding shall be in writing and directed to the Appeals Board. The caption of each motion or request shall contain the title and docket or petition number of the proceeding and a clear and plain statement of the relief sought, together with the grounds therefor. (b) Any motion or request, any opposition thereto, and any reply shall be signed by the party filing or by the party's representative, and a copy shall be served on all parties. Service shall be in a manner as prescribed in Section 355(c) and proof of such service meeting the requirements of Section 355(e) shall be filed with the Appeals Board. (c) Unless otherwise ordered, the following dates shall apply to prehearing motions or requests: (1) A motion or request shall be served and filed no later than 20 days before the hearing date. (2) Any opposition to the motion shall be served and filed no later than 10 days from service of the motion or request. (3) Any reply papers shall be served and filed no later than 5 days before the hearing date. (d) A request to file a motion, opposition, or reply later than the times specified in (c) shall be granted if accompanied by a declaration showing good cause for the late filing. Note: Authority cited: Section 148.7, Labor Code. Reference: Sections 148.7 and 149.5, Labor Code. s 371.1. Motions Concerning Hearing Dates. (a) Continuances are disfavored. (b) A motion for a continuance shall be made in writing and shall be made promptly once the reason necessitating a continuance is ascertained. The motion shall be directed to the Appeals Board. Service shall be in a manner as prescribed in Section 355(c) and proof of such service meeting the requirements of Section 355(e) shall be filed with the Appeals Board. It shall contain: (1) The date(s) presently assigned for hearing and the date(s) to which continuance is sought; (2) Facts in support of the motion; and (3) An indication of whether the other parties to the appeal were contacted, and if so, their position on the motion. (c) Any opposition to a motion for continuance shall be filed with the Appeals Board at any time prior to a ruling on the motion. Service shall be in a manner as prescribed in Section 355(c) and proof of such service meeting the requirements of Section 355(e) shall be filed with the Appeals Board. (d) The motion shall be granted in the following circumstances: (1) An emergency arises, including, but not limited to, death or illness of a party, witness, or representative; or (2) Any other reason constituting good cause, if the motion is made no later than 15 days after service of the hearing notice. (e) The following circumstances shall not constitute good cause: (1) Failure to obtain representation, unless a substitution is required through no fault of the party. (2) Failure of another party to comply with a request for discovery, unless the Appeals Board orders a continuance of the hearing after a motion to compel discovery has been filed pursuant to Section 372.6. A continuance of the hearing may be ordered only if: (A) a motion to compel discovery was filed at a time which would not have foreseeably delayed the hearing, or good cause for such later filing is shown, and (B) the matters sought to be discovered are of sufficient importance to warrant a continuance of the hearing. Note: At-hearing sanctions for discovery abuses are specified in Section 372.7 of these regulations. (f) Once a motion for continuance has been ruled on by the Appeals Board, a motion for continuance based on the same grounds shall not be entertained at the hearing. Note: Authority cited: Section 148.7, Labor Code. Reference: Sections 148.7 and 149.5, Labor Code. s 371.2. Amendments Prior to Hearing. (a) Once an appeal is docketed by the Appeals Board, any proposed amendment of the citation or appeal shall be made in accordance with the procedures set forth in Section 371. An amendment by the Division that alleges a new violation may be permitted by the Appeals Board, but not after six months have elapsed since occurrence of the alleged violation. (b) Each party shall be given notice as provided in Section 371 of the intended amendment and an opportunity to prepare a response to an amendment which presents a new charge or defense. Any new charges or defenses shall be deemed controverted. Note: Authority cited: Section 148.7, Labor Code. Reference: Section 11507, Government Code; Sections 6317 and 6603(a), Labor Code. s 372. Identity of Witnesses. After initiation of a proceeding, a party, upon written request made to another party, is entitled to obtain prior to the hearing the names and addresses of witnesses to the extent known to the other party, including, but not limited to, those intended to be called to testify at the hearing. Nothing in this section requires the disclosure of the identity of a person who submitted a complaint regarding the unsafeness of an employment or place of employment unless that person requests otherwise. A request under this section for a list of witnesses to be called may be satisfied only by the service of a list of witnesses. Note: Authority cited: Sections 148.7, 149.5 and 6603(a), Labor Code. Reference: Section 11507.6, Government Code; and Sections 148.7, 149.5, 6309 and 6603(a), Labor Code. s 372.1. Access to Documents. After initiation of a proceeding and prior to the hearing, a party, upon written request made to another party, is entitled to inspect and make a copy of any of the following in the possession or custody or under the control of the other party: (a) Any statements of parties or witnesses relating to the subject matter of the proceeding; (b) All writings or things which the party then proposes to offer in evidence; (c) Any other writing or thing which is relevant and which would be admissible in evidence; (d) Inspection and investigative reports made by or on behalf of the Division or other party pertaining to the subject matter of the proceeding, to the extent that such reports (1) Contain the names and addresses of witnesses or of persons having personal knowledge of the acts, omissions or events which are the basis of the proceeding, or (2) Reflect matters perceived by the Division in the course of its inspection, investigation or survey, or (3) Contain or include by attachment any statement or writing described in (a) to (c), inclusive, or summary thereof. (e) For the purpose of this section, "statements" include written statements by the person, signed or otherwise authenticated, stenographic, mechanical, electrical or other recordings or transcripts thereof, of oral statements by the person, and written reports or summaries of such oral statements. (f) Nothing in this Section requires the disclosure of the identity of a person who submitted a complaint regarding an unsafe condition in an employment or place of employment unless that person requests otherwise. Nothing in this section authorizes the inspection or copying of any writing or thing which is privileged from disclosure by law or otherwise made confidential or protected as attorney's work product. (g) Parties shall arrange a mutually convenient time for inspecting and copying the writings or things within 30 days of service of the written request. Unless other arrangements are made, the party requesting the writings must pay for the copying. (h) Within 30 days of service of the written request, a party claiming that certain writings or things are privileged against disclosure shall serve on the requesting party a written statement setting forth what matters are claimed to be privileged and the reasons therefor. Note: Authority cited: Sections 148.7 and 6603(a), Labor Code. Reference: Section 11507.6, Government Code; and Sections 148.7, 149.5, 6309, 6322 and 6603(a), Labor Code. s 372.2. Subpoena and Subpoena Duces Tecum. (a) Before the hearing has commenced, the Appeals Board shall issue a subpoena and subpoena duces tecum at the request of a party for attendance of a person at a hearing and for production of a document or thing at the hearing or prehearing conference or at any reasonable time and place. After the hearing has commenced, the Appeals Board may, upon a showing of good cause by the requesting party, issue a subpoena or subpoena duces tecum. (b) Application for a subpoena duces tecum requires: (1) Compliance with the provisions of Section 1985 to 1985.4, inclusive, of the Code of Civil Procedure as a condition precedent to the issuance of a subpoena duces tecum; and that (2) The application for a subpoena duces tecum shall be in the form of an affidavit or declaration under penalty of perjury and shall show good cause for the production of the document or thing requested, specifying the exact document or thing desired to be produced, setting forth in full detail the materiality thereof to the issues involved in the proceeding, and stating that the witness has the desired document or thing in the possession or control of the witness. The application shall also state that if the personal attendance of the witness or other qualified custodian of the records is not required, compliance pursuant to Article 4 (commencing with Section 1560) of the Evidence Code will be permitted. (c) Any subpoena or subpoena duces tecum issued pursuant to subdivision (a) extends to all parts of the State. The provisions of Sections 1987 and 1988 of the Code of Civil Procedure are applicable to the service of a subpoena or a subpoena duces tecum. Service must be made so as to allow the witness a reasonable time for preparation and travel to the place of attendance. Service of a subpoena or subpoena duces tecum is made by delivering a copy to the witness together with a copy of the affidavit or declaration upon which the subpoena duces tecum is based, giving or offering at the same time, if demanded, the fees to which the witness is entitled for travel to and from the place designated. See Section 382 for amount of witness fees and mileage. Service shall be made by personal delivery or by certified mail return receipt requested or by messenger. (1) Service by personal delivery may be made by any person. (2) Service by messenger shall be effected when the witness acknowledges receipt of the subpoena to the sender, by telephone, by mail, or in person, and identifies himself or herself either by reference to date of birth and driver's license number or Department of Motor Vehicles identification number, or the sender may verify receipt of the subpoena by obtaining other identifying information from the recipient. The sender shall make a written notation of the acknowledgment. A subpoena issued and acknowledged pursuant to this section has the same force and effect as a subpoena personally served. Failure to comply with a subpoena issued and acknowledged pursuant to this section may be punished as a contempt and the subpoena may so state. (d) All witnesses appearing pursuant to subpoena, other than the parties or officers or employees of the State or any political subdivision thereof, shall receive fees, and all witnesses appearing pursuant to subpoena, except the parties, shall receive mileage in the same amount and under the same circumstances as prescribed by law for witnesses in civil actions in a superior court. Fees and mileage shall be paid by the party at whose request the witness is subpoenaed. See Section 382 for amount of witness fees and mileage. All reasonable costs, as defined at Section 1563(b)(1) of the Evidence Code, incurred by a witness not a party, with respect to the production of a business record pursuant to a subpoena duces tecum, shall be paid to the witness before being required to deliver the document. (e) No witness shall be obligated to attend unless the witness is a resident of the state at the time of service. (f) Upon timely motion of a party or witness, or upon its own motion, after notice to the parties and an opportunity to be heard, upon a showing of good cause, the Appeals Board may order the quashing of a subpoena or subpoena duces tecum entirely, may modify it, or may direct compliance with it upon other terms or conditions. In addition, the Appeals Board may make any other order as may be appropriate to protect a party or witness from unreasonable or oppressive demands. Note: Authority cited: Sections 148.7 and 6603(a), Labor Code. Reference: Sections 1985, 1987 and 1988, Code of Civil Procedure; Section 1563, Evidence Code; Sections 11181, 11184, 11450.10, 11450.20, 11450.30, 11450.40, 11450.50, 68093, 68097.1 and 68097.2, Government Code; and Sections 148.7, 148.8, 149.5 and 6603(a), Labor Code. s 372.3. Deposition. (a) The Appeals Board or a party to the proceeding may cause the deposition of a person to be taken. At the request of a party, the Appeals Board may issue a subpoena re deposition and subpoena duces tecum re deposition to compel the person to appear for deposition, and to produce books, documents, or other things. Compliance with the provisions of Section 1985 of the Code of Civil Procedure shall be a condition precedent to the issuance of a subpoena duces tecum re deposition. (b) When a person resides outside the state, the Appeals Board, if requested by a party to the proceeding, shall attempt, when possible, to have a like agency in the other state take the deposition. (c) A person who is subpoenaed and required to give a deposition is entitled to receive the same witness fees and mileage as if the subpoena required the person to attend and testify at the hearing. See Section 382 for amount of witness fees and mileage. (d) No person is obligated to attend at a place out of the county of residence unless the distance is less than 75 miles from the place of residence except that the Appeals Board, upon affidavit or declaration of a party showing good cause, may endorse on the subpoena re deposition an order requiring the attendance of such person. (e) Depositions shall be noticed, taken, filed, and used in the manner prescribed by Article 3 (commencing with Section 2016) of Chapter 3 of Title 3 of Part 4 of the Code of Civil Procedure. (f) Upon timely motion of a party or the person to be examined or notified to produce books, documents, or other things, or upon its own motion, after notice to the parties and an opportunity to be heard, upon a showing of good cause, the Appeals Board may order that the deposition not be taken, or that it may be taken only at some designated time or place other than stated in the notice of taking deposition or subpoena, or that the deposition may be taken outside the county of residence of the person to be examined and at a place more than 150 miles from the place of residence, or that certain matters shall not be inquired into, or that the scope of the examination shall be limited to certain matters, books, documents, or other things, or that the confidentiality of evidence described at Section 376.6(a) be appropriately protected. In addition, the Appeals Board may make any other order as may be appropriate to protect a party or person from unreasonable or oppressive demands. Note: Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Sections 1985, 1987.5 and 2016-2036, Code of Civil Procedure; Sections 11181, 11184, 68093, 68097.1 and 68097.2, Government Code; and Sections 148.7, 148.8, 149.5 and 6613, Labor Code. s 372.4. Evidence by Affidavit or Declaration. (a) At any time 10 or more days prior to a hearing or a continued hearing, a party may mail or deliver to the opposing party or parties a copy of any affidavit or declaration which the proponent proposes to introduce in evidence, together with a notice as provided in subdivision (b). Unless an opposing party, within 7 days after such mailing or delivery, mails or delivers to the proponent a request to cross-examine the affiant or declarant, the opposing party's right to cross-examine such affiant or declarant is waived and the affidavit or declaration, if introduced in evidence, shall be given the same effect as if the affiant or declarant had testified orally. If an opportunity to cross-examine an affiant or declarant is not afforded after request therefor is made as herein provided, the affidavit or declaration may be introduced in evidence, but shall be given only the same effect as other hearsay evidence. (b) The notice referred to in subdivision (a) shall be substantially in the following form: "The accompanying affidavit or declaration of (here insert name of affiant or declarant) will be introduced as evidence at the hearing in (here insert title and docket number or petition number of proceeding). (Here insert name) will not be called to testify orally and you will not be entitled to question the affiant or declarant unless you notify (name of the proponent, representative, agent or attorney) at (here insert address) that you wish to cross-examine the affiant or declarant. To be effective, your request must be mailed or delivered to (here insert name of proponent, representative, agent or attorney) on or before (here insert a date 7 days after the date of mailing or delivering the affidavit to the opposing party)." (c) Nothing in this section shall be construed to limit or restrict the use of affidavits pursuant to Labor Code Section 6611. Note: Authority cited: Sections 148.7, 149.5 and 6603(a), Labor Code. Reference: Section 11514, Government Code; and Sections 148.7, 149.5 and 6603(a), Labor Code. s 372.5. Judicial Enforcement. (a) If any witness refuses to attend or testify or produce any papers required by a subpoena issued by the Appeals Board, a party may file with the Appeals Board a petition for judicial enforcement. The petition shall be verified and shall set forth that due notice of the time and place of attendance of the person or the production of the papers has been given, that the person has been subpoenaed in the manner prescribed by law and these rules, and that the person has failed and refused to attend or produce the papers required by the subpoena in the cause or proceeding named in the subpoena, or has refused to answer the questions propounded in the course of the hearing or deposition. (b) If the Appeals Board determines that judicial enforcement is appropriate, it will petition the superior court in the county in which the hearing is pending for an order compelling the person to attend and testify or produce the papers pursuant to Government Code Sections 11186 through 11188, inclusive. Note: Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Sections 11186-11188, 11455.10 and 11455.20, Government Code; and Sections 148.7, 148.8, 149.5 and 6603, Labor Code. s 372.6. Proceeding to Compel Discovery. (a) A party claiming that its request for discovery pursuant to Sections 372 and 372.1 has not been complied with may serve and file with the Administrative Law Judge or the Appeals Board, if the Appeals Board is hearing the case, a motion to compel discovery naming as respondent the party refusing to comply. The motion shall comply with Section 11507.7 of the Government Code and shall state: (1) Facts showing that respondent refused or failed to comply with Section 372 or Section 372.1; (2) A description of the matters sought to be discovered; (3) The reason or reasons why such matter is discoverable under these rules; and (4) A reasonable and good faith attempt to contact the respondent for an informal resolution of the issue has been made; and (5) The ground or grounds of respondent's refusal so far as known. (b) The motion to compel discovery shall be served upon respondent and filed within 15 days after respondent first evidenced a refusal or failure to comply with Sections 372 and 372.1, or within 30 days after the discovery request was made and respondent has failed to reply to the request, or within another time stipulated by the parties with the approval of the Administrative Law Judge or the Appeals Board, whichever period is longer. The motion shall comply with Section 371(a) and (b). (c) The hearing on the motion to compel discovery shall be held within 15 days after the motion is made, or a later time that the Administrative Law Judge or the Appeals Board may, on its own motion for good cause determine. Respondent shall have the right to serve and file a written answer or other response to the motion before or at the time of hearing. The answer must comply with Section 371(a) and (b). The hearing may be conducted by telephone or other electronic means as provided in Government Code Section 11140.30. The parties may stipulate, with the approval of the Administrative Law Judge or the Appeals Board, to waive a hearing on the motion to compel discovery, provided that the stipulation provides a date by which respondent shall file its response and requires that the order on the motion shall issue within 30 days of the date the motion was filed. (d) Where the matter sought to be discovered is under the custody or control of respondent and respondent asserts that the matter is not a discoverable matter under the provisions of Section 372.1(a) through (d), or is privileged against disclosure under (f), the Administrative Law Judge or the Appeals Board may order that the matter be lodged with it and examined in accordance with the provisions of Subdivision (b) of Section 915 of the Evidence Code. The Administrative Law Judge or the Appeals Board shall decide the motion based upon the matters examined in camera, the papers filed by the parties, and such oral argument and additional evidence as the Administrative Law Judge or the Appeals Board may allow. (e) Unless otherwise stipulated by the parties with the approval of the Administrative Law Judge or the Appeals Board, the Administrative Law Judge or the Appeals Board shall, no later than 15 days after the hearing, issue a written order denying or granting the motion. The Administrative Law Judge or the Appeals Board shall promptly serve a copy of the order to each party or representative. Where the order grants the motion, in whole or in part, the order shall set forth the matters the moving party is entitled to discover under Sections 372 and 372.1. The order shall not become effective until 10 days after the date the order is served. Where the order denies the motion in its entirety, the order shall be effective on the date it is served. Note: Authority cited: Sections 148.7, 149.5 and 6603(a), Labor Code. Reference: Section 11507.7, Government Code; and Sections 148.7, 149.5 and 6603(a), Labor Code. s 372.7. Discovery Abuses. (a) The Administrative Law Judge or the Appeals Board may impose sanctions on a party who fails to respond to an authorized request for discovery or makes an evasive or incomplete response to discovery where such action results in surprise to the requesting party at the hearing. (b) Such sanctions may include: (1) An order prohibiting the introduction of designated matters into evidence by the abusing party; and/or (2) An order establishing designated facts, claims, or defenses against the abusing party in accordance with the claim of a party adversely affected. (3) Any other order as the Administrative Law Judge or the Appeals Board may deem appropriate under the circumstances. Note: Authority cited: Section 148.7, Labor Code. Reference: Section 148.7, Labor Code. s 373. Expedited Proceeding. Upon motion of a party or upon its own motion, the Appeals Board may order an expedited proceeding. All parties shall be notified and shall be expected to do all things necessary to complete the proceeding in the minimum time consistent with fairness. Time limits for filing a motion to compel discovery, and for responsive filings under Section 372.6 may be shortened as necessary to accommodate the expedited date for disposition of the case. Note: Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Sections 148.7 and 149.5, Labor Code. s 374. Prehearing Conference. (a) At any time before a hearing, upon motion of a party or upon its own motion, the Appeals Board may notice and order a prehearing conference for the purposes of simplifying the issues, expediting a hearing and affording parties an opportunity to participate in the disposition of the appeal. The prehearing conference may be conducted by means of a telephone conference call. (b) Each party to a prehearing conference shall be prepared to discuss the issues, stipulate to any factual or legal issue about which there is no dispute, stipulate to the identification and admissibility of documentary evidence, comply with any request for discovery, and to do such other things as may aid in the disposition of the proceeding. (c) The failure of a party or its representative to prepare for and participate in the prehearing conference shall be grounds for the imposition of such sanctions, inferences or other orders, then or during the hearing, as the Appeals Board may deem appropriate. These sanctions may include striking or excluding evidence offered by the non-complying party on that dispute, or precluding that party from contesting the position or information on that issue provided by the complying party. Note: Authority cited: Section 148.7, Labor Code. Reference: Sections 148.7 and 149.5, Labor Code. s 374.1. Prehearing Statement. At any time before a hearing, a party may file with the Appeals Board a statement of position or trial brief with respect to any issue to be decided. Note: Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Sections 148.7 and 149.5, Labor Code. s 374.3. Settlement Conference. The Appeals Board on its own motion, or upon written request of a party, may schedule a settlement conference to be held before an administrative law judge who shall not hear the appeal, unless otherwise stipulated by the parties. Each party shall attend or be represented by a person authorized to negotiate regarding settlement. The settlement conference may be conducted by means of a telephone conference call. Note: Authority cited: Section 148.7, Labor Code. Reference: Section 148.7, Labor Code. s 375. Application of Article. This article applies to all hearings before the Appeals Board, including a further hearing during reconsideration pursuant to Article 5 and a hearing on petition for costs pursuant to Article 6. Note: Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Sections 148.7 and 149.5, Labor Code. s 375.1. Assignment to Administrative Law Judge. (a) The Appeals Board may assign to an Administrative Law Judge for hearing and order or decision, or for hearing and proposed order or decision, or for hearing before the Appeals Board itself, any proceeding, any further hearing during reconsideration pursuant to Article 5, and hearing on petition for costs pursuant to Article 6. (b) The Appeals Board may assign to an Administrative Law Judge any other proceeding that requires a hearing and order or decision. (c) The Appeals Board may transfer to another Administrative Law Judge any proceeding if no oral testimony has been received. In the event proceedings have commenced and the assigned Administrative Law Judge is unable to complete the proceeding because of death, extended absence or disqualification, the Appeals Board may reassign such proceedings to another Administrative Law Judge who shall conduct a hearing de novo. The hearing de novo may be waived if all parties stipulate that the newly assigned Administrative Law Judge may review the hearing record and all of the evidence received, and that the hearing may proceed as if he had presided from the beginning. (d) The Appeals Board may assign a further hearing or supplemental proceedings to the Administrative Law Judge who heard the original proceeding. Note: Authority cited: Sections 148.7, 149.5, 6604 and 6605, Labor Code. Reference: Section 11182, Government Code; and Sections 148.7, 148.8, 149.5, 6604, 6605 and 6607, Labor Code. s 375.2. Objections to Particular Administrative Law Judge. (a) The name of the particular Administrative Law Judge assigned by the Appeals Board to a proceeding is available upon request at the time the proceeding is noticed for hearing. (b) A party wishing to object to the assignment of any proceeding to a particular Administrative Law Judge upon any one or more of the grounds specified in Government Code Section 11425.40 shall, at least 5 working days prior to the scheduled hearing, file with the Appeals Board or Administrative Law Judge a motion to disqualify the assigned Administrative Law Judge together with supporting affidavit or declaration. The hearing shall not begin until the Appeals Board has ruled on the motion. Note: Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Section 641, Code of Civil Procedure; and Sections 148.7, 149.5, and 6606, Labor Code. s 376. Time and Place of Hearing. (a) Appeals shall be heard promptly. (b) Appeals relating to a special order, order to take special action, the reasonableness of the abatement period and an expedited proceeding shall be given priority over other proceedings. (c) In cases being reviewed by the Bureau of Investigations, unless the employer submits a written request that its appeal go forward in the normal course, the Appeals Board shall delay the hearing until the conclusion of a review of the case by the Bureau of Investigations or for a period not exceeding 2 years, whichever occurs earlier. The period may be extended beyond 2 years at a party's request if necessary to allow the Bureau of Investigations to conclude its review of the case. (d) The Appeals Board shall set the place of the hearing at a location as near as practicable to the place of employment where the violation is alleged to have occurred. Note: Authority cited: Section 148.7, Labor Code. Reference: Sections 148.7, 149.5 and 6308(c), Labor Code. s 376.1. Conduct of Hearing. (a) Testimony shall be taken only on oath, affirmation, or penalty of perjury. (b) Each party shall have these rights: To call and examine witnesses; to introduce exhibits; to question opposing witnesses on any matter relevant to the issues even though that matter was not covered in the direct examinations; to impeach any witness regardless of which party first called the witness to testify; and to rebut any opposing evidence. If a party does not testify on his or her behalf, the party may be called and examined as if under cross-examination. (c) The Appeals Board may call and examine a party or witness and may, on its own motion, admit any relevant and material evidence. (d) The taking of evidence in a hearing shall be controlled by the Appeals Board in the manner best suited to ascertain the facts and safeguard the rights of the parties. Prior to taking evidence, the Appeals Board shall define the issues and explain the order in which evidence will be received. (e) Once a hearing has commenced and until a decision is issued, all motions or questions regarding the proceeding shall be referred to the assigned administrative law judge. If written, the motion shall be served in a manner as prescribed in Section 355(c) and proof of service meeting the requirements of Section 355(e) shall be filed with the Appeals Board. An opposing party may respond in the manner and within such time as the administrative law judge may direct. (f) Continuance requests shall be entertained at the hearing only in cases of: (1) unforeseen emergencies, including, but not limited to, death or illness of a party, witness, or representative, or (2) non-appearance of a subpoenaed witness whose testimony is material to the outcome of the proceeding. Note: Authority cited: Sections 148.7 and 6603(a), Labor Code. Reference: Section 11513, Government Code; and Sections 148.7, 149.5 and 6603(a), Labor Code. s 376.2. Evidence Rules. The hearing need not be conducted according to technical rules relating to evidence and witnesses. Any relevant evidence shall be admitted if it is the sort of evidence on which responsible persons are accustomed to rely in the conduct of serious affairs, regardless of the existence of any common law or statutory rule which might make improper the admission of such evidence over objection in civil actions. Hearsay evidence may be used for the purpose of supplementing or explaining other evidence but over timely objection shall not be sufficient in itself to support a finding unless it would be admissible over objection in civil actions. An objection to hearsay evidence is timely if made before submission of the case or raised in a petition for reconsideration. The rules of privilege shall be effective to the extent that they are otherwise required by statute to be recognized at the hearing and irrelevant evidence shall be excluded. The Appeals Board may exclude evidence if its probative value is substantially outweighed by the probability that its admission will necessitate undue consumption of time. Note: Authority cited: Sections 148.7, 149.5 and 6603(a), Labor Code. Reference: Section 11513, Government Code; and Sections 148.7, 149.5, 6603(a) and 6612, Labor Code. s 376.3. Official Notice. (a) In reaching a decision, official notice may be taken, either before or after submission of the proceeding for decision, of any generally accepted technical or scientific matter within the field of occupational safety and health, and determinations, rulings, orders, findings and decisions, required by law to be made by the Division, the Appeals Board or the Standards Board. (b) The Appeals Board shall take official notice of those matters set forth in Section 451 of the Evidence Code, including but not limited to: (1) The decisional, constitutional, and public statutory law of this State and of the United States and the provisions of any county or city charter; (2) The contents of each occupational safety and health standard and order or notice of the repeal of such standard and order; (3) The true signification of all English words and phrases and of all legal expressions; (4) Facts and propositions of generalized knowledge that are so universally known that they cannot reasonably be the subject of dispute. (c) The Appeals Board may take official notice of those matters set forth in Section 452 of the Evidence Code, including but not limited to: (1) Regulations and legislative enactments issued by or under the authority of the United States or any public entity in the United States; (2) Official acts of the legislative, executive, and judicial departments of the United States and of any state of the United States; (3) Records of any court of this state or any court of record of the United States or of any state of the United States; (4) Facts and propositions that are of such common knowledge within California that they cannot reasonably be the subject of dispute; (5) Facts and propositions that are not reasonably subject to dispute and are capable of immediate and accurate determination by resort to sources of reasonably indisputable accuracy. (d) Each party shall give notice of a request to take official notice and be given reasonable opportunity on request to present information relevant to (1) the propriety of taking official notice, and (2) the tenor of the matter to be noticed. Note: Authority cited: Sections 148.7, 149.5 and 6603(a), Labor Code. Reference: Sections 451, 452 and 455, Evidence Code; Section 11515, Government Code; Sections 148.7, 149.5 and 6603(a), Labor Code. s 376.4. Return of Exhibit. (a) During the pendency of any proceeding, no exhibit filed or received in evidence shall be released into the custody of a party or representative except upon stipulation of all parties or upon order of the Appeals Board. (b) At any time after a proceeding becomes final, the Appeals Board may, upon request or on its own motion, with or without notice, return to the owner or proponent, all exhibits of a physical, mechanical, or demonstrative character, unless the parties stipulate to some other disposition. The owner or proponent shall bear the cost of return of the exhibit. Note: Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Sections 148.7 and 149.5, Labor Code. s 376.5. Interpreters. (a) The hearing and prehearing conference shall be conducted in the English language. The Appeals Board shall notify each party of the right to an interpreter at the time they are notified of the date of the prehearing conference and of the hearing date. (b) A party who does not proficiently speak or understand the English language or who requests an interpreter shall be provided, during the hearing or prehearing conference, an interpreter approved by the Appeals Board. A request for an interpreter shall be made to the Appeals Board no later than 10 working days prior to the date the interpreter is needed. The cost of providing the interpreter for a party shall be paid by the party requesting the interpreter unless the Appeals Board directs that the Appeals Board shall pay the cost of providing the interpreter due to financial hardship of the requesting party. (c) If a party's witness does not proficiently speak or understand the English language, the terms and conditions set forth in subsection (b) shall apply. The party presenting the witness may request the Appeals Board to provide an interpreter under those terms and conditions. The cost of providing the interpreter for a witness shall be paid by the party presenting the witness unless the Appeals Board directs that the Appeals Board shall pay the cost of providing the interpreter due to financial hardship of that party. (d) Language assistance for a party or a party's witness includes oral interpretation or written translation of a language other than English into English or of English into another language, and provision of sign interpreters for deaf or hard-of-hearing parties or persons. (e) A person whose name appears on the list of interpreters known to be proficient in various languages published by the State Personnel Board shall be eligible to be examined by the Appeals Board relating to terminology and procedures generally used in hearings before the Appeals Board. (f) In the event that interpreters on the approved list cannot be present at the hearing or the prehearing conference, or if there is no interpreter on the approved list for a particular language, the Appeals Board may qualify and appoint other interpreters. (g) Before appointment of an interpreter, the Appeals Board or a party may conduct a brief supplemental examination of the prospective interpreter to see if the person has the qualifications necessary to serve as an interpreter in the hearing or prehearing conference and to see if the person understands terms and procedures generally used in hearings and prehearing conferences before the Appeals Board, can explain these terms and procedures in English and the other language being used, and can interpret these terms and procedures into the other language. An interpreter shall not have had any involvement in the issues of the proceeding prior to the hearing or prehearing conference, and shall disclose to the Appeals Board and to all parties any actual or apparent conflict of interest. Any condition that interferes with the objectivity of an interpreter constitutes a conflict of interest. A conflict may exist if an interpreter is acquainted with or related to a party or witness to the proceeding or if an interpreter has an interest in the outcome of the proceeding. (h) The Appeals Board shall disqualify an interpreter if the interpreter cannot understand and interpret the terms and procedures used in the hearing or prehearing conference, has engaged in conduct creating the appearance of bias, prejudice, or partiality, or has disclosed privileged or confidential communications. Note: Authority cited: Sections 148.7 and 6603(a), Labor Code. Reference: Sections 11435.15, 11435.20, 11435.25, 11435.30(a), 11435.55(a), 11435.60 and 11435.65, Government Code; and Sections 148.7, 149.5 and 6603(a), Labor Code. s 376.6. Confidential Evidence. (a) Any exhibit which contains or which might reveal a trade secret referred to in Section 1905 of Title 18 of the United States Code, information that is confidential pursuant to Chapter 3.5 (commencing with Section 6250) of Division 7 of Title 1 of the Government Code, or photographs taken by the Division during the course of any inspection or investigation, shall be considered confidential. (b) The Appeals Board shall issue such orders as may be appropriate to protect the confidentiality of trade secrets or other such confidential information. (c) If testimony is taken which would reveal the substance of trade secrets or other such confidential information, the Appeals Board may exclude from the hearing room any person or witness; but a party to the proceeding, the party's representative, and the inspector or investigator for the Division and the Division's representative shall not be excluded. Note: Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Sections 148.7, 149.5, 6314(a) and 6322, Labor Code. s 376.7. Hearing Record. The Appeals Board shall make the official record for hearings. The record shall be made by means of an electronic device or by a court reporter. A party desiring the presence of a court reporter must make its own arrangements. Note: Authority cited: Section 148.7, Labor Code. Reference: Sections 6608, 6620, 6621 and 6629, Labor Code. s 377. Continuance of Hearing. Note: Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Sections 148.7 and 149.5, Labor Code. s 378. Representation at Hearing. (a) A party may appear in person or through a representative who is not required to be an attorney at law. (b) A representative of a party shall be deemed to control all matters respecting the interest of such party in the proceeding. (c) An employee who is represented by an authorized employee representative may appear through such authorized employee representative. (d) A representative may withdraw an appearance by filing a written notice of withdrawal with the Appeals Board and by serving a copy on all parties. Service shall be in a manner as prescribed in Section 353(e) and proof of such service shall be filed with the Appeals Board. Note: Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Sections 148.7 and 149.5, Labor Code. s 379. Exclusion of Witnesses. Upon motion of a party, the Appeals Board may exclude from the hearing room any witnesses not at the time under examination; but a party to the proceeding, the party's representative, and the inspector or investigator for the Division and the Division's representative shall not be excluded. Note: Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Sections 148.7 and 149.5, Labor Code. s 380. Briefs. A motion for leave to submit a written post-hearing brief shall be made prior to the close of the hearing and shall be granted in the discretion of the Administrative Law Judge or the Appeals Board upon a determination that the brief will be productive and will not unreasonably delay the disposition of the proceeding. A party shall file its brief within 15 working days from the date of the hearing. Opposing parties may file an answer within 10 working days from service of the brief. The Administrative Law Judge or the Appeals Board, upon a showing of good cause, may extend or reduce the above filing dates for submission of a brief. Service on a party shall be in a manner as prescribed in Section 355(c) and proof of such service meeting the requirements of Section 355(e) shall be filed with the Administrative Law Judge or the Appeals Board. An original brief shall be filed with the Appeals Board in Sacramento, with a copy provided to the administrative law judge assigned to the hearing. Note: Authority cited: Section 148.7, Labor Code. Reference: Sections 148.7 and 149.5, Labor Code. s 381. Contempt; Bad Faith Actions and Tactics. (a) If any person in proceedings before the Appeals Board disobeys or resists any lawful order or refuses, without substantial justification, to respond to a subpoena, subpoena duces tecum, or refuses to take the oath or affirmation as a witness or thereafter refuses to be examined, or is guilty of misconduct during a hearing or so near the place thereof as to obstruct the proceedings, the Administrative Law Judge or the Appeals Board may, on its own motion or the motion of a party: (1) Certify the facts to the Superior Court in and for the county where the proceedings are held for contempt proceedings pursuant to Government Code Section 11455.20; (2) Exclude the person from the hearing room; (3) Prohibit the person from testifying or introducing designated matters in evidence; (4) Establish designated facts, claims, or defenses if the person is a party; (5) Grant the appeal without further proceedings if the person is a representative of the Division; or (6) Dismiss the appeal without further proceedings if the person is the Employer or a representative of the Employer. (b) If, after the docketing of an appeal and before submission of the appeal proceeding as provided in section 385, a party, representative or both engage in bad-faith actions or tactics that are frivolous or solely intended to cause unnecessary delay, the Administrative Law Judge or the Appeals Board may order that party, representative or both to pay any reasonable expenses, including attorney's fees, incurred by another party as a result of those bad faith actions or tactics. (1) "Frivolous" means totally and completely without merit or for the sole purpose of harassing an opposing party. (c) For purposes of subsection (b), before an order for reasonable costs is issued, a noticed hearing will be scheduled. An order to show cause will be issued stating the date, time, and place of the hearing at which all parties will have an opportunity to be heard as to whether or not reasonable costs should be ordered. (d) A decision ordering or denying the payment of reasonable expenses incurred shall be in writing and comply with the provisions of Section 385. A decision ordering a party to pay reasonable expenses incurred by another party shall state in detail the conduct or circumstances justifying the order. A decision by an Administrative Law Judge under this section shall be subject to review by a petition for reconsideration under Article 5 of the Appeals Board's regulations. A final decision, as defined in Section 396(c), is enforceable as provided in Section 11455.30 of the Government Code. Note: Authority cited: Sections 148.7 and 6603, Labor Code. Reference: Sections 11186-11188, 11455.10, 11455.20 and 11455.30, Government Code; and Sections 148.7, 148.8, 149.5 and 6603, Labor Code. s 382. Witness Fees. (a) Witnesses subpoenaed for any deposition or hearing are entitled to the following fees and mileage, payable in advance: (1) Witness fee for each day's actual attendance of thirty-five dollars ($35); (2) Mileage actually traveled, both ways, of twenty cents ($.20) a mile; (b) A party who subpoenas a peace officer as listed at Government Code Section 68097.1 shall reimburse the public entity for the full cost to the public entity incurred in paying the officer his salary or other compensation and traveling expenses for each day that such officer is required to remain in attendance. The amount of one hundred and fifty dollars ($150), together with the subpoena, shall be tendered to the person accepting the subpoena for each day that the officer is required to remain in attendance pursuant to the subpoena. If the actual expenses should later prove to be less than the amount tendered, the difference shall be refunded; or if the actual expenses should later prove to be more than the amount tendered, the difference shall be paid to the public entity by the party at whose request the subpoena was issued. Note: Authority cited: Sections 148.7, 149.5 and 6603(a), Labor Code. Reference: Sections 11191, 11450.40, 68093, 68097.1 and 68097.2, Government Code; and Sections 148.7, 148.8, 149.5 and 6603(a), Labor Code. s 383. Failure to Appear. (a) If after service of a notice of hearing, notice of consolidated hearing, or continuance, a party fails to appear at a hearing either in person or by representative, the Appeals Board may take the proceeding off calendar; may, after notice, dismiss the proceeding; or may receive evidence from any party that appears. (b) Any proceeding may be reinstated by the Appeals Board if the non-appearing party files a written motion, no later than ten (10) days after receipt of notification of intent to dismiss, that contains sufficient facts to establish a reasonable basis for the failure to appear at the hearing. A party opposing the reinstatement of any proceeding may file a response no later than ten (10) days from service of the reinstatement request. The motion and response shall be accompanied by a declaration containing a statement that any facts therein are based upon the personal knowledge of the delcarant. Service shall be in a manner as prescribed in Section 355(c) and proof of such service meeting the requirements of Section 355(e) shall be filed with the Appeals Board. Note: Authority cited: Section 148.7, Labor Code. Reference: Sections 148.7, 149.5 and 6611, Labor Code. s 384. Proposed Decisions; Action on by Appeals Board. (a) If a proceeding is referred to an Administrative Law Judge for hearing and preparation of a proposed order or decision pursuant to Labor Code Section 6604(b), the judge shall prepare a proposed order or decision in such form that it may be adopted as the order or decision in the case. A copy of the proposed order or decision shall be a public record. The Appeals Board may confirm, adopt, modify or set aside the proposed order or decision of the Administrative Law Judge and may, with or without further proceedings and with or without notice, enter its order, findings, or decision based upon the record in the case. Whenever the Appeals Board determines that additional evidence is necessary, it may take additional evidence in the case, or it may reassign the case to the same or to another Administrative Law Judge to take additional evidence. If the case is so reassigned to an Administrative Law Judge, the judge shall prepare a proposed order or decision. (b) The Appeals Board shall take action on a proposed order or decision as described in subsection (a) above within 30 days after the case is submitted. Note: Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Sections 148.7, 149.5, 6604(b), 6608 and 6609, Labor Code. s 385. Decisions. (a) Unless otherwise ordered, all proceedings shall be submitted at the close of the hearing. The Appeals Board or Administrative Law Judge may extend the submission date and shall, within 30 days after the proceeding is submitted, summarize the evidence received and relied upon, make findings upon all facts involved in the appeal, and file an order or decision with the reasons or grounds upon which the order or decision was made. (b) The order or decision shall be in writing, signed and dated by the Administrative Law Judge or the members of the Appeals Board deciding the proceeding. (c) A copy of the order or decision shall be served on each party or representative together with a statement informing the parties of their right to petition the Appeals Board for reconsideration of the order or decision within 30 days of service of the order or decision. Note: Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Sections 148.7, 149.5, 6608 and 6609, Labor Code. s 386. Post-Submission Amendments. (a) The Appeals Board may amend the issues on appeal or the Division action after a proceeding is submitted for decision in order to: (1) Correct a clerical error; (2) Address an issue litigated by the parties; (3) Amend the section number cited in the citation if the same set of facts apply to both the cited and proposed sections; or (4) Amend any part of the Division action to conform it to a statutory requirement. (b) Each party shall be given notice of the intended amendment and the opportunity to show that the party will be prejudiced thereby. If such prejudice is shown, the amendment shall not be made . Note: Authority cited: Section 148.7, Labor Code. Reference: Section 6603(a), Labor Code; Section 11516, Government Code. s 389. Application of Article. This article applies to all petitions for reconsideration, all orders of reconsideration on the Appeals Board's own motion, all answers in response, if any, and the taking of additional evidence by further hearing. Note: Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Sections 148.7 and 149.5, Labor Code. s 390. Filing of Petition and Answer. (a) A party aggrieved by an order or decision may, within 30 days of service of such order or decision, petition the Appeals Board for reconsideration with respect to any matters determined or covered by the order or decision. The petition for reconsideration shall be filed at the Appeals Board in Sacramento, California, and shall be deemed filed on the date it is delivered or mailed to the Appeals Board. (b) A party may, within 30 days of service of any petition for reconsideration, file an answer with the Appeals Board. (c) Any petition for reconsideration and answer shall be signed by the party filing or by his representative and, except for those agencies listed at Section 446 of the Code of Civil Procedure, verified upon oath. Note: Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Section 446, Code of Civil Procedure; Sections 148.7, 149.5, 661(a), 6616 and 6619, Labor Code. s 390.1. Reconsideration: General. (a) The petition for reconsideration shall be based upon one or more of the following grounds: (1) That by the order or decision the Appeals Board acted without or in excess of its powers; (2) That the order or decision was procured by fraud; (3) That the evidence received by the Appeals Board does not justify the findings of fact; (4) That petitioner has discovered new material evidence which the petitioner could not, with reasonable diligence, have discovered and produced at the hearing; (5) That the findings of fact do not support the order or decision. (b) Upon reconsideration, the Appeals Board may: (1) Affirm, rescind, alter, or amend the findings, order or decision, or (2) Request oral argument, the filing of briefs and amicus curiae (amicus) briefs, or other proceedings not involving the taking of additional evidence. (3) Direct the taking of additional evidence either by submission or by further hearing as provided in Sections 393 and 394. (c) If the Appeals Board is satisfied that no additional evidence is necessary, after considering the record, with or without further proceedings, it may enter its order, findings, or decision after reconsideration. Note: Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Sections 148.7, 149.5, 6617, 6620 and 6621, Labor Code. s 390.2. Appeals Board Reconsideration on Its Own Motion. (a) At any time within 30 days of the filing of any order or decision, the Appeals Board may, on its own motion, order reconsideration with respect to any matters determined or covered by the order or decision. The Appeals Board shall notify the parties if it orders reconsideration. (b) A party may, within 30 days of service of any order of reconsideration, file an answer with the Appeals Board. (c) Any answer shall be signed by the party filing or by the representative and, except for those agencies listed at Section 446 of the Code of Civil Procedure, verified upon oath. Note: Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Section 446, Code of Civil Procedure; Sections 148.7, 149.5, 6614(b) and 6619, Labor Code. s 390.3. Final Order or Decision. (a) If within 30 days of the filing of an order or decision no petition for reconsideration has been filed, and no reconsideration has been ordered on the Appeals Board's own motion, the order or decision is a final order of the Appeals Board and not subject to review by any court or agency. (b) Any petition for reconsideration shall be deemed to have been denied by the Appeals Board if it is not acted upon within 45 days of service and the order or decision is a final order of the Appeals Board and not subject to review by any court or agency. The Appeals Board may, however, upon a showing of good cause, extend the time within which it may act upon the petition for a period not exceeding 15 days. Note: Authority cited: Section 148.7, Labor Code. Reference: Sections 148.7, 149.5, 6615 and 6624, Labor Code. s 390.9. Suspension of Order or Decision. The Appeals Board may stay, suspend or postpone the order or decision pending an order, findings, or decision after reconsideration. Note: Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Sections 148.7, 149.5 and 6625, Labor Code. s 391. Format of Petition for Reconsideration. A petition for reconsideration shall set forth specifically and in full detail the grounds upon which the petitioner considers the order or decision to be unjust or unlawful, and every issue to be considered by the Appeals Board on reconsideration. Any objection or issue not raised in the petition for reconsideration is deemed waived by the petitioner. The petition for reconsideration will be denied if it contains no more than allegations of the statutory grounds for reconsideration, unsupported by specific references to the record and principles of law involved. Note: Authority cited: Section 148.7, Labor Code. Reference: Sections 148.7, 149.5 and 6618, Labor Code. s 391.1. Filing of Petition for Reconsideration - Date. (a) A petition meeting all requirements of these regulations and the Labor Code shall be deemed filed on the date indicated on the proof of service. If there is no proof of service, the date of filing shall be the date of hand delivery to the Sacramento Office of the Appeals Board or the mailing date. (b) A petition that is not properly verified upon oath and/or not accompanied by a proof of service shall be considered filed in accordance with subsection (a) if the petitioner perfects the petition by filing the verification and/or proof of service within five days of the date of service of a letter from the Appeals Board noting the omission(s). (c) Failure to perfect a petition in accordance with Subsection (b) shall result in the dismissal of the petition. Note: Authority cited: Section 148.7, Labor Code. Reference: Sections 6614, 6615, 6620, 6624, and 6625, Labor Code. s 392. Proof of Service. A petition for reconsideration, supplemental petition, answer, and supplemental answer shall be served on all parties who have been joined in the proceeding at the time of filing. Service shall be in a manner as prescribed in Section 355(c) and proof of such service meeting the requirements of Section 355(e) shall be filed with the Appeals Board. Note: Authority cited: Section 148.7, Labor Code. Reference: Sections 148.7, 149.5, and 6619, Labor Code. s 392.3. Motion to File Supplemental Petition or Answer. (a) If a petition for reconsideration has been timely filed, a motion to file a supplemental petition may be granted at the discretion of the Appeals Board. If the motion is granted, the Appeals Board shall include in the order the date by which the supplemental petition must be received. (b) An opposing party may file an answer to a supplemental petition no later than 30 days from the service of the supplemental petition, regardless of whether an initial answer was filed. Note: Authority cited: Section 148.7, Labor Code. Reference: Sections 148.7 and 6620, Labor Code. s 392.5. Availability of Hearing Tapes. (a) The Appeals Board shall promptly mail a copy of the hearing tape(s) to any requesting party upon receipt of a written request. The request may be made in person, by mail, or by facsimile. (b) A party may request that the tape(s) be sent via overnight delivery. (c) The requesting party shall bear the cost of reproduction and postage. Note: Authority cited: Section 148.7, Labor Code. Reference: Sections 149.5, 6621 and 6629, Labor Code. s 393. Oral Argument on Reconsideration; Amicus Curiae Briefs; Taking of Additional Evidence by Submission. (a) The Appeals Board may, at the request of a party or on its own motion, hear oral argument before the Board. The Appeals Board need not grant oral argument in any case, but may request argument in cases in which, in its judgment, oral argument may be helpful in deciding issues important to the administration of Division 5 of the Labor Code. Oral argument shall not be ordered if either the Division or the employer notifies the Appeals Board in writing that it declines to participate within 10 days of the issuance of the request for oral argument. (b) The Appeals Board may designate specific issues to be addressed. The Appeals Board shall, within a reasonable time before the oral argument is to take place, notify all parties and intervenors of the date, time, and place for which oral argument has been set and the issues to be heard. (c) The Appeals Board may request the filing of briefs either before or after oral argument by issuance of an order in writing, or at oral argument may order the filing of briefs on the record of the oral argument. (d) Should either party fail to appear for oral argument, the party present may be allowed to proceed with its argument. (e) A brief of an amicus curiae (amicus) may be filed only by leave of the Appeals Board. The brief shall be filed within the time allowed for the filing of the answer or brief of the party whose position the amicus will support unless the Board grants leave for filing at a later date specified by the order of the Appeals Board. Unless otherwise ordered, an amicus may not file a responding brief. (f) An amicus will not be permitted to participate in oral argument without leave of the Appeals Board. An amicus may move no later than 10 days before oral argument is scheduled to participate in oral argument. Its motion shall identify its interest and state the reasons its participation would be helpful. Any opposition to the motion of an amicus to participate in oral argument shall be filed and served no later than 5 days before the date of oral argument. (g) When reconsideration has been granted, either by petition or on the Appeals Board's own motion, the Appeals Board may request that additional evidence be submitted. Notice and an opportunity to respond to the request shall be given to all parties. Note: Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Sections 148.7, 149.5 and 6620, Labor Code. s 394. Taking of Additional Evidence by Further Hearing. (a) When reconsideration has been granted either by petition or on the Appeals Board's own motion, the Appeals Board may order that additional evidence be taken at a further hearing. Notice of the time and place of further hearing shall be given to all parties and to such other persons as the Appeals Board may direct. (b) The issues on further hearing shall be limited to those set forth in the order. (c) The time limit at Section 385(a) for filing an order or decision shall not apply to further hearings during reconsideration. Note: Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Sections 148.7 149.5 and 6620, Labor Code. s 395. Application of Article. This article shall apply to all petitions for costs to the Appeals Board brought pursuant to Section 149.5 of the Labor Code. Note: Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Section 149.5, Labor Code. s 396. Definitions. As used in Sections 395 to 397, inclusive, of these rules: (a) "Burden of proof" means the burden on an employer petitioning for costs to establish by a preponderance of the evidence that the issuance of a citation was the result of arbitrary or capricious action or conduct by the Division. (b) "Citation is withdrawn" means that after an employer has filed an appeal in accord with Section 359, and the Appeals Board has acknowledged jurisdiction, that the Appeals Board grants the Division's motion or petition to withdraw the citation. (c) "Final decision" means a decision or order of the Appeals Board or an Administrative Law Judge which has not been stayed or from which no petition for reconsideration has been filed or no reconsideration has been granted on the Appeals Board's own motion within the time permitted by law. If the Appeals Board has granted reconsideration, a decision or order shall be final 30 days after the decision after reconsideration has been issued unless a writ of mandate has been filed as provided by law. If a writ of mandate has been filed, a decision or order shall be final after a judgment has been entered and no appeal is pending in the courts. (d) "Prevails in the appeal" occurs when an employer has prevailed in the appeal on an item of a citation or a total citation. An employer who appeals the existence of a violation shall not be deemed to have prevailed in the appeal if the alleged violation is affirmed and the Appeals Board only amends the classification of the violation or reduces the amount of proposed civil penalty. (e) "Reasonable costs" means costs necessarily incurred by an employer in preparing for and pursuing an appeal of a citation. Reasonable costs are those costs allowed under Section 149.5 of the Labor Code, including attorney's fees, consultant's fees, witness' fees and mileage, costs of discovery, costs of depositions, and costs of service of process if such costs were necessary disbursements for preparing and proceeding with a hearing on the citation. Determination of the appropriateness of an award of costs lies within the discretion of the Appeals Board. Where a citation covers more than one item, costs shall be apportioned to each item. Note: Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Section 149.5, Labor Code. s 397. Petition for Costs Procedures. (a) Any employer who appeals a citation resulting from an inspection or investigation conducted on or after January 1, 1980, issued by the Division for violation of an occupational safety and health standard, rule, order, or regulation established pursuant to Chapter 6 (commencing with Section 140) of Division 1 of the Labor Code may file a petition for costs together with a memorandum of items of cost with the Appeals Board to claim reasonable costs, not to exceed five thousand dollars ($5,000) in the aggregate per citation if either the employer prevails in the appeal or the citation is withdrawn, and the employer alleges that the issuance of the citation was the result of arbitrary or capricious action or conduct by the Division. The burden of proof shall be on the employer to establish by a preponderance of the evidence that the issuance of the citation was the result of arbitrary or capricious action or conduct by the Division. (b) The procedures are: (1) If an employer who appeals a citation prevails in the appeal of the citation or the citation is withdrawn and the employer wishes to claim reimbursement for reasonable costs alleging that the issuance of the citation was the result of arbitrary or capricious action or conduct by the Division, the employer shall file a petition for costs together with a memorandum of items of cost with the Appeals Board. The petition must be filed not more than 60 days after the filing of a final decision granting the Division's motion or petition to withdraw the citation, or a final decision granting the appeal. A petition for costs shall be deemed filed on the date it is delivered or mailed to the Appeals Board in Sacramento, California. A petition for costs shall set forth specifically and in full detail the grounds upon which the employer's claim is made and identify the particular item or items of the citation for which the petition for costs is being filed. A petition for costs shall be verified upon oath in the manner required for verified pleadings in courts of record. (2) Upon receipt of a petition for costs, the Appeals Board shall enter a petition number on the petition and serve a copy on the Division. The Division shall have 30 days from the service of a petition for costs to file a response with the Appeals Board. (3) The Appeals Board shall review the petition for costs, and the response, if any, and shall by order or notice exercise one of the following three options: (A) The petition for costs may be summarily dismissed if no grounds are set forth or there are insufficient facts alleged to establish that the citation was issued as a result of arbitrary or capricious action or conduct by the Division. The employer may file a petition for reconsideration of the cost order denying the petition for costs within 30 days after issuance of a cost order. Petitions for reconsideration and answers, if any, shall be in conformity with Article 5 of these rules, or (B) The petition for costs may be granted by a cost order and costs may be awarded if from a review of the petition for costs and the response submitted, if any, it is established that the Division issued a citation as the result of arbitrary or capricious action or conduct. The Division and the employer shall have the right to file a petition for reconsideration of the cost order granting the petition for costs within 30 days after service of such an order. Petitions for reconsideration and answers, if any, shall be in conformity with Article 5 of these rules, or (C) If a review of the petition for costs and response, if any, establishes that a factual dispute exists, the matter shall be set for hearing. Parties shall receive not less than 15 days notice of hearing. (4) If a hearing is ordered, the Division and employer shall have their cases prepared, discovery completed and be ready to proceed at the time of hearing. Ten calendar days before the time of hearing, an employer may file with the Appeals Board and the Division a supplemental memorandum of costs setting forth necessary disbursements claimed. When a party desires to present any point which requires a consideration of a prior hearing record, the party shall, prior to the hearing, request and pay the cost of preparing the prior hearing record. (5) A hearing shall be conducted in accord with these rules. (6) A cost decision shall be filed as provided in Section 385. A copy of the cost decision with a summary of the evidence received and relied upon and the reasons or grounds upon which the decision was made shall be mailed or served on each party or his representative together with a statement informing the parties of the right to petition the Appeals Board for reconsideration of the cost decision within 30 days after the service of the cost decision. Petitions for reconsideration and answers, if any, shall be in conformity with Article 5 of these rules. Note: Authority cited: Section 148.7, Labor Code. Reference: Section 149.5, Labor Code. Appendix A and Appendix B. Note: Authority cited: Sections 148.7 and 149.5, Labor Code. Reference: Sections 148.7 and 149.5, Labor Code. (Originally Printed 1-26-74) 8 CCR T. 8, Div. 1, Chap. 3.5, Refs & Annos, 8 CA ADC T. 8, Div. 1, Chap. 3.5, Refs & Annos s 401. Location of Principal Office. Note: Authority cited: Section 143.2, Labor Code. Reference: Section 143.2, Labor Code. s 402. Tenses, Gender and Number. Note: Authority cited: Section 143.2, Labor Code. Reference: Section 143.2, Labor Code. s 403. Definitions. For the purpose of these rules: (a) "Standards Board" or "Board" means the Occupational Safety and Health Standards Board; except that wherever the words "Standards Board" or "Board" alone are used, the power to act may be delegated by the Board and whenever the words "Board itself" are used, the power will be exercised by the Board acting through a quorum of its members; (b) "Chairperson" means the member of the Standards Board designated by the Governor to hold the office of chairperson; (c) "Hearing Officer" means any person appointed by the Standards Board to preside over any variance or appeal from a temporary variance hearing or to hear and determine any such matter within the jurisdiction of the Standards Board; (d) "Department" means the Department of Industrial Relations; (e) "Division" means the Division of Occupational Safety and Health; (f) "Appeals Board" means the Occupational Safety and Health Appeals Board; (g) "Code" means the Labor Code; (h) "Rule" means any section set forth in this subchapter adopted by the Standards Board; (i) All terms which are defined in the code shall be construed as defined therein. (j) "Representative" means any person, including an authorized employee representative, authorized by a party or intervenor to represent the party or intervenor in a proceeding. Unless the context otherwise requires the term "representative" is included in the words "appellant," "party," "petitioner," "employer" or "employee." (k) "Authorized employee representative" means a labor organization which has a collective bargaining relationship with an employer and which represents affected employees or an employee organization which has been formally acknowledged by a public agency as an employee organization that represents employees of the public agency. (l) "Affected Employee" means an employee of the employer seeking the variance who is exposed, as a result of his/her assigned duties, to the condition or hazards covered by the standard from which the variance is sought. (m) "Proceeding" means any proceeding before the Standards Board or before a hearing officer relating to a permanent or interim variance or appeal from a temporary variance. (n) "Employer" means (1) the State and every State agency; (2) each county, city, district and all public and quasi-public agencies therein; (3) every person, including any public service corporation which has any natural person in service; (4) any Conveyance Owner as defined in subsection (o); and (5) any employer who employs "affected employees" as defined by Rule 403(l). (o) "Conveyance Owner" means a person or entity that has custody of a conveyance covered by the Elevator Safety Orders, or that owns property on or in which such a conveyance is to be installed. Note: Authority cited: Section 143.2, Labor Code. Reference: Sections 143 and 143.2, Labor Code. s 404. Computation of Time. In computing the time within which any act must be performed, "days" shall refer to calendar days. The first day shall be excluded and the last day shall be included. If the last day is a Saturday, Sunday or holiday, the required act must be performed by the following Monday, or if that Monday is a holiday, by the next day that is not a holiday. Note: Authority cited: Section 143.2, Labor Code. Reference: Sections 143 and 143.2, Labor Code; and Sections 12 and 12(a), Code of Civil Procedure. s 404.1. Late Filing. Unless otherwise specified in the code, the time for filing any application, appeal, petition, answer, pleading, brief, or other document to the Standards Board may be extended or a late filing permitted upon a showing of good cause. Note: Authority cited: Section 143.2, Labor Code. Reference: Sections 143.2 and 6455, Labor Code. s 405. Hearing Officers. All hearings of the Standards Board relating to permanent or temporary variances shall be conducted by hearing officers on the staff of the Appeals Board or appointed by the Standards Board. Note: Authority cited: Section 143.2, Labor Code. Reference: Section 143.2, Labor Code. s 405.1. Authority of Hearing Officers. (a) Every hearing in a variance or appeal from a temporary variance proceeding shall be presided over by a hearing officer. (b) When the Standards Board or a hearing panel hears the matter, the hearing officer shall preside at the hearing, rule on the admission and exclusion of evidence, and advise the Board or panel on matters of law; the Board or panel shall exercise all other powers relating to the conduct of the hearing but may delegate all or any of them to the hearing officer. When the hearing officer alone hears a matter, the hearing officer shall exercise all powers relating to the conduct of the hearing. (c) A hearing officer or Standards Board member shall voluntarily disqualify himself/herself and withdraw from any case in which he/she cannot accord a fair and impartial hearing or consideration. Note: Authority cited: Section 143.2, Labor Code. Reference: Sections 143, 143.1, 143.2 and 6457, Labor Code. s 405.2. Standards Board Records Not Subject to Subpoena. Note: Authority cited: Section 143.2, Labor Code. Reference: Section 143.2, Labor Code. s 406. Party Status. (a) Affected employees and/or an authorized employee representative may elect to participate as parties at any time before the commencement of the hearing, unless, for good cause shown, the Standards Board allows such election at a later time. (b) The Division shall be deemed a party to all variance proceedings before the board, whether or not the division has appeared or participated in the proceeding and shall be entitled to receive the same service and notice as any other party. Note: Authority cited: Section 143.2, Labor Code. Reference: Sections 143.1, 143.2 and 147, Labor Code. s 406.1. Intervention; Appearance by Nonparties. (a) A petition for leave to intervene may be filed at any stage of a proceeding before commencement of the hearing. (b) The petition shall set forth the interest of the petitioner in the proceeding and show that the participation of the petitioner will assist in the determination of the issues and questions, and that the intervention will not unnecessarily delay the proceeding. (c) The Standards Board may grant a petition for intervention to such an extent and upon such terms as the board shall determine. (d) Any person whose petition for intervention has been granted shall be entitled to all notices to which parties are entitled. Note: Authority cited: Section 143.2, Labor Code. Reference: Section 143.2, Labor Code. s 407. Service and Notice. Note: Authority cited: Section 143.2, Labor Code. Reference: Sections 143.1 and 143.2, Labor Code. s 407.1. Proof of Service by Parties. Note: Authority cited: Section 143.2, Labor Code. Reference: Sections 143.1 and 143.2, Labor Code. s 407.2. Responsibilities of Employers to Notify Employees of Proceedings. Note: Authority cited: Section 143.2, Labor Code. Reference: Sections 143.1 and 143.2, Labor Code. s 407.3. Responsibilities of Employees to Notify Employers and Other Employees of Proceedings. Note: Authority cited: Section 143.2, Labor Code. Reference: Section 6455, Labor Code. s 411. Applications for Permanent Variances. (a) Any Employer desiring a permanent variance from an occupational safety or health standard, regulation or order contained in California Code of Regulations, Title 8 shall file a written application for a variance, submitted under penalty of perjury, with the Standards Board. Note: See Rule 403(n) for definition of Employer. (b) Six copies of the application for variance shall be submitted and shall include: (1) The name and address of the Employer; (2) The address(es) where the variance will be in effect; (3) A description of the conditions, practices, means, methods, operations, or processes used or proposed to be used by the Employer to provide health and safety equal or superior to that provided by the regulations; (4) A statement showing how the conditions, practices, means, methods, operations, or processes used or proposed to be used would provide health and safety equal or superior to that provided by the regulation from which a variance is sought; (5) A certification that the Employer will comply with the notification and posting requirements contained in Rules 411.2 and 411.3 below; (6) A specification of the Title 8 regulation from which the permanent variance is sought, including the appropriate subsections, if applicable; (7) A statement of whether or not an appeal has been filed or is pending with the Occupational Safety and Health Appeals Board relative to the same safety order, including the Occupational Safety and Health Appeals Board docket number. (8) A statement estimating the number of witnesses to be called by the Employer at the hearing and of the amount of time the Employer will require to present its case at the hearing; and (9) Six copies of any photographs, blueprints or other illustrative materials submitted to document or clarify the application. Note: Authority cited: Section 143.2, Labor Code. Reference: Sections 143, 143.1, 143.2 and 146, Labor Code. s 411.1. Denial of Defective Application for Permanent Variance. An application for permanent variance that fails to comply with rule 411 shall not be docketed or considered by the Board. Employers shall be advised of the application's defective areas and requested to correct or resubmit the application in accordance with the Board Rules. Failure to correct or resubmit the application in accordance with the Board Rules within 60 days shall result in automatic denial of the application. A denial of the application pursuant to this Rule shall be without prejudice to the filing of another application. Note: Authority cited: Section 143.2, Labor Code. Reference: Section 143.2, Labor Code. s 411.2. Compliance with Notification and Posting Requirements Regarding Variance Proceedings and Temporary Variance Appeals. The notification and posting requirements contained in Sections 411.3 and 412.2 shall be satisfied as follows: (a) Notification to a party who has appeared through a representative shall be made through such representative. Notification to an authorized employee representative shall be in addition to providing notice to the affected employees. (b) Unless otherwise ordered, notification may be provided by postage-prepaid first class mail or by personal delivery. Notification is deemed effective at the time of mailing or personal delivery. (c) Proof of notification or posting by parties may be made by any of the following means: (1) Affidavit of service; (2) Written statement endorsed upon the document served and signed by the party making the statement; or (3) Letter of transmittal. (d) Proof of notification or posting shall be submitted to the Board no later than the second working day following the posting or notification. Note: Authority cited: Sections 143.2 and 6457, Labor Code. Reference: Sections 143, 143.2 and 6457, Labor Code. s 411.3. Employer Posting and Notification Responsibilities. Regarding Variance Proceedings and Temporary Variance Appeals. (a) Employers shall post a copy of the following documents at the place(s) where notices to employees are usually posted. In lieu of posting, Conveyance Owners shall immediately provide copies of these documents to the building maintenance provider and to the maintenance provider for the conveyance. (1) The docketed variance application or temporary variance appeal, or a statement giving a summary of the application or appeal that specifies where a copy may be examined. This posting shall occur immediately upon the Employer's receipt of the notice indicating that the variance application or appeal has been docketed. (2) A notice contained in the application, or provided as a separate document but posted simultaneously with the application, informing affected employees of their right to: (A) party status and to participate in the variance proceedings; (B) inspect and copy all pleadings at a reasonable time; and (C) petition the Standards Board for a hearing. (3) A copy of the notice of hearing, which shall be posted immediately upon its receipt. Exception: If the variance or appeal pertains to an elevator, escalator or other conveyance covered by the Elevator Safety Orders that is in a building that is under construction or otherwise unoccupied, and neither a maintenance provider for the conveyance nor a building maintenance provider has been retained or designated, the Conveyance Owner shall attest to these facts in its application. If a conveyance maintenance and/or building maintenance provider is retained or designated after the variance or appeal is requested, but before a hearing is held, the Conveyance Owner shall immediately comply with this section and shall inform the Board, in writing, of the actions taken to comply.If the variance or appeal pertains to an elevator, escalator or other conveyance covered by the Elevator Safety Orders that is in a building that is under construction or otherwise unoccupied, and neither a maintenance provider for the conveyance nor a building maintenance provider has been retained or designated, the Conveyance Owner shall attest to these facts in its application. If a conveyance maintenance and/or building maintenance provider is retained or designated after the variance or appeal is requested, but before a hearing is held, the Conveyance Owner shall immediately comply with this section and shall inform the Board, in writing, of the actions taken to comply. (b) In addition to complying with subsection (a), Employers shall provide any authorized employee representative with the following documents immediately upon their receipt: (1) a copy of the docketed variance application or temporary variance appeal; (2) a copy of the notice set forth in (a)(2); (3) a copy of the notice of hearing. (c) Where posting is required, such posting shall be maintained until the commencement of the hearing or until earlier disposition of the variance request or appeal. Note: Authority cited: Sections 143.2 and 6457, Labor Code. Reference: Sections 143, 143.2 and 6457, Labor Code. s 411.4. Notice of Denial of Interim Variance. Note: Authority cited: Section 143.2, Labor Code. Reference: Section 143.2, Labor Code. s 412. Appeals from Temporary Variances. (a) Any employer or other persons adversely affected by the granting or denial of a temporary variance by the Division may appeal the Division's decision to the Board. (b) Such appeal from a temporary variance shall be in writing and shall include: (1) The name and address of the appellant; (2) The address of the place or places of employment involved; (3) A specification of the temporary variance in question and of the standard or portion thereof from which the variance was allowed or denied and the grounds upon which it is based; and (4) A statement of facts which shows that the appellant is either the affected employer or is a person adversely affected by the granting or denial of the temporary variance. Note: Authority cited: Section 143.2, Labor Code. Reference: Section 6455, Labor Code. s 412.1. Correction of Defective Appeal from a Temporary Variance. If any variance appeal fails to state the grounds upon which it is based, the appellant shall be notified that it does not comply with the Standards Board rules and shall be granted fifteen days after the date of mailing of such notice within which to file an amended appeal. If within the time permitted the appellant fails to amend the appeal to conform with rule 412 the appeal shall be dismissed. Note: Authority cited: Section 143.2, Labor Code. Reference: Section 143.2, Labor Code. s 412.2. Notification Requirements for Employees Appealing Temporary Variances. (a) Where an affected employee or an authorized employee representative appeals the granting or denial of a temporary variance, the employee or representative shall provide the Employer with a copy of the appeal for posting in the manner prescribed in Rule 411.3. (b) An authorized employee representative who appeals the granting or denial of a temporary variance shall be responsible for serving any other authorized employee representative whose members are affected employees. Note: Authority cited: Sections 143.2 and 6457, Labor Code. Reference: Sections 143, 143.2 and 6457, Labor Code. s 415. Referral of Variance Applications and Temporary Variance Appeals to the Division. (a) Applications for variances and appeals from temporary variances relating to occupational safety and health standards filed with the Board in proper form will be promptly referred to the Division for evaluation. (b) Hearings on applications for variances and appeals will be scheduled so that the Division's evaluation report will be available for presentation at the hearing. Note: Authority cited: Section 143.2, Labor Code. Reference: Section 147, Labor Code. s 416. Publication of Variance Applications. Note: Authority cited: Section 143.2, Labor Code. Reference: Section 143.1, Labor Code. s 417. Assignment to Hearing Panels. (a) The chairperson may assign variance proceedings before the board to a hearing panel consisting of one or more members for hearing and preparation of a proposed decision in such form that it may be adopted as the decision in the case. Assignments by the chairperson of members on such hearing panels shall be rotated among the members with the composition of the members so assigned being varied and changed to assure that there shall never be a fixed and continued composition of members. (b) A variance proceeding shall be heard and decided by the Standards Board itself at the request of any two members of the Standards Board. Note: Authority cited: Section 143.2, Labor Code. Reference: Section 143.2, Labor Code. s 417.1. Objection to Hearing Panel or Hearing Officer or Board Member. (a) Any party may request, in writing, that a variance proceeding be heard by the board itself rather than by a hearing panel. Such a request must be accompanied by a showing of good cause and may be granted or denied at the discretion of the chairperson. The request must be made prior to, or upon receipt of, the notice of hearing and at least ten working days prior to the scheduled hearing date. Failure to provide a timely request will be sufficient grounds for denying the request. The hearing shall not be held until a determination is made on the party's request. (b) Disqualification of Hearing Officer or Standards Board Member. (1) Any party may request the disqualification of any hearing officer and/or Standards Board member by filing an affidavit, at least ten working days prior to the scheduled hearing date, stating with particularity the grounds upon which it is claimed that a fair and impartial hearing cannot be accorded. (2) The name of the hearing officer and the hearing panel members shall be included in the notice of hearing served on all parties. If any change is made to the hearing panel and/or hearing officer assignments subsequent to service of the notice of hearing, the parties, whenever possible, shall be notified of such changes. If the parties are notified of such changes less than ten working days before the scheduled hearing, a party wishing to request a disqualification must make the request as soon as it learns of the new assignment(s). Under such circumstances, the request initially may be made orally, including by telephone, and shall be made to the board before the hearing is convened whenever possible. The request shall then be submitted in writing, in accordance with subsection (b)(1), as soon as possible, and no later than ten working days after the oral request is made. If the request to change the hearing panel and/or hearing officer assignments cannot be made prior to the beginning of the hearing because the parties were not notified of such assignments, or not notified in a timely manner, the request shall be made prior to the taking of evidence at the hearing. If an oral request is made on the record at the hearing and is fully explained at that time, a written request need not be submitted. (3) The request to disqualify the hearing officer and/or a Standards Board member shall be determined by the Standards Board. In the case of a request to disqualify a Standards Board member, the individual member named in the request shall not participate in the disqualification decision pertaining to him or her. (4) If a request to disqualify is made prior to the hearing being convened, the hearing shall not begin until a determination has been made on the party's request. If a party is unable to make its request prior to the convening of the hearing because it was not timely notified of the hearing panel and/or hearing officer assignments, the hearing will be held for the sole purpose of allowing the party to state its request on the record. The remainder of the hearing will be postponed until a determination on the request has been made. (5) Failure to make a request to disqualify in accordance with the time specifications in this subsection is sufficient grounds for denying the request. Note: Authority cited: Section 143.2, Labor Code. Reference: Sections 143 and 143.2, Labor Code. s 417.2. Merger of Successive Variance Applications or Appeals. If, at the time any variance application or appeal is filed, one or more prior applications or appeals by or involving the same employer and involving the same or similar issues have not been decided by the board or a hearing officer, such prior applications or appeals may, upon notice to the parties, be deemed merged into the last application or appeal filed, and the Standards Board may issue a single decision. Note: Authority cited: Section 143.2, Labor Code. Reference: Section 143.2, Labor Code. s 417.3. Withdrawal of Variance Applications and Temporary Variance Appeals. (a) A variance application or appeal may only be withdrawn by written request and before a final decision is issued by the Board. If such request is made, the Board shall issue a decision dismissing the appeal or application. (b) A variance application or appeal so dismissed shall be reinstated by the board if the party files a written petition and shows therein that the request for withdrawal resulted from misinformation given by the Division, Appeals Board or Standards Board or from fraud or coercion. Any petition for reinstatement shall be made within 60 days after personal service or mailing of the decision dismissing the variance application or appeal, or, in the event of fraud, within 60 days after discovery of such fraud. Note: Authority cited: Section 143.2, Labor Code. Reference: Sections 143.2 and 6457, Labor Code. s 417.4. Dismissal of Late Appeals. If any appeal is not filed within the time permitted by the code or these rules, the board shall issue a decision dismissing the appeal unless the appellant shows good cause for late filing. If good cause is shown, the appeal shall be decided on the merits. Note: Authority cited: Section 143.2, Labor Code. Reference: Sections 143.2 and 6455, Labor Code. s 417.5. Dismissal of Variance Applications. If an Employer fails to pursue its variance application after the application is docketed, or causes significant delay in the processing of its application, the Board will provide the Employer with written notice of the Board's intent to dismiss the application. Unless the Employer responds to the notice within 30 days from the date of service, and subsequently assists in the processing of the variance application, the Board may dismiss the application without prejudice. Note: Authority cited: Section 143.2, Labor Code. Reference: Sections 143 and 143.2, Labor Code. s 418. Pre-Hearing Requests for Action. All requests for action by the Standards Board relating to any proceeding pending before the Board shall be made in writing and directed to the hearing officer assigned to the matter, or to the executive officer if a hearing officer has not been assigned. Each written request shall contain the variance docket number and shall indicate the type of relief sought. If a hearing officer has been assigned, the hearing officer may resolve such requests without the Board's involvement. Note: Authority cited: Section 143.2, Labor Code. Reference: Sections 143 and 143.2, Labor Code. s 419. Consolidation of Proceedings. Any number of proceedings may be consolidated for hearing or decision when the facts and circumstances are similar and no substantial right of any party will be prejudiced. Note: Authority cited: Section 143.2, Labor Code. Reference: Section 143.2, Labor Code. s 420. Pre-Hearing Conference. (a) At any time before a hearing, the Standards Board or the hearing officer may, on its own initiative, or at the request of a party, direct the parties or their representatives to exchange information or to participate in a pre-hearing conference for the purpose of considering matters which will tend to simplify the issues or expedite the proceedings. If a hearing officer has been assigned, the hearing officer may resolve such requests without the Board's involvement. (b) The Standards Board or the hearing officer may issue a prehearing order which includes the agreements reached by the parties. Such order shall be served on all parties and shall be a part of the record. Note: Authority cited: Section 143.2, Labor Code. Reference: Sections 143 and 143.2, Labor Code. s 421. Time and Place of Hearing. (a) Variance appeals from temporary variances shall be given scheduling priority over variance applications. (b) Applications for variances shall be scheduled for hearing as soon as practicable after receipt. (c) Except as hereinafter provided, the Standards Board may set the time and place of hearing at its principal office or at another location designated by the Board that is more convenient for the applicant. (d) Where, because of the distance involved or for other reasons, it is impractical for parties and their witnesses to appear at the same place of hearing, a videoconference hearing may be scheduled. Note: Authority cited: Section 143.2, Labor Code. Reference: Sections 143.2, 147 and 6457, Labor Code. s 422. Witnesses and Subpoenas. (a) A party shall arrange for the presence of his/her witnesses at a hearing in a variance proceeding. (b) A subpoena may be issued by the Standards Board or a hearing officer on the board's or hearing officer's own motion. (c) A subpoena to compel the attendance of a witness shall be issued by the hearing officer upon request made by a party and a showing of the need therefor. (d) An application for subpoena duces tecum for the production by a witness of books, papers, correspondence, memoranda, or other records, including records of the Division, shall be made by affidavit to the hearing officer and shall give the name and address of the person to be subpoenaed, shall describe the matters or things desired to be produced and show the materiality thereof to the issues involved in the proceeding and that, to the best of the applicant's knowledge, the witness has such matters or things in his/her possession or under his/her control. (e) If the hearing officer finds that the affidavit is complete and supports the application for the subpeona duces tecum, the hearing officer shall issue the requested subpoena. (f) Each party shall arrange for the service of all subpoenas, including subpoenas duces tecum, issued to the party. A copy of the affidavit for subpoenas duces tecum shall be served with such subpoena. Note: Authority cited: Section 143.2, Labor Code; and Section 11400.20, Government Code. Reference: Sections 143.2 and 6457, Labor Code; and Section 11450.20, Government Code. s 422.1. Confidential Evidence. (a) Any exhibit or evidence that contains, or that might reveal, a trade secret as defined in Civil Code Section 3426.1 shall be considered confidential. The Board shall take such appropriate action that is within its control to protect the confidentiality of trade secrets. Note: Authority cited: Section 143.2, Labor Code; and Section 6254(k), Government Code. Reference: Sections 143.2 and 6457, Labor Code. s 423. Conduct of Hearing. (a) Testimony shall be taken only on oath, affirmation, or penalty of perjury. (b) Each party shall have these rights: To call and examine parties and witnesses; to introduce exhibits; to question opposing witnesses and parties on any matter relevant to the issues even though that matter was not covered in the direct examination; to impeach any witness regardless of which party first called him/her to testify; and to rebut the evidence against him/her. (c) The Standards Board members or hearing officer may question any party or witness and may admit any relevant and material evidence. (d) The taking of evidence in a hearing shall be controlled by the hearing officer in the manner best suited to ascertain the facts and safeguard the rights of the parties. Prior to taking evidence, the hearing officer shall explain the issues and the order in which evidence will be received. (e) The hearing shall be conducted in the English language. On the notice of hearing the Board shall notify each party of the right to an interpreter. A party or a party's witness who does not proficiently speak the English language shall be provided an interpreter if a request for language assistance is provided to the Board at least ten working days prior to the date of the hearing. A party may provide its own interpreter, if the interpreter is approved by the hearing officer as proficient in the English language and the language in which the witness will testify. The hearing officer shall approve any person whose name appears on the current list of interpreters published by the State Personnel Board. The interpreter shall not have any involvement in the issues of the case prior to the hearing. (f) The cost of the interpreter shall be paid by the Standards Board if the hearing officer so directs, otherwise by the party requiring the interpreter. This determination shall be made consistent with Government Code Section 11435.25(b). Note: Authority cited: Section 143.2, Labor Code; and Section 11400.20, Government Code. Reference: Sections 143.2 and 6457, Labor Code; and Sections 11425.10, 11435.15, 11435.20, 11435.25, 11435.30, 11435.55, 11435.60 and 11435.65, Government Code. s 424. Evidence Rules. The hearing need not be conducted according to technical rules relating to evidence and witnesses. Any relevant evidence shall be admitted if it is the sort of evidence on which responsible persons are accustomed to rely in the conduct of serious affairs, regardless of the existence of any common law or statutory rule which might make improper the admission of such evidence over objection in civil actions. Hearsay evidence may be used for purpose of supplementing or explaining other evidence but shall not be sufficient in itself to support a finding unless it would be admissible over objection in civil actions. The rules of privilege shall be effective to the extent that they are otherwise required by statute to be recognized at the hearing, and irrelevant and unduly repetitious evidence shall be excluded. Note: Authority cited: Section 143.2, Labor Code. Reference: Sections 146 and 6457, Labor Code. s 424.1. Official Notice. (a) In reaching a decision, official notice may be taken, either before or after submission of the case for decision, of any generally accepted technical or scientific matter within the field of occupational safety and health, and determinations, rulings, orders, findings and decisions, required by law to be made by the Division, the Appeals and the Standards Board. (b) The Standards Board shall take official notice of those matters set forth in Sections 451 and 452 of the Evidence Code. (c) Each party shall be given reasonable opportunity to present information relevant to (1) the propriety of taking official notice, and (2) the tenor of matters to be noticed. Note: Authority cited: Section 143.2, Labor Code. Reference: Sections 451 and 452, Evidence Code; and Sections 143.2 and 6457, Labor Code. s 424.2. Continuance of Hearings and Further Hearings. (a) The Standards Board may continue a hearing to another time or place on its own motion or may order further hearing on a matter at any time prior to the issuance of the Board's decision. Written notice of the time and place of the continued hearing shall be in accordance with Rule 411.2. (b) Any party may request a continuance or further hearing, but such requests are disfavored and shall only be granted upon a clear showing of good cause. The parties are expected to submit for decision all matters in controversy and all necessary evidence at a single hearing. Note: Authority cited: Section 143.2, Labor Code. Reference: Sections 143.2 and 6457, Labor Code. s 424.3. Representation at Hearing. (a) Employers must attend the variance hearing, either in person or through a representative. The representative does not need to be an attorney-at-law. (b) A representative of a party shall be deemed to control all matters respecting the interest of such party in the proceeding. (c) Affected employees who are represented by an authorized employee representative may appear through such authorized employee representative. (d) Withdrawal of appearance of any representative may be effected by filing a written notice of withdrawal with the Board. (e) The Standards Board or hearing officer may refuse to allow any person to represent a party in any hearing when such person engages in unethical conduct or intentionally fails to observe the provisions of the code, proper instructions or orders of the Standards Board or these rules. Note: Authority cited: Section 143.2, Labor Code. Reference: Sections 143, 143.1, 143.2, 146 and 6457, Labor Code. s 424.4. Exclusion of Witnesses. Upon a demonstration of good cause by any party, the Standards Board, in its discretion, may exclude from the hearing room any witnesses not under examination at this time; but a party to the proceeding, and the party's counsel or representative cannot be excluded. Note: Authority cited: Section 143.2, Labor Code. Reference: Sections 143.2 and 6457, Labor Code. s 424.5. Oral Arguments and Briefs. Note: Authority cited: Section 143.2, Labor Code. Reference: Sections 143.2 and 6457, Labor Code. s 425. Judicial Enforcement. (a) If any witness refuses to attend or testify or produce any papers required by a subpoena issued by the Standards Board, any party may file with the board a petition for judicial enforcement. The petition shall be verified and shall set forth that due notice of time and place of attendance of the person or the production of the papers has been given, that the person has been subpoenaed in the manner prescribed by law or these rules and that he/she has failed and refused to attend or produce the papers required by subpoena before the officer in the case or proceeding named in the subpoena, or has refused to answer questions propounded to him/her in the course of the hearing. (b) If the Standards Board determines that judicial enforcement is appropriate it will petition the superior court in the county in which the hearing is pending for an order compelling the person to attend and testify or produce the papers pursuant to Government Code Sections 11186 through 11188, inclusive. Note: Authority cited: Section 143.2, Labor Code. Reference: Sections 143.2 and 6457, Labor Code; and Sections 11186-11188, Government Code. s 425.1. Witness Fees. Witnesses subpoenaed for any hearing are entitled to fees and mileage as set forth in Sections 11450.40 and 68093 of the Government Code. Note: Authority cited: Section 143.2, Labor Code; and Section 11400.20, Government Code. Reference: Sections 143.2 and 6457, Labor Code; and Sections 11450.40 and 68093, Government Code. s 425.2. Failure to Appear. (a) Where it appears on record that a party was served with notice of hearing, but fails to appear at such hearing, either in person or by representative, the Standards Board may take the proceeding off calendar; may, after notice, dismiss the proceeding; or may hear the evidence from any party that attends the hearing and, after notice, make such decision as is just and proper. (b) Any proceeding may be reinstated by the Board, at its discretion, if a non-appearing Employer submits to the Board, in writing, a reasonable explanation for the Employer's failure to appear at the hearing. The explanation must be submitted within ten days after service of the notification of intent to dismiss. Note: Authority cited: Section 143.2, Labor Code. Reference: Sections 143.2 and 6457, Labor Code. s 426. Decision; Action on Proposed Decision. (a) A variance hearing may be held before the Standards Board itself, a hearing panel or a hearing officer. If a proceeding is heard before the Standards Board itself or a hearing panel, the hearing officer, if requested, shall assist and advise them. Where a proceeding is heard before the Standards Board itself, no member of the Board who did not hear the evidence shall vote on the decision. (b) If a proceeding is heard by a hearing panel or a hearing officer, the panel or hearing officer shall prepare a proposed decision in such form that it may be adopted by the Board as the decision in the proceeding. The proposed decision shall be a public record and a copy of the proposed decision shall be served by the Standards Board on each party. The Board may adopt the proposed decision or decide the case itself as provided in subdivision (c) below. (c) If the proposed decision is not adopted as provided in subdivision (b), the Standards Board itself may decide the case upon the record, with or without taking additional evidence, or may refer the case to a hearing panel or hearing officer to take additional evidence. (1) If the case is assigned to a hearing panel or hearing officer, the hearing panel or hearing officer shall prepare a proposed decision as provided in subdivision (b) based on the additional evidence and the record of the prior hearing. A copy of the proposed decision shall be furnished to each party as prescribed in subdivision (b). (2) If the case is heard by the Standards Board itself, and the Board chooses to take additional evidence, the parties shall be afforded the opportunity to present either oral or written argument before the Board itself. If additional oral evidence is introduced before the Board itself, no Board member may vote unless the member heard the additional oral evidence. Note: Authority cited: Section 143.2, Labor Code; and Section 11400.20, Government Code. Reference: Sections 143, 143.2 and 6457, Labor Code; and 11425.10, Government Code. s 426.1. Form of Decision. (a) The decision shall be in writing and shall contain findings of fact, the reasons for decision, and the decision. A copy of the decision shall be mailed to or served on each party or his/her representative. (b) Any decision in a variance proceeding may be made subject to any reasonable conditions. (c) After a decision or proposed decision has been mailed or served it shall not be changed except to correct clerical errors, in which case a corrected decision or proposed decision shall be prepared and mailed or served. Note: Authority cited: Section 143.2, Labor Code. Reference: Sections 143, 143.2, 146 and 6457, Labor Code. s 426.2. Notice of the Granting of a Permanent Variance or Variance Appeal. Note: Authority cited: Section 143.2, Labor Code. Reference: Sections 143, 143.2 and 6457, Labor Code. s 427. Petitions for Re-Hearing. (a) Petition for re-hearing may be filed by any party with the Standards Board within twenty (20) days after service of the decision upon the following grounds and no other: (1) that the Standards Board acted without or in excess of its power; (2) that the decision was not supported by substantial evidence; or, (3) that the decision was contrary to law. (b) Failure to file a petition for re-hearing within twenty days shall constitute valid grounds for denying the petition. Note: Authority cited: Section 143.2, Labor Code. Reference: Sections 143.1, 143.2 and 6457, Labor Code. s 427.1. Form of Petition for Re-Hearing. (a) The petition for re-hearing shall state in detail the factual or legal basis for granting the petition for re-hearing. (b) The petition for re-hearing shall be denied if it only states the permissible grounds for re-hearing contained in Rule 427, unsupported by specific references to the record and an explanation of the petitioner's position. Note: Authority cited: Section 143.2, Labor Code. Reference: Sections 143.1, 143.2 and 6457, Labor Code. s 427.2. Service of Petition for Re-Hearing. The Board shall serve copies of the petition for re-hearing on all parties and interveners who have joined in the proceeding at the time that the petition is filed with the Standards Board. Note: Authority cited: Section 143.2, Labor Code. Reference: Sections 143.1, 143.2 and 6457, Labor Code. s 427.3. Re-Hearing. (a) If a petition for re-hearing is submitted to the Board in a timely fashion, the Board may; (1) grant the petition; (2) affirm the Board initial decision on the variance; (3) take no action on the petition, in which case it is deemed denied 30 days after receipt by the Board; or (4) deny the petition and explain its basis for doing so. (b) If the Board acts under subsection (a)(3), the Board shall notify the Employer of the denial after the 30 days have passed. (c) If a re-hearing is granted, the Board may review the petition itself, or refer it to a hearing panel or hearing officer. (d) The re-hearing may be based on the existing record, or the Board, hearing panel or hearing officer that hears the matter may request that additional testimony and/or written evidence be submitted. (1) If further hearing is ordered, the Board shall issue a notice of hearing, and the Employer shall comply with the notification requirements contained in Rules 411.2(a)(3) and (b)(3). (2) If the decision is to be based on the existing record, the Board may decide the matter without notice and without affording the parties further opportunity to testify or submit information. Note: Authority cited: Section 143.2, Labor Code. Reference: Sections 143.1, 143.2 and 6457, Labor Code. s 427.4. Decision on Petition for Re-Hearing. A decision issued on a re-hearing petition, shall be in the same manner and form as prescribed in Rule 426.1. Note: Authority cited: Section 143.2, Labor Code. Reference: Sections 143.1, 143.2 and 6457, Labor Code. s 428. Modifications to a Permanent Variance. (a) A variance is valid only for the Employer to whom it is issued and only for the locations specified in the variance. If an Employer transfers ownership of the business to a different entity, the variance does not transfer to the new Employer. (b) An Employer must seek to modify a variance if: (1) the Employer wants to change the terms or conditions of an existing variance; (2) the Employer wants to acquire the variance from the Employer to whom it was issued; or (3) the Employer wants to add to or change the locations listed in the existing variance. (c) Employers seeking to modify a permanent variance must comply with Rules 411-411.2 and must include the docket number of the variance to be modified in the application. An Employer may satisfy 411(b)(3) and (4) by stating that it will comply with the conditions contained in the existing permanent variance that is subject to modification. Note: Authority cited: Section 143.2, Labor Code. Reference: Sections 143(d), 143.2 and 6457, Labor Code. GENERAL NOTE <<(Subchapter Originally Printed 4-20-45)>> These Unfired Pressure Vessel Safety Orders were promulgated and adopted by the Industrial Safety Board for inclusion in Title 8, California Administrative Code, as Safety Regulations as authorized by Division 5, Chapter 3, Section 6500 of the California Labor Code. It has been determined that certain of these orders are also applicable as Building Standards and those Sections approved by the State Building Standards Commission have been included in Title 24, California Administrative Code. Those regulations that have been designated as Building Standards have been printed in italics. s 450. Application of the Unfired Pressure Vessel Safety Orders. (a) These Orders apply to places of employment in California, and establish minimum standards for: (1) The design, construction, and installation of LP-Gas containers, including the storage and handling of LP-Gas. National Fire Protection Association (NFPA) 58, LP-Gas Code, 1998 Edition, is hereby incorporated by reference. Supplementing NFPA 58 are these Safety Orders, beginning with Sections 470 through 494, which are determined necessary for the protection of the safety and health of employees. (2) The design and construction of all other non-LP-Gas unfired pressure vessels. (3) The installation, use, repair, and alteration of air tanks, LP-Gas and NH3 tanks and systems. (4) The inspection of and issuance of permits to operate for air and LP-Gas tanks. (5) The design, construction, installation, use, repair, and alteration of pressure vessels for the storage and dispensing of natural gas as a motor fuel, except in vehicles that are licensed to travel on highways. (6) The design, construction, repair and alteration of LNG, LPG and NH3 storage tanks for operation at 15 psig or less. (b) After the date on which these Orders become effective, all installations and equipment shall conform to these Orders, except as noted in Section 451. Exception: Existing installations and equipment which were and remain in compliance with the Safety Orders, or variances therefrom, in effect at the time of manufacture or installation. (c) When any provision of these Safety Orders conflicts with NFPA 58 and is more stringent than the corresponding Section of NFPA 58, the Safety Order shall take precedence. Note: Authority cited: Section 142.3 Labor Code; and Section 13241, Health and Safety Code. Reference: Section 142.3, Labor Code. s 451. Unfired Pressure Vessels Not Subject to These Safety Orders. (a) Pressure vessels that are under the jurisdiction and inspection of the United States Government or are specifically exempted by the Labor Code. (b) Pressure vessels subject to an internal or external pressure of not more than 15 psig except for those listed in Section 450(a)(5), with no limitation on size, and vessels having an inside diameter not exceeding 6 inches with no limitation on pressure. However, vessels excluded in this section shall be designed and constructed in accordance with recognized standards when applicable, or in accordance with good engineering practices for pressure vessel design using a factor of safety of at least 4, and shall be fitted with necessary controls and safety devices to permit safe operation. (c) Natural gas vessels and installations and air brake tanks subject to the jurisdiction and inspection of the Public Utilities Commission, the Department of Transportation, or the Department of the California Highway Patrol, except as provided in Article 7 of these Orders. Note: Authority cited: Section 142.3, Labor Code. Reference: Sections 142.3 and 7624, Labor Code; and Section 13241, Health and Safety Code. s 452. Variances. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. s 453. Definitions. The following definitions shall apply in the application and interpretation of these Orders. For definitions directly relevant to LP-Gas, see 1998 Edition of NFPA 58, Section 1-6. 49 CFR: Title 49, Code of Federal Regulations, Parts 100-199. Acceptable: Capable of performing the particular function specified in the Order with safety. Air Brake Tank: An air tank 10 inches or less in diameter, having a capacity of 1 1/2 cubic feet or less, and operating at 150 psig or less, and used exclusively to supply air to the braking systems of automotive vehicles and other air-operated auxiliaries used in the operation of such vehicles. The 150 psig limitation need not apply to tanks less than 6 inches in inside diameter. Air Tank: A pressure vessel used for the storage or accumulation of air under pressure. This definition is not intended to include utilization equipment, including such devices as grease tanks, fire extinguishers, paint sprayers, etc., where the tank is partly filled with a product and the air pressure is used only for a cushion or to eject the product from the tank, or such devices as strainers, scrubbers, separators, etc., that are a part of the piping system. Alteration: A change in any item described on the original Manufacturer's Data Report which affects the pressure capability of the pressure vessel. ANSI Standards: Standards approved by the American National Standards Institute, Inc. (A) Chemical Plant and Petroleum Refinery Piping, ANSI B31.3 (except non-metallic pipe such as plastic is not acceptable unless permitted by specific safety orders). (B) Refrigeration Piping, ANSI B31.5. Applicator Tank: A service tank used in agriculture for applying anhydrous ammonia to the soil, or for other agricultural uses. Approved: See Section 3206, General Industry Safety Order. Appurtenance: A device installed on and used in the normal operation of the vessel. This includes, but is not limited to, safety relief devices, liquid level gauging devices, valves, and pressure gauges. Artificial Heat: Any heat other than solar or atmospheric heat. ASME Code: The American Society of Mechanical Engineers' Boiler and Pressure Vessel Code. (1) Power Boilers, Section I. (2) Materials Specifications, Section II. (3) Nuclear Power Plant Components, Section III, Division 1 and 2. (4) Heating Boilers, Section IV. (5) Non-destructive Examination, Section V. (6) Recommended Rules for Care and Operation of Heating Boilers, Section VI. (7) Recommended Rules for Care of Power Boilers, Section VII. (8) Pressure Vessels, Section VIII, Division 1 and 2. (9) Welding and Brazing Qualifications, Section IX. (10) Fiberglass-Reinforced Plastic Pressure Vessels, Section X. (11) Rules for Inservice Inspection of Nuclear Power Plant Components, Section XI. (12) Power Piping, ASME B31.1 (except non-metallic pipe such as plastic is not acceptable unless permitted by specific safety orders). (13) Pressure Vessel for Human Occupancy (PVHO), Safety Standard for Pressure Vessels for Human Occupancy. ASTM: American Society for Testing Materials. Brittle Failure: A pipe failure mode which exhibits no visible (to the naked eye) material deformation (stretching, elongation, or necking down) in the area of the break. Bulk Plant: NH3 , CNG, and LNG: An installation other than a dispensing unit, used to store the product for further transfer. Bulk Storage: Storage in vessels other than DOT cylinders. California Standard Tank: A tank built in accordance with the requirements for California standard tanks as set forth in the Air Pressure Tank Safety Orders in force at the time the tank was constructed. Capacity: The gross capacity of a pressure vessel in U.S. Gallons. See "Water Capacity." Certificate of Competency: Certification issued by the Division to persons who have satisfactorily passed the written boiler and pressure vessel inspector's examination prescribed by the Division. Certificate of Resale Inspection: A certificate issued after a resale inspection and designating the maximum allowable working pressure for the tank when it is installed in compliance with these Orders. This certificate is not a permit to operate. This certificate shall expire not more than 5 years from date of inspection or when the tank is returned to service, whichever occurs first. Certified Inspector: A person holding a valid certificate of competency issued by the Division in accordance with the Boiler and Fired Pressure Vessel Safety Orders. CNG: Compressed natural gas. Natural gas that has been compressed for storage in containers. Container Assembly: An assembly consisting essentially of the container and fittings for all container openings, including shutoff valves, excess flow valves, liquid-level gauging devices, safety relief devices, and protective housing. Container: Any vessel, including tanks, cylinders, tubes, portable tanks and cargo tanks, used for transporting or storing any liquid or gas. Dike: A concrete, metal, or compacted earth structure used to confine an accidental spill within an impounding area. Dispensing Unit: Natural Gas: A stationary natural gas installation other than a bulk plant from which CNG or LNG is dispensed into fuel tanks or portable cylinders from a storage tank, bank of cylinders, compressor, or a distribution gas pipeline. Division: Division of Occupational Safety and Health. DOT Service: Service in which a pressure vessel is used, inspected and maintained in accordance with DOT regulations. DOT Specifications: Regulations of the Federal Department of Transportation published in 49 CFR Parts 100-199. Ductile Failure: A pipe failure mode which exhibits material deformation (stretching, elongation, or necking down) in the area of the break. Ductile Plastic Materials: Plastic materials able to withstand external impact from both blunt and sharp objects, while charged with compressed gas under the full rated pressure of the piping system, without brittle failure. Existing Installations: All pressure vessels installed in California prior to the adoption date of these Orders and in compliance with applicable Safety Orders of the Division in effect at that time and that have not changed ownership and location since the adoption date of these Orders. External Inspection: An inspection of all visible external surfaces and appurtenances of an installed pressure vessel. Farm Cart: A vehicle for use on a farm on which is mounted a container of not over 1,200 gallons water capacity. Field Inspection: An internal and/or external inspection of installed pressure vessels. Fill, Filling: (A) Filled by Pressure: A means of filling a pressure vessel whereby the quantity of compressed gas in the vessel at normal temperature is determined by a pressure gauge or gauges. (B) Filled by Volume: A means of filling a tank or cylinder whereby the volume of liquid in the vessel is determined by measuring the liquid level. (C) Filled by Weight: A means of filling a tank or cylinder whereby the amount of the product in the vessel is determined by weight. Flammable Gas: A flammable gas is one with either of the following properties: (A) At atmospheric pressure and temperature forms a flammable mixture with air when present at a concentration of 13 percent or less (by volume) or which forms a range of flammable mixtures with air wider than 12 percent regardless of the lower limit, or (B) projects a flame more than 18 inches beyond the ignition source with valve opened fully, or the flame flashes back and burns at the valve with any degree of valve opening, when tested in the Bureau of Explosives' Flame Projection Apparatus. Flammable Liquid: A flammable liquid is one that has a flash point above 20 degrees Fahrenheit to and including 80 degrees Fahrenheit as determined by Tagliabue's Open-Cup-Method. When the flash point is 20 degrees Fahrenheit or less it is termed an Extremely Flammable Liquid. Gas: A form of matter having extreme molecular mobility and capable of diffusing and expanding rapidly in all directions. Gas-Air Mixer: A device, or system of piping and controls, which mixes LNG vapor with air to produce a mixed gas of a lower heating value than the LNG. GISO: Title 8, California Code of Regulations, Chapter 4, Subchapter 7, The General Industry Safety Orders. Hazardous: A substance or circumstance which by reason of being explosive, flammable, poisonous, corrosive, oxidizing, or otherwise harmful is likely to cause injury. Important Building: A building in which there may be a source of ignition under normal operating conditions. Impounding Area: An area used to contain an accidental liquid spill through the use of dikes and/or topography. Installation. (A) CNG and LNG: Includes natural gas pressure vessels, liquefiers, pumps, compressors and all attached valves, piping and appurtenances affecting the safety of the employment or place of employment. When filling directly from distribution lines by means of a compressor, the installation includes the compressor and all piping and piping components beyond the shutoff valve between the distribution system and the compressor. (B) NH3 : Includes the pressure vessel and all attached valves and other appurtenances affecting the safety of the employment or place of employment. Labeled: See "Approved." Listed: See "Approved." LNG: Liquefied Natural Gas. A fluid in the liquid state composed predominantly of methane and which may contain minor quantities of ethane, propane, nitrogen, or other components normally found in natural gas and in a cryogenic state. Maximum Allowable Working Pressure: The pressure for which a tank was constructed, or if conditions have changed, the maximum pressure permitted at the last inspection by a certified inspector or qualified safety engineer. Maximum Filling Density: The percent ratio of the weight of gas in the tank to the weight of water that the tank will hold. For determining the water capacity of the tank in pounds, the weight of a gallon (231 cubic inches) of water at 60 degrees Fahrenheit in air shall be 8.32828 pounds. Metallic Hose: A hose in which the strength of the hose depends primarily upon the strength of metallic parts but it may have non-metallic liners and/or covers. Mobile Fuel Tank: A vessel mounted on a vehicle or other readily portable device and used only to supply fuel to an internal-combustion engine or other equipment secured to the vehicle or device. Mobile Storage Module: Assembly of a multiple number of tubes securely fastened within a framework structure and used in DOT service. Mobile Storage Tank, MST: A tank installed on a trailer or semitrailer, and used temporarily to receive and store anhydrous ammonia. "Temporarily" means not more than 120 days. Motor Fuel Tank: See Mobile Fuel Tank. Natural Gas: Naturally occurring mixtures of hydrocarbon gases and vapors consisting principally of methane, either in gaseous or liquid form. New Installations: All pressure vessels, other than existing installations, installed or reinstalled in a new location after the effective date of these Orders. NH3 : The chemical notation of anhydrous ammonia, a chemical compound composed of nitrogen and hydrogen. It is normally stored and transported as a liquid under pressure. However, in some large storage facilities it is refrigerated and stored at atmospheric pressure. Nurse Tank: A tank used in agriculture for off-highway service to deliver NH3 from a transportation tank or storage tank to an applicator tank in the field. Outage: That space required to be left in the vessel to provide for expansion of the liquid by an increase of temperature. For LNG outage is that space required to be left in vessels filled by volume to provide for separation of the vapors resulting from boil-off of the liquid and also to provide for the expansion of the liquid with increase of temperature. Poison: A substance which when taken in small quantities or low concentrations by mouth, inhaled, or absorbed through the skin rapidly jeopardizes life by other than mechanical or physical action. Portable Air Tank: An air tank mounted with an air compressor on a towed vehicle. Portable LNG Tank: A service tank not exceeding 2,000-gallon water capacity used to transport LNG. Portable NH3 Tank: A service tank not exceeding 1200-gallons capacity used to transport anhydrous ammonia. Pressure Vessel: An unfired container, including cylinders, used for the storage or accumulation of any gas or liquid under pressure. This definition is not intended to include pressure chambers that are integral parts of such devices as pumps, motors, engines, clothes presses, flatwork ironers, tire molds, etc., where the pressure-containing part is subjected to severe mechanical stresses. Property Line: A line, imaginary or otherwise, separating a property from adjoining property of public or private ownership. Pull Away Device: A device installed and anchored so that any tension exceeding the manufacturer's rating on the hose will cause the device to separate and prevent the LP-Gas to escape from both the upstream and downstream lines. Qualified Person, Attendant, or Operator. A person designated by an employer who by reason of training and experience has demonstrated the ability to safely perform his/her duties and, where required, is properly licensed in accordance with federal, state or local laws and regulations. Reference G.I.S.O. 3207. Qualified Inspector: Either a certified inspector or a qualified safety engineer. Qualified Safety Engineer: A person who is qualified to make inspections or examinations of boilers or tanks according to the rules under which the vessel was constructed, and who holds a valid certificate of competency issued by the Division. Receiving Vessel: A tank or cylinder into which a product is being charged. Resale Inspection: The inspection of any used vessel to determine its allowable working pressure when reinstalled in accordance with these Orders. Respiratory Protective Device (RPD): A breathing device designed to protect the wearer from a hazardous atmosphere. SAE: Society of Automotive Engineers. Second-hand Pressure Vessel: A used pressure vessel that has changed both ownership and location. Service Valve: A valve connected directly to a vessel outlet not larger than 3/4-inch pipe size and having an inlet diameter not exceeding the internal diameter of 1/2-inch Schedule 80 pipe for applications other than LP-Gas. Shop Inspection: Inspection of tanks in a fabricator's shop, or at the job site during erection, as required by the ASME Code. Standard Dimension Ratios (SDR): A specific ratio of the average specified outside diameter to the minimum specified wall thickness (Do/t) for outside diameter-controlled plastic pipe, the value of which is derived by adding one to the pertinent number selected from the ANSI Preferred Number Series 10 contained in American Society for Testing and Materials (ASTM) Designation No. F412-87a (1987), Standard Definitions of Terms Relating to Plastic Piping Systems which is herein incorporated by reference. Storage Tank: A tank permanently located and used to store a product or to supply a product to utilization equipment. Suitable: See "Acceptable." Surge Tank: See "Gas-Air Mixer." Systems: An assembly of equipment and appurtenances consisting essentially of the container or containers, major devices such as vaporizers, safety relief valves, excess flow valves, regulators, and connecting piping. Tank: A container, other than a cylinder in DOT service, used for the storage or accumulation of any liquid or gas under pressure. This definition is not intended to include pressure chambers that are integral parts of such devices as pumps, motors, engines, clothes presses, flatwork ironers, tire molds, etc., where the pressure-containing part is subjected to severe mechanical stresses. Transportation Tank: A tank permanently installed on a truck, trailer, or semi-trailer used to transport a product over the highway. Trap Tank (Trap Wagon): A tank mounted on wheels for off-highway use and having a capacity of 1200 gallons or less and used to transport LP-Gas from a storage tank to a mobile fuel tank. Tube: A hollow product of round or any other cross-section having a continuous periphery. Note: For CNG service, a tube is a seamless, cylindrical-shaped pressure container used in DOT service such as transport trailers. UM: Unfired Miniature, as Defined in ASME Code Section VIII, Division 1. Vapor Pressure: The pressure of the vapor (psig) in equilibrium with the liquid at a temperature of 100 degrees Fahrenheit. Vaporizers: LNG Vaporizer: A device used to convert LNG from the liquid to the gaseous state by means of artificial or atmospheric heat. Ventilation-Adequate: When specified for the prevention of fire during normal operation, ventilation shall be considered adequate when the concentration of the gas in a gas-air mixture does not exceed 25 percent of the lower flammable limit. Volumetric Filling: The amount of water, in either lb. or gal., at 60 << degrees>> F (15.6 <> C) required to fill a container full of water. Weight FIlling: See "Filled by Weight." WOG: Water, oil, or gas rating (as applied to valves and fittings). Note: Authority cited: Section 142.3, Labor Code. Reference: Sections 142.3 and 7622, Labor Code; and Section 13241, Health and Safety Code. s 454. Design and Construction of Air Tanks. (a) Except as permitted in Section 454 (b) all air tanks for new installations shall be constructed, inspected and stamped in compliance with the ASME Code (unless the design, material, and construction of the air tank are accepted by the Division as equivalent to the ASME Code) and, except for "UM" vessels, registered with the National Board of Boiler and Pressure Vessel Inspectors. The stamping on all new air tanks or on nameplates attached thereto shall show the head and shell thickness in addition to the stamping required by the ASME Code. (b) Air tanks used for self-contained breathing apparatus may be constructed in accordance with the ASME Code or DOT specifications provided they are inspected and maintained as required by DOT specifications and do not exceed a volumetric capacity of 1 cubic foot. (c) The allowable working pressure of any existing air tank shall be determined by the provisions of the ASME Code effective when the tank was manufactured and upon its condition; provided, however, that tanks constructed to other than ASME Code standards for air pressure service shall be calculated with a factor of safety of not less than 5. (d) Air brake tanks shall be constructed in accordance with the ASME Code or SAE standard J-10b, 1981 Edition. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. s 455. Design and Construction of CNG and LNG Tanks. (a) All CNG and LNG tanks for new installations over 15 psig shall be constructed, inspected, and stamped in compliance with the ASME Code (unless the design, material, and construction of the tank are accepted by the Division as equivalent to the ASME Code) and, except for "UM" vessels, registered with the National Board of Boiler and Pressure Vessel Inspectors. The stamping on all new tanks or on nameplates attached thereto shall include, in addition to the stamping required by the ASME Code or the National Board of Boiler and Pressure Vessel Inspectors, the following: (1) CNG Tanks: (A) The volumetric capacity in standard cubic feet of natural gas when filled to the limits provided by these regulations. (B) The words "For CNG." (C) The head and shell thicknesses. (2) LNG Tanks: (A) The net volumetric capacity in U.S. Gallons. (B) The words "for LNG." (C) The head and shell thicknesses. (D) The minimum safety relief valve capacity in CFM air. (See 541 (c)(1) and (2)). (b) Tanks of brazed construction are prohibited. (c) The outer shell of a double wall cryogenic vessel shall be designed for the full range of pressure and/or vacuum to which it will be subjected, and provide for adequate structural support of the inner tank and insulation under all imposed loadings. (d) Welding to the shell, head, or any other part of the container subject to internal pressure, shall be done in compliance with the ASME Code under which the tank was fabricated. Other welding is permitted only on saddle plates, lugs, or brackets attached to the container by the tank manufacturer. (e) All LNG tanks for new installations for low temperature storage at 15 psig or less, shall, as a minimum, be designed, constructed, inspected, and certified in accordance with API "Standard, 620, Recommended Rules for Design and Construction of Large, Welded, Low-Pressure Storage Tanks" and the following additional requirements which will supersede where there is any conflict, or to the ASME Code. Note: The references following in parentheses refers to specific paragraphs in API 620, 1978 Edition. (1) The edges of the weld shall merge smoothly with the surface of the plate without a sharp angle. In making fillet welds, the weld metal shall be deposited in such a way that adequate penetration into the base metal at the root of the weld is secured. Although the provisions of 4.13 apply for horizontal butt joints, visible undercuts are not permitted for vertical butt joints. (4.13) (2) The inspector shall have a valid certificate of competency issued by the Division. (5.02.1) (3) The manufacturer shall have, and demonstrate, a quality control system to establish that all requirements including material, design, fabrication, examination (by manufacturer) and inspection (by the inspector) will be met. The written description of the quality control system shall, as a minimum, be in accordance with Appendix 10 of ASME Section VIII, Division 1. (5.02.3) (4) Safety relief device and relieving capacities shall be in accordance with NFPA Pamphlet 59A and Appendix A, 1978 Edition. (5) The manufacturer's report, or attachments, shall show for inner and outer tanks as a minimum: (A) Manufacturer's name. (B) Manufacturer's serial number for the tank. (C) Nominal capacity. (D) Design pressure for vapor space at the top. (E) Design temperature. (F) Maximum permissible specific gravity of liquid contents to be stored. (G) Maximum level to which tank may be filled with liquid of that gravity, with full design pressure above the surfaces. (H) Maximum level to which the tank may be filled with water for test or for purging purposes. (I) Shell, head and other pressure boundary materials. (J) Material thicknesses. (K) Support and attachment materials. (L) Nozzles, number and diameter. (M) Year built. (5.27.2) (6) The openings and/or connections between the tank and the pressure relief devices shall have an area at least equal to the combined areas of all the pressure relief inlets on that connection. The size of any discharge line shall be such that any pressure that may exist or develop will not reduce the relief capacity of the relieving devices below that required to properly protect the vessel. (N.3) Where stop valves are used between the pressure relief devices and the tank, a written procedure shall be used to govern the use of the valves. Remote indicators shall be provided that will alert operating personnel when the stop valves are not in the fully open position or, alternately, reliable interlocks shall be provided to assure that minimum required relief capacity is always available. (N.8.) (7) Design calculations shall be certified to be correct and complete by one or more currently registered professional engineers competent in the applicable field of design of LNG storage. The provisions of NFPA Pamphlet 59A, 1975, Section 4-1.3 shall be used for seismic loadings. For public utilities, the provisions of General Order 112(D) of the California Public Utilities Commission shall also be considered for all live loadings including Part III, Subpart B, Sections 193.115, 117 and 119, for seismic loadings, and shall be acceptable to the Commission. (8) When butt joints are used in outer tanks, they shall be double welded and designed with a joint efficiency of 70% as a minimum in accordance with table UW-12 of ASME Section VIII, Division 1. (Q.6) Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 13241, Health and Safety Code. s 456. Design and Construction of CNG Cylinders. All CNG cylinders shall be constructed according to DOT specifications. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 13241, Health and Safety Code. s 457. Design and Construction of LNG Vaporizers. (a) LNG Vaporizers: (1) Vaporizers having a volumetric capacity in excess of 1 U.S. gallon shall be either: (A) Constructed, inspected and stamped in accordance with the ASME Code unless the design and construction of the vaporizer are accepted by the Division as equivalent to the ASME Code, or; (B) Fabricated and tested in accordance with ANSI B-31.3 when artificial heat is not used for vaporization and when of welded construction consisting of continuous pipe or tubing and fittings not exceeding 6 inches inside diameter, or; (C) Made of threaded piping and pipe fittings and built to good engineering practice with a factor of safety of not less than 4, taking into account all imposed loadings. (2) Vaporizers and any part thereof, including carbureting devices, shall be designed for minimum as well as maximum temperatures and the maximum pressure that can be imposed with a safety factor of at least 4. (3) Vaporizers having a volumetric capacity in excess of 1 U.S. gallon shall be stamped with the information required by the ASME Code and shall also include: (A) Head and shell thicknesses. (B) The words "For LNG." (C) Heat exchange surface in square feet. (D) The vaporizer capacity per hour in U.S. gallons. (E) Minimum safety relief valve capacity in CFM air. (See Section 540 (c).) (b) Vaporizers made of pipe or tubing shall have a nominal diameter of 2 inches or less and shall have the information required in (C), (D) and (E) above stamped on a nameplate which shall be permanently attached to the vaporizer. This nameplate shall also show the manufacturer's name, year built and maximum allowable working pressure. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 13241, Health and Safety Code. s 458. Design and Construction of NH sub3 Tanks. (a) All NH sub3 tanks for new installations shall be constructed, inspected, and stamped in compliance with the ASME Code (unless the design, material, and construction of the tank are accepted by the Division as equivalent to the ASME Code) and registered with the National Board of Boiler and Pressure Vessel Inspectors. The stamping on all new NH sub3 tanks or on nameplates attached thereto shall include the following, in addition to the stamping required by the ASME Code: (1) The head and shell thicknesses. (2) The gross volumetric capacity in U. S. gallons. (3) Total outside surface area of the container in square feet. (b) The allowable working pressure of any existing NH sub3 tank shall be determined by the provisions of the ASME Code effective when the tank was manufactured and upon its condition determined upon inspection. Containers once installed under ground shall not later be reinstalled above ground unless they successfully withstand hydrostatic pressure retests at the pressure specified for the original hydrostatic test as required by the ASME Code under which constructed and show no evidence of serious corrosion. (c) Any tank used in refrigeration systems or for the refrigerated storage or transportation of NH sub3 shall be designed and constructed for an allowable working pressure which takes into consideration the temperature anticipated in the vessel and other appropriate design data. (d) Except for tanks used in refrigeration systems, any tank used for the unrefrigerated storage, transportation, or utilization of NH sub3 shall be designed and constructed in accordance with the ASME Code for an allowable working pressure of at least 265 psig. (e) All cold formed heads of ferrous material used on NH sub3 tanks shall be heat treated, either before or after welding to the tank, in accordance with paragraph UCS-56 of the ASME Code, regardless of the thickness of the metal when the tanks are to be used for the transportation of anhydrous ammonia or for the storage of anhydrous ammonia. (f) Portable tanks or cylinders of 25 water gallons water capacity or less, that are transported inside service trucks for servicing NH sub3 refrigeration systems, shall be built either to the ASME Code or to the DOT specifications but must have a stamped pressure of at least 420 psig. (g) Spot-radiography, partial radiography or 100% radiography shall be required for all vessels except DOT cylinders. (h) Nonrefrigerated containers, and system nameplates, when required, shall be permanently attached to the system so as to be readily accessible for inspection and shall be marked as specified in the following: (1) With the name and address of the supplier of the system or the trade name of the system and with the date of fabrication. (2) With a notation "Anhydrous Ammonia." (3) With marking indicating the maximum level to which the container may be filled with liquid anhydrous ammonia at temperatures between 20 degrees F and 130 degrees F except on containers provided with fixed level indicators, such as fixed length dip tubes, or containers that are filled by weight. Markings shall be in increments of not more than 20 degrees F. (i) Marking refrigerated containers except in refrigeration plants where ammonia is used solely as a refrigerant. Each refrigerated container shall be marked with a nameplate on the outer covering in an accessible place as specified in the following: (1) The maximum allowable water level to which the container may be filled for test purposes. (2) With the density of the product in pounds per cubic foot for which the container was designed. (3) With the maximum level to which the container may be filled with liquid anhydrous ammonia. (4) With a notation "Anhydrous Ammonia." (j) All NH sub3 tanks for new installations with a design pressure of 15 psig or less shall be designed, constructed, inspected and certified in accordance with API Standard 620, 1978 Edition, with the additional requirements listed in Section 455(h)(1)-(8) of these Orders, which will supersede where there is any conflict, or they may be built to the ASME Code. (k) The shell or head thickness of any container shall not be less than three-sixteenth inch. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. s 459. Liquefied Natural Gas Tanks. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. s 460. Design and Construction of Pressure Vessels for Other Than Compressed Air, LPG, NH sub3 and Natural Gas. (a) All new pressure vessels for pressures exceeding 15 psig used for the transportation, storage, or use of any poisonous, corrosive, or flammable substance, or other products at temperatures above their boiling points at atmospheric pressures, or in which the pressure is generated by means of a compressor, shall be constructed, inspected, and stamped in compliance with the ASME Code, unless the design, material and construction of the vessel are accepted by the Division as equivalent to the ASME Code. Except for "UM" vessels, all such vessels shall be registered with the National Board of Boiler and Pressure Vessel Inspectors. (b) All secondhand pressure vessels defined in (a) above shall have been constructed, inspected, and stamped in compliance with the ASME Code (or DOT specifications, if in DOT service) unless the design, material, and construction of the vessel are accepted by the Division as equivalent to the ASME Code. (c) The allowable working pressure of all existing pressure vessels defined in Section 460(a) shall be calculated in accordance with the ASME Code; or in the case of non-ASME Code pressure vessels, the working pressure shall be determined by the standards of the ASME Code with a factor of safety of not less than 4. (d) All pressure vessels not otherwise covered herein shall be designed and constructed in accordance with the ASME Code or in accordance with good engineering practice for the pressure and service in which they are to be used. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. s 461. Permits to Operate. (a) Except during the time that a request for a permit remains unacted upon or as permitted in Section 461 (f), no air tank shall be operated unless a permit to operate has been issued. (b) Except during the time that a request for a permit remains unacted upon, every person owning or having the custody, management, or operation of an air tank which requires a permit to operate who operates it without a permit is guilty of a misdemeanor. Operating an air tank without a permit constitutes a separate offense for each day that it is so operated. (c) The permit shall be posted under glass in a conspicuous place on or near the air tank or in a weatherproof container secured to the unit, and shall be available at all times to any qualified inspector. (d) Except as provided in Subsection 461(h), the permit for portable air tanks shall expire not more than three years from the date of inspection and for all other air tanks not more than 5 years from the date of inspection or upon the alteration of, or damage to, the air tank or installation, or upon change of ownership and location, whichever occurs first. Note: The permit shall not expire upon change of ownership and location for portable tanks. (e) A temporary permit to operate may be issued for not more than 30 days to allow a reasonable time for required changes to be made. (f) Air tanks having a volume of 1 1/2 cubic feet or less which have safety valves set to open at not more than 150 psi do not require permits to operate, but shall comply with all other provisions of these Orders, including construction. Air tanks used for self-contained breathing apparatus and having a volumetric capacity of 1 cubic foot or less and constructed, inspected, and maintained in accordance with DOT regulations do not require permits to operate. (g) No person, firm, or company shall rent or offer for rent for use in a place of employment any air tank requiring a permit to operate unless the required permit has been issued by or in behalf of the Division. (h) Air tanks subject to a maximum allowable working pressure not exceeding 150 psi., as shown by the required code marking, and having a volume of 25 cubic feet or less shall be inspected when placed into service. An indefinite permit shall be issued provided that the tank has been constructed, inspected and stamped in compliance with the ASME Code, or the design, material, and construction of the tank is accepted by the Division as equivalent to the ASME Code and the tank is in compliance with the applicable provisions of these orders. A new inspection and permit for operation shall be required whenever there is a change of ownership and permanent location of the tank or there is an alteration or change in the tank which affects the tank's safety. Note: Authority cited: Section 142.3, Labor Code. Reference: Sections 142.3, 7681 and 7683, Labor Code. s 462. Field Inspections and Reports. (a) All air tanks requiring a permit to operate shall be inspected internally and externally at least once every 3 years for portable tanks and once every 5 years for all other tanks by a qualified inspector. This subsection shall not be applicable for air tanks which fulfill the requirements for an indefinite permit as provided in Section 461(h). Exception: The internal inspection of tanks less than 2 years old may be waived at the discretion of the inspector, provided all other requirements of Section 462(c) are met. (1) Ultrasonic thickness determination shall be permitted in lieu of, or in conjunction with, internal inspection for air tanks of 36 " diameter or less. Thickness determinations shall be made in at least eight areas: two on each head and two on both the top (upper) and bottom (lower) portions of the shell. Thickness determinations indicating significant reduction in the material thickness over a general area (National Board Inspection Code Par. U-107 may be used as a guide) shall be shown on the inspection report as well as the calculations for the reduction in the allowable working pressure. The qualified inspector's employer shall be responsible for the inspector's or ultrasonic examiner's competency in the use of the ultrasonic thickness gage, and the examiner's signed report shall be attached to the qualified inspector's inspection report. (2) Air tanks shall be installed so that all drains, handholes, inspection plugs and manholes therein are easily accessible. Air tanks shall be supported with sufficient clearance to permit a complete external inspection and to avoid corrosion of external surfaces. Under no circumstances shall an air tank be buried underground or located in an inaccessible place. (b) The owner or user of any air tank shall prepare it for inspection and make provisions to permit the required inspections to be made safely when requested to do so by the Division or a qualified inspector. (1) Preparation for an internal inspection shall include the removal of such inspection plugs or plates as are deemed necessary by the qualified inspector. (2) The qualified inspector shall decide whether a hydrostatic pressure test is necessary and if it is ordered, the owner or user shall make the necessary preparations for such tests by blanking off connections and filling the tanks with water and pressurizing the tank. (3) If the owner or user finds the date set for inspection not convenient, the owner or user shall immediately ask the Division for a postponement and give good cause,in which case the inspection shall be permitted to be postponed for a period of not more than 30 days from the date first set for inspection. (c) All air tanks subject to inspection under these Orders and regularly inspected by qualified inspectors not employed by the Division shall be exempt from periodic inspection by the Division if the tanks and systems conform to these Safety Orders and: (1) Reports of all air tank inspections are submitted to the Division within 21 days of inspection; (2) Reports indicate whether internal inspection or external inspection under pressure, or both, have been made. (3) Reports give the reasons for any refusal to issue a permit and for any change in the allowable working pressure; (4) Reports specify in detail the condition of the air tank and any changes or repairs ordered. If changes or repairs are ordered, a written report shall be furnished to the owner or user of the tank by the inspecting agency. (d) Permits shall be issued only if tanks and systems comply in all respects with these orders and all inspection fees are paid. (e) Qualified inspectors employed by insurance companies shall immediately notify the Division of the name of the owner or user, as shown on the permit to operate, the location and state serial number of every air tank on which insurance has been refused, canceled or discontinued, and shall give the reasons why. (f) Qualified inspectors employed by other than insurance companies shall immediately notify the Division of the name of the owner or user and the location and state serial number of every tank inspected by them which is removed from active service or which is considered unsafe for further service as an air tank, and shall give the reasons why. Note: Nothing in these order shall prevent a qualified safety engineer employed by the Division from inspecting any tank. However, no inspection fee shall be charged by the Division where the required inspection has been made and the provisions of subsection (c) above have been met. (g) Qualified inspectors making the first field inspection of air tanks required by these Orders to have a permit to operate shall stamp on the tank a State serial number (unless a State serial number has previously been stamped thereon) which shall become a permanent means of identification. This assigned number shall be made either by steel die figures not less than 5/16 inch in height, or outlined by means of center punch dots with figures not less than 3/4 inch in height, and shall be stamped adjacent to the manufacturer's ASME Code stamping or above an inspection opening if the ASME Code stamping is not accessible. (h) No state serial number or ASME Code stamping shall be permanently covered by insulating or other material unless such number and stamping is transferred to a fixed plate readily visible outside of all insulating material. (i) Whenever the condition of an air tank is such as to make it unfit for air pressure service, a qualified safety engineer employed by the Division may affix a rejection mark (X) consisting of an "x" at least 1 inch in height with a circle at least 1/2 inch in diameter located between the upper arms of the "x." The rejection mark shall be outlined in center punch marks and located immediately above or adjacent to the state serial number. (j) All air tanks shall have inspection openings in compliance with the ASME Code. When inspection openings are not provided, the owner or user shall provide such openings, one (1) in each head or in the shell near each head and approximately opposite the longitudinal seam, as follows: (1) Tanks 12 inches or less in inside diameter shall have at least two threaded openings not less than 3/4 inch pipe size. (2) Tanks less than 18 inches and more than 12 inches in inside diameter shall have at least two handholes or two plugged, threaded openings not less than 1 1/2 inch pipe size. (3) Tanks 18 inches to and including 36 inches in inside diameter shall have a manhole or at least two handholes or two plugged, threaded inspection openings not less than 2-inch pipe size. (4) Tanks exceeding 36 inches in inside diameter shall have a manhole, except those whose shape or use makes a manhole impractical; in which case two handholes 4 inches by 6 inches or two openings of equivalent area may be substituted for the manhole opening. (5) (A) An elliptical manhole shall be not less than 11 inches by 15 inches or 10 inches by 16 inches in size. The inside diameter of a circular manhole shall be not less than 15 inches. (B) A handhole shall be at least 2 inches by 3 inches in size. It may be larger, depending upon the size of the tank and the location of the opening. (C) All access and inspection openings shall be designed in accordance with the rules of the ASME Code for openings. (k) Air tanks used in systems which have had moisture removed to the degree that the air has an atmospheric dew point of -50 degrees F or less, shall not be required to have inspection openings. (l) Air tanks shall meet and be installed in accordance with the following requirements: (1) Air tank supports and appurtenances shall be in accordance with Paragraph UG-22 and recommended design practices of Appendix G of Section VIII, Division 1 of the ASME Code with sufficient clearance provided under the tank to allow for operation of the drain valve. (2)(A) Air compressor units which have a reciprocating compressor and a driving unit over two horsepower mounted on the tank shall be in accordance with the requirements of paragraphs (B) and (C) as follows: (B) The tank manufacturer's data report shall show the tank and machinery supports provided by the tank manufacturer. When reinforcing pads are used as a means of stress distribution at the legs and/or base plate attachment they shall be designed to minimize regions of high stress concentration and be sealed in such a manner as to inhibit corrosion. (C) Based on written certification from the vessel manufacturer stating compatibility of the vessel and compressor-driving system, the assembler shall permanently affix a label or apply stamping with letters and figures not less than 5/32 inch in height to the side of the vessel machinery platform showing 462(l )(2) compliance. In those cases where the tank manufacturer is the assembler, this data shall be permitted to be stamped on the ASME Code nameplate, separated from the ASME Code stamping. Upon request of the Qualified Inspector or the Division, design calculations incorporating system dynamics or experimentally obtained test data shall be furnished by the tank manufacturer to verify compliance with this Order. (D) New air tanks not complying with this subsection shall not have a reciprocating compressor and driving unit mounted on the tank unless the supports are modified to the satisfaction of the Qualified Inspector, and the Division. (3) All visible undercuts at butt, groove, or fillet welds must be repaired prior to issuance of the permit to operate. (4) The employer shall notify the Division and the inspection agency before further use in the event of cracking or leaking of the air tank. (5) If an air tank has cracked because of the compressor mounting or supports, the compressor and driving unit shall be reinstalled separately from the air tank in accordance with the requirements of the applicable Safety Orders, unless the supports are modified to the satisfaction of the Qualified Inspector and the Division. Whenever possible, the reinstallation of the compressor and driving unit shall be in accordance with the recommendations of the original assembler. The reinstallation must be acceptable to the Qualified Inspector. (m)(1) Air piping shall be in accordance with ANSI B31.1 or B31.3. (2) All piping from the tank to the first shut-off valve shall be Schedule 80 metallic pipe. (3) Plastic piping systems may be used for compressed air conveyance above and below ground, when meeting all of the following requirements: (A) Only ductile plastic materials shall be used. (B) Only plastic pipe, valves and fittings recommended for use by the manufacturer to convey compressed air shall be used. (C) Plastic pipe, valves and fittings shall not be used for compressed air systems over 150 psi or temperatures over 140 degrees F. (D) Plastic piping systems shall be designed, installed, maintained, and operated in full accordance with the manufacturer's specifications and instructions. (E) All plastic pipe shall be permanently marked continuously, but not to exceed 5-foot intervals, with the following information: 1. Size; 2. Manufacturer's name; 3. Pressure rating at 73 degrees F and 140 degrees F; 4. Material name, specification, ASTM cell classification, batch number, and the date of manufacture; 5. The words "For Compressed Air"; and 6. Either Schedule, "Sch Number", or Standard Dimension Ratio, "SDR Number". (F) All plastic valves and fittings shall be permanently marked with the following: 1. Size; 2. Manufacturer's name or logo; 3. Pressure rating at 73 degrees F; and 4. Material name. (G) Plastic valves and fittings shall be of the same manufacturer and materials as the pipe. (H) Only joining compounds meeting or exceeding manufacturer's specifications shall be used when assembling the plastic pipe. (I) The employer shall use pipe that meets or exceeds the test requirements listed in Appendix C, and upon request, supply the Division written laboratory certification from the manufacturer that the pipe meets or exceeds all test requirements listed in Appendix C of these orders. (J) The pipe system components, pipe, valves, fittings, and joining compounds shall be designed for the full working pressure of the system for its design life. Exception: Pipe or tubing under 3/8-inch diameter need not meet these requirements. (4) Plastic pipe and fittings that do not meet the requirements of subsection (m)(3) may be used in compressed air service, provided that all of the following conditions are satisfied: (A) Pressure shall be limited to 150 psi, temperature to 120 degrees F, size up to 2-inch diameter pipe size, and wall thickness to Schedule 40 or heavier; (B) The piping system shall be protected from mechanical damage along its entire length by either location or actual guarding. The guarding shall be of sufficient strength to withstand any anticipated impact. It shall also be capable of containing exploding fragments; and (C) The piping system shall be supported and secured by U bolts, conduit supports, rigid hangers or similar methods at intervals not to exceed five (5) feet. (n) Any air tank having dished heads or conical heads the skirt (flange) and/or the knuckle radius of which does not meet the minimum ASME Code requirements shall have such heads stayed as flat surfaces in accordance with the ASME Code rules for braced and stayed flat plates. Any head dished to a radius greater than the diameter of the tank to which it is attached shall be stayed as a flat surface in accordance with the ASME Code rules for braced and stayed flat plates. No allowance shall be taken in such calculations for the curved portion of the head. (o) All air tanks, including existing installations, having unstayed dished heads without a transition knuckle for attachment to the shell shall be permanently removed from service with the rejection mark affixed by the qualified inspector, as required in Section 462 (i). (p) The bottom dished head of an air tank operated in the vertical position shall not be dished inward but must be concave to pressure. Note: Authority cited: Section 142.3, Labor Code. Reference: Sections 142.3, 7650 and 7681, Labor Code. s 463. Certification of Inspectors. Inspectors shall be certified in accordance with Section 779 of the Boiler and Fired Pressure Vessel Safety Orders. s 464. Air Tank Inspection Fees. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. s 465. Safety Devices and Systems. (a) Each air tank shall be protected by 1 or more safety valves and other indicating and controlling devices that will insure safe operation of the tank. If the tank has a volumetric capacity in excess of 2,000 gallons, it shall be fitted with at least 2 safety valves, the smallest of which shall have a relieving capacity of at least 50 percent of the relieving capacity of the largest valve. (b) Safety relief valves shall: (1) Be constructed and installed in accordance with ASME Boiler and Pressure Vessel Code, Section VIII. (2) Be located and installed so that they cannot be readily rendered inoperative. (A) No valve of any description shall be placed between the required safety valve or rupture disc and the air tank. (B) The opening or connection between the tank and safety valve or valves shall have a cross-sectional area at least equal to the combined areas of all attached safety valve inlets. (3) Be of the direct spring-loaded type. The springs shall not be adjusted to carry more than: 10 percent greater pressure than the set pressure stamped on the valve up to and including 250 psig; or 5 percent greater pressure than the set pressure stamped on the valve above 250 psig. (A) For pressures of 2000 psig or less safety valves shall be equipped with a substantial lifting device so that the disc can be easily lifted from its seat not less than 1/8 the diameter of the seat when the pressure in the tank is 75 percent of that at which the safety valve is set to open. (B) For pressures exceeding 2000 psig: the lifting device may be omitted providing the valve is removed for testing at least once each year and a record kept of this test and made available to the qualified inspector; acceptable rupture discs may be used in lieu of safety valves provided they are in compliance with Section 465 (b) (2), (4) and (5). (4) Be set to open at not more than the allowable working pressure of the tank. (5) Have a relieving capacity sufficient to prevent a rise of pressure in the tank of more than 10 percent above the allowable working pressure when all connected compressors are operating with all unloading devices rendered inoperative. (6) When exposed to a temperature of 32 degrees Fahrenheit or less, have a suitable drain at the lowest point where water can collect. (7) Not have seats or discs of cast iron. (8) Be tested frequently and at regular intervals to determine whether they are in good operating condition. (c) Discharge pipes from safety valves and rupture discs installed on air tanks shall: (1) Have a cross-sectional area at least equal to the combined outlet areas of all valves discharging into them. (2) Be designed and installed so that there will be no interference with the proper operation or discharge capacity of the safety valve or rupture disc. (3) Have no valve of any description. (4) Be fitted with open drains which will prevent the accumulation of liquid above the safety valve or rupture disc. (5) Be installed and supported in a manner that will prevent undue stresses on the safety valve or rupture disc. (6) Be led to a safe place of discharge. (d) Each air tank shall be equipped with a suitable pressure-indicating gage with the dial graduated to approximately double the operating pressure, but in no case less than 1.2 times the pressure at which the safety-relieving device is set to function. (e) Each air tank shall be equipped with a manually operated, valved drain located at the lowest point where water can collect. The valve for this drain shall be suitably located for convenient operation. Automatic drains shall not be considered as complying with this order unless also equipped with a manually operated by-pass. Note: It is recommended that each air tank be completely drained of accumulated moisture at least once during each day of operation. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. s 466. Repairs and Alterations. (a) No alteration or repair affecting the safety of any air tank covered by these Orders shall be made without the authorization of a qualified inspector. (b) Any air tank which has suffered mechanical damage causing dents or other deformations exceeding a depth of 1 1/2 times the thickness of the deformed head or shell or two percent of the tank diameter, whichever is greater, shall be properly re-formed to its original shape or otherwise repaired as provided in these Orders. Deformations less than these amounts located in areas of high stress concentration and/or having abrupt changes in configuration may be required to be reformed to their original shape at the discretion of the qualified inspector. (c) Any areas that are deteriorated by internal or external corrosion or by mechanical abrasion that affects the safety of the tank shall be properly repaired or the allowable working pressure shall be reduced proportionately. The building up by welding of such area is prohibited, except isolated pits shall be permitted to be properly prepared and welded at the discretion of the qualified inspector. (d) No welded repair shall be permitted on a tank of brazed construction. If inspection openings are required in such tanks, they may be machine-cut and closed with handhole plates. (e) Any welding necessary when making major repairs or alterations to tanks shall be done by a welder qualified in accordance with Section IX of the ASME Code in the position or positions used in making the repair or alteration. (1) When minor welding repairs or alterations, such as closing openings not exceeding 2 inch pipe size, installing reinforcing rings around handhole openings, installing staybolts or through stays, etc., are made by a welder who is not ASME qualified, these repairs or alterations shall be authorized and approved by a qualified inspector. (f) The qualified inspector who authorizes any welded repair or alteration shall report it to the Division within 21 days, giving full details, including the State serial number of the tank, the name and address of the owner or user, the location of the tank, and the name and address of the welder and the welder's employer. (1) The qualified inspector shall stamp his/her certificate of competency number adjacent to all welded repairs authorized. (g) If the longitudinal seam of any non-code air tank of welded construction is found to have incomplete penetration of the welded joint, the tank shall not be repaired. Such tanks shall be permanently removed from service, with the rejection mark affixed by the qualified inspector, as required in Section 462(i). Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. s 467. Controls. (a) Any pressure vessel not specifically covered or exempted elsewhere in these Orders shall be protected by one or more safety valves or rupture discs set to open at not more than the allowable working pressure of the vessel and by such other controlling and indicating devices as are necessary to insure safe operation of the pressure vessel. (b) The owner or user of any pressure vessel not specifically covered or exempted elsewhere in these Orders shall provide such inspection and maintenance as is necessary to insure safe operation of the pressure vessel. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. The provisions of Article 5 need not apply to liquefied petroleum gas installations up to the point of delivery to a transportation tank in plants manufacturing this product, nor beyond the storage tanks in plants using this product for processing only and not for fuel; provided, however, that tanks used in such plants shall be designed and constructed in accordance with provisions of Article 2, and shall be maintained and operated in accordance with the provisions of Article 4 of these Orders. s 470. Permit to Operate. (a) Except during the time a request for a permit remains unacted upon, no employer or employee shall use or cause to be used any pressure vessel for the storage or transportation of LP-Gas without first securing from the Division a permit to operate such container. Exception: No permit to operate shall be required for pressure vessels of 125 gallons capacity or less or for cylinders used, inspected, and maintained in accordance with DOT regulations. (b) Permits to operate dispensing units, trap tanks, and skid tanks shall expire in not more than 3 years while the permit to operate transportation tanks, mobile fuel tanks, and storage tanks shall expire in not more than 5 years. It is intended that failure to maintain the installation in compliance with these Safety Orders will be justification to void the permit and require reinspection. (c) The permit to operate any tank shall expire when any of the following occurs: (1) The tank changes both ownership and location. (2) Alterations are made which affect the safety of the installation. (3) The tank has suffered mechanical or fire damage. The permit to operate shall not expire due to the exchange or interchange of approved appurtenances intended for the same purposes. (d) The permit to operate, or an acceptable copy, shall be kept readily available on the premises upon which the tank is located and shall be available at all times to any qualified inspector. In the case of a transportation or portable tank, the permit may be carried in the cab of the towing vehicle or in a suitable weatherproof container secured to the unit. (e) No person shall charge LP-Gas into any tank requiring a permit to operate unless the permit to operate has been issued and posted, except where a request for a permit remains unacted upon. Containers shall be filled or used only upon authorization of the owner. (f) No permit to operate shall be issued for any tank until all provisions of these Orders have been complied with and the required fee has been paid. (g) Any tank that has been used for the storage or transportation of products other than LP-Gas shall be inspected internally by a qualified inspector at the time of the periodic inspection required by Section 470 (i). (h) At the time of the first field inspection of each tank requiring a permit to operate, the qualified inspector shall stamp on the tank a state serial number in accordance with Section 462 (h). (i) Except as permitted in Section 470 (a) each LP-Gas tank shall be inspected in accordance with the intervals shown in Section 470 (b). (j) Inspectors shall be certified in accordance with Section 463. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 13241, Health and Safety Code. s 471. Control of Products in Tanks and Cylinders. (a) No LP-Gas shall be transported or delivered into any vessel covered by these Orders until first odorized using a warning agent of such character that the gases are detectable, by a distinct odor, down to a concentration in air of not over one-fifth the lower limit of flammability. Exception: When the LP-Gas is to be used exclusively in a process where the presence of an odorant would make the LP-Gas unfit for use in the process and for deliveries between refineries or between producing wells and refineries, a waiver may be obtained from the Division upon written request. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 13241, Health and Safety Code. s 472. Charging LP-Gas Containers. (a) Air pressure shall not be used to displace LP-Gas during the transfer operation. (b) All filling connections shall be kept effectively plugged or capped when not in use. These caps or plugs shall be so designed that they will vent to the atmosphere while at least 3 full threads are engaged. (c) An accessible 24-hour communication service shall be required for self-service dispenser systems. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 13241, Health and Safety Code. s 473. Gauging Devices. (a) A permanent dip pipe or a fixed level gauge shall be installed in all containers filled by volume and shall be of such length or position that it will indicate when the tank is 86 1/2 percent full. (1) This fixed dip tube or fixed level gauge shall be permanently installed in the tank. Additional dip pipes or fixed level gauges may be used providing they are permanently marked to show the outage they indicate. (b) Each tank 125-gallon capacity or more, filled by volume, shall be equipped with a liquid level gauging device, such as a rotary gauge, magnetic gage, or series of fixed pipes, in addition to the fixed dip pipe required in Section 473(a). (c) Each tank having an allowable working pressure of less than 250 psi shall have a thermometer well. This Order does not apply to tanks built before January 1, 1946, or to code tanks constructed in accordance with Paragraphs U-68, U-69, and UW-52 (b) for a working pressure of 200 psi or more. The thermometer well shall be plugged or capped when not in use to prevent the entrance of moisture and the resulting hazard of corrosion. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 13241, Health and Safety Code. s 474. Approval of Devices. (a) All devices which are used in LP-Gas installations shall be of an approved type and construction suitable for the use intended. See "Approved." (b) LP-Gas shall not be used to operate any device or equipment designed to be operated with compressed air, nor shall LP-Gas vapor be released into the air, except as provided for by these Orders. (c) Container valves, connectors, regulators, manifolds, piping, and tubing shall not be used as structural supports for heaters. (d) All electrical wiring and electrical equipment shall be in accordance with the Electrical Safety Orders administered by the Division and NFPA 58 Section 3-7.2. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 13241, Health and Safety Code. s 475. Location of Storage Containers and Regulating Equipment. (a) A single container of 575 gallons or less water capacity can be located 10 feet from an important building providing such container is at least 25 feet from any other container of more than 125 gallons water capacity. For important buildings constructed of concrete or masonry materials with no overhanging roof: (1) A single container up to 500 gallons capacity may be located not less than 3 feet from an important building provided there is no opening in the building within 10 feet. (2) A single container 501 to 1200 gallons capacity may be located not less than 3 feet from an important building provided there is no opening in the building within 25 feet. (b) No stationary storage container shall be located less than 10 feet from the nearest street line or sidewalk, or less than 50 feet from the center line of any railroad main track. (c) Installation of stationary LP-Gas containers on the rooftop shall be prohibited. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 13241, Health and Safety Code. s 476. Location and Installation of Underground Tanks. s 477. Installation of Containers (a) Aboveground Containers. (1) Metallic structural supports, when used, shall be encased in concrete or other material having a fire-resistant rating of at least 2 hours when the distance between the lower surface of the tank and the top of the concrete or masonry foundation exceeds 18 inches. (2) Aboveground storage containers shall be protected from impact from vehicles by means of crashposts, curbs, fences, railings or similar barriers. Where crashposts are used, they shall be no less than 5 feet long with 2 feet below ground and encased in concrete. Posts shall be no less than 4 inches in diameter and be filled with concrete if the wall thickness is less than that of standard pipe. Posts shall be 4 feet apart on centers (maximum) and at least 3 feet from the storage container. Other materials may be used and shall provide equivalent protection. Such curbs or fences shall be arranged so they will not hamper free ventilation around the containers. (3) Containers installed in battery shall not be installed with liquid and vapor lines connecting into common headers unless either: (A) the working pressure of all such containers is at least equal to the vapor pressure of the product stored in any such container; or, (B) check valves or other devices are installed in the system to prohibit the introduction of the higher-pressure product into the lower-pressure container. (b) Mounded Containers. Containers shall not be mounded unless written permission to do so has been obtained from the Division. In addition to the requirements of NFPA 58, Section 3-2.4.7, the following construction, maintenance, and documentation provisions shall apply: (1) Construction. (A) Where containers are to be installed closer than 30 inches above surrounding grade, a moisture barrier to prevent the upward migration of potentially corrosive salts or acids shall be installed. (B) Drainage tile or pipe shall be installed to prevent the accumulation of moisture within the insulating medium. Where a moisture barrier is installed, the drainage material shall be placed above that barrier. (C) Relief-valve capacity and installation shall be that which is required for aboveground containers and shall comply with NFPA 58, Section 3-2.6.3, as measured from the tank shell. (D) All container-liquid and vapor-transfer openings shall be fitted with pneumatically-controlled internal-type valves incorporating excess-flow protection or spring-loaded backflow check valves. Remote emergency shutdown capability shall be provided. (E) Container valves and appurtenances shall be accessible for operation, repair, or maintenance without disturbing mounding material. Note: Access crawlways shall be evaluated for compliance with the Confined Space Safety Orders, General Industry Safety Order, Article 108. (F) Prior to mounding, inaccessible plugged openings, joints, and other appurtenances shall be tested for leaks at operating pressure. (G) Liquid level and pressure gauges shall be accessible visually and physically and shall be vented outside of the mounding. (H) Mounded containers shall be protected against corrosion by coating the container with corrosion-resistant material approved for buried installations provided the material is applied in accordance with the manufacturer's recommendations. The employer/user shall submit to the Division a copy of the manufacturer's data for the coating material showing the method and procedures for coating prior to installation. (I) All containers shall be cathodically protected and electrically isolated from connecting piping or electrically conducive structures in accordance with good engineering practice. (J) Depth gauges shall be installed at intervals of not greater than 6 feet along the vertical center line of the container to visually indicate when insulating material becomes less than 1 foot in depth over the container. (2) Maintenance Requirements. (A) Filling densities shall be as required for aboveground containers. (B) Voltage readings from the cathodic system shall be taken and recorded annually and shall produce a negative voltage of at least 0.85 volts with reference to a saturated copper-copper sulfide half cell. (C) All mounded containers shall be completely uncovered for an inspection of all external surfaces at intervals of at least once every 5 years. The intervals shall be extended when no failure in the cathodic protection has been detected, provided that every container shall be uncovered at least once every 30 years. Alternate methods of inspection may be used, e.g., UT, internal inspection. (D) Where passive cathodic protection is provided, amperage readings shall be taken annually from each sacrificial anode. Where impressed current is used, amperage and voltage readings shall be reported at 6-month intervals. (E) The depth gauges across the top of the container shall be observed annually to determine that a minimum of one-foot coverage of insulating material exists over the top of the entire container. (F) Leak surveys shall be conducted annually using a combustible-gas indicator or comparably effective instrument to sample the air from the drainage system beneath the container and from test holes surrounding the container at intervals not greater than 10 feet. (3) Documentation. (A) The following documentation shall be maintained for the life of the system: 1. The construction requirements of this Section and of NFPA 58, Section 3- 2.4.7 shall be documented through the use of photographs and other appropriate means. 2. All tests required in this Section shall be recorded in a system log showing the date the tests were taken, the related readings, and the name of the person making the tests. These tests shall be available to the Division at any time for the purpose of inspection and verification and shall be retained for the life of the installation. 3. The owner or operator of a mounded container shall send a copy of the system log for that container to the Division's principal safety engineer each year during the month of June. (c) Underground Containers. Containers shall not be installed underground unless written permission to do so has been obtained from the Division. In addition to the requirements of NFPA 58, Section 3-2.4.8, the following construction, maintenance, and documentation provisions shall apply: (1) Construction. (A) Underground containers shall be protected against corrosion by coating the container with corrosion-resistant material approved for buried installations provided the material is applied in accordance with the manufacturer's recommendations. The employer/user shall submit to the Division a copy of the manufacturer's data for the coating material showing the method and procedures for coating prior to installation. (B) All containers shall be cathodically protected and shall be electrically isolated from connecting piping or electrically conducive structures in accordance with good engineering practice. (C) No tank used underground shall be installed aboveground until it has been inspected and found to be in compliance with requirements for an aboveground installation. (2) Maintenance Requirements. (A) Voltage readings from the cathodic system shall be taken and recorded annually and shall produce a negative voltage of at least 0.85 volts with reference to a saturated copper-copper sulfite half cell. (B) All underground containers shall be completely uncovered for an inspection of all external surfaces at intervals of at least once every 5 years. The intervals shall be extended when no failure in the cathodic protection has been detected, provided that every container shall be uncovered at least once every 30 years. Alternate methods of inspection such as internal inspection and ultrasonic testing may be used to check and verify the integrity of the container in lieu of it being uncovered. (C) Where impressed current is used, amperage and voltage readings shall be recorded at 6-month intervals. (D) Leak surveys shall be conducted annually using a combustible-gas indicator or comparably effective instrument to sample the air from the tests holes surrounding the container at intervals not greater than 10 feet. (3) Documentation. (A) The following documentation shall be maintained for the life of the system: 1. The construction requirements of this Section and NFPA 58, Section 3-2.4.8 shall be documented through the use of photographs and other appropriate means. 2. All tests required in this Section shall be recorded in a system log showing the date the tests were taken, the related readings, and the name of the person making the tests. These tests shall be available to the Division at any time for the purpose of inspection and verification and shall be retained for the life of the installation. 3. The owner or operator of a underground container shall send a copy of the system log for that container to the Division's principal safety engineer each year during the month of June. (d) Partially Underground/Mounded Containers. Partially underground or partially mounded containers shall be prohibited. (e) Fusible plugs and/or rupture discs are prohibited for any container installed or reinstalled after the effective date of these orders. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 13241, Health and Safety Code. s 478. Skid and Trap Tanks, and Containers on Transportation and Bulk Delivery Vehicles. (a) Unless installed in compliance with Section 477(a), skid and trap tanks shall not be used at any location for more than 180 days without written permission from the Division. (b) Transportation tanks, or other tanks mounted on wheels, shall not be used in lieu of storage tanks or skid tanks without written permission from the Division. Such permission shall be granted for temporary use only and not to exceed 180 days. Note: Authority cited: Section 142.3, Labor Code; and Section 13241, Health and Safety Code. Reference: Section 142.3, Labor Code. s 479. Installation of Tanks on Transportation and Bulk Delivery Vehicles. s 480. Pipes and Fittings for All Liquid Lines and for Vapor Lines Where the Pressure Exceeds 20 PSI. (a) All pipe between the container and first shutoff valve shall be Schedule 80 (extra heavy). All fittings between the container and first shutoff valve shall be steel as required by Section 480(c). Aboveground piping in excess of 1 1/2 inch pipe size may be Schedule 40 when used beyond the first shutoff valve, providing: (1) Threaded connections are used and the piping is used for vapor service only at less than 125 psi. (2) Welded connections are used and the piping is used for liquid or vapor service at less than 400 psi. All other piping shall be Schedule 80. Where used, flare nuts shall be of forged brass. All welded piping shall be fabricated and tested in accordance with the ANSI Standard Code for Pressure Piping, Section 3, Petroleum Refinery Piping B-31.3, 1993 Edition or equivalent. (b) Piping outside of buildings may be either buried or installed aboveground and shall be well-supported and protected against mechanical injury. All underground piping shall be Schedule 80 and shall be buried not less than 18 inches below the surface of the ground, unless otherwise protected, and shall be protected from corrosion by approved corrosion-resistant material and by cathodic protection. Voltage readings from the cathodic system shall be taken and recorded annually and shall produce a negative voltage of at least 0.85 volts with reference to a saturated copper-copper sulfide half-cell. Where impressed current is used, amperage and voltage readings shall be recorded at 6-month intervals. (c) All steel fittings used with Schedule 80 pipe shall be Schedule 80 if butt welded, 3,000 pounds WOG if socket welded, and 2,000 pounds WOG forged steel if threaded. All other steel fittings shall have a rating of at least Schedule 40 if butt welded, and 2,000 pounds WOG if socket welded or threaded. All steel valves and fittings shall have a steam rating of at least one hundred fifty (150) psi, ANSI standard, with a minimum WOG rating of 250 psi. Valves of material other than steel shall have a pressure rating of at least two hundred (200) psi steam, or four hundred (400) psi WOG. The manufacturer of LP-Gas valves shall stamp or otherwise permanently mark the valve body to indicate the pressure rating. Steam valves when used for LP-Gas service shall be refitted for such service. Valve seat material, packing, gaskets, etc., shall be resistant to the action of LP-Gas. (d) The use of the following is prohibited: (1) Valves of a design that will allow the valve stem to be removed without removal of complete valve bonnet. (2) Valves with valve stem packing glands which cannot be repacked under pressure, unless there is another valve of acceptable type between them and the tank. (3) Aluminum tubing. (4) Pipe nipples used in lieu of couplings or flanges on tanks. (5) Multivalves without excess-flow valves and fixed dip tubes for use other than DOT cylinders. (e) In addition to the valves required in NFPA 58, Section 2-3.3.2, all liquid and vapor connections shall be fitted with manually operated shutoff valves located as close to the container as practicable. (f) Where containers are in liquid service or a combination of liquid and vapor service, all connections with manually operated shutoff valves shall be legibly labeled to indicate whether they communicate with the vapor or liquid space. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 13241, Health and Safety Code. s 481. Pipes and Fittings for Vapor Lines Where the Pressure Is 20 PSI or Less. Note: Authority and reference cited: Section 142.3, Labor Code. s 482. Hose Specifications. s 483. Pressure Gages. s 484. Vaporizer Installation. (a) Surge tanks, gas-air mix tanks, etc., containing vapor only, shall be located at least 3 feet from important buildings and property lines. Such tanks operating at pressures exceeding 20 psi shall be located not less than 10 feet from any building opening, whereas such tanks exceeding 501 gallons shall be located not less than 25 feet from any building opening. (b) The use of direct-fired container heaters is prohibited. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 13241, Health and Safety Code. s 485. Safety Valves. s 486. Regulators. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 13241, Health and Safety Code. s 487. Regulator Installation. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 13241, Health and Safety Code. s 488. LP Gas Tank Inspection Fees. See the Division of Occupational Safety and Health's regulations contained in Chapter 3.2, Group 2, Title 8, California Code of Regulations. The regulations for LP Gas tank inspection fees are reprinted in Appendix C of these orders. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 13241, Health and Safety Code. s 489. Warning Signs. (a) All containers in excess of 125 gallons, except transportation containers and fuel containers on motor vehicles, shall have the word "FLAMMABLE" on each side that is readily visible. The letters of this sign shall be in standard-type letters and shall have a height of at least 1/12 of the diameter of the container, but need not be in excess of 1 1/2 inches for containers of 500 gallons capacity or less or 4 inches for containers exceeding 500 gallons capacity. (b) Warning signs with the words "NO SMOKING, OPEN FLAMES OR OTHER SOURCE OF IGNITION PERMITTED WITHIN ______ FEET" shall be applied in letters at least 1 1/2 inches high, in sharply contrasting colors, on each stationary container or on a sign posted adjacent to the container. This sign shall also be posted adjacent to all loading and unloading terminals located more than 50 feet from the container. (c) When 2 or more containers are installed in battery, the requirement of Sections 489 (a) and (b) will be considered as being complied with when the required warning signs are prominently displayed on all 4 sides of such battery of containers. Note: The distance shall be that shown on the following table: Volumetric capacity of .......... Minimum distance Containers (in U.S. gallons) ... from source of ignition 125 to 500 inclusive............. 10 feet 501 to 2,000 inclusive........... 25 feet Over 2,000....................... 50 feet (d) The warning signs required in Section 489(b) shall be posted on each exterior wall of each room or building used for filling or storage of cylinders. (e) When LP-Gas and one or more other gases are stored or used in the same area, the containers shall be marked to identify their content. Markings shall be in compliance with ANSI Z48.1-1992, "Method of Marking Portable Compressed Gas Containers To Identify the Material Contained." Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 13241, Health and Safety Code. s 490. Installation of Fuel Tanks for Motor Vehicles. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. s 491. Installation of Fuel Tanks and Cylinders Used on Tar Pots, Weed Burners, Etc. s 492. Use of Tanks and Cylinders of Less than 60 U.S. Gallons. s 493. Storage or Utilization of LP-Gas Within Buildings. s 494. Repairs and Alterations. (a) No repairs or alterations involving flame, arc, or other method of welding shall be made on any container cylinder, or system unless such container, cylinder, or system shall first have been certified as gas free or oxygen free by a qualified person. (b) No repair or alteration affecting the safety of any container or cylinder shall be made until the contemplated repair or alteration has been authorized by a qualified inspector. The owner or user of the LP-Gas container shall ensure that the repair or alteration is performed by a company with a valid ASME "U" or a National Board "R" Certificate of Authorization. The exchange or interchange of valves, fittings, and accessories intended for the same purpose shall not be considered a repair or alteration. (c) No container or cylinder that has been subjected to a fire shall be returned to service until it has been inspected by a qualified inspector and found to be safe. Any container or cylinder which has suffered mechanical damage causing dents or other deformation exceeding a depth of 1 1/2 times the thickness of the deformed head or shell or two percent of the container diameter, whichever is greater, shall be re-formed to its original shape or otherwise repaired as provided in these Orders. (d) Any vessel requiring repair or alteration or that has been subjected to a fire shall not be recharged until it has been retested in accordance with the requirements for its original hydrostatic test and found to be suitable for continued service, when such test is deemed necessary by the qualified inspector. (e) The owner or user of the LP-Gas container shall ensure that all repairs or alterations affecting the safety of LP-Gas tanks are reported to the Division within 21 days by the ASME "U" or National Board "R" certificate holder making such repairs or alterations using the appropriate National Board Form, "R-1", Report of Welded Repair, or "R-2", Report of Alteration, or equivalent (See Appendix D). The owner or user shall ensure that the qualified inspector stamps his/her certificate of competency number adjacent to all welded repairs authorized by him/her, except that in the case of repairs to quenched and tempered steels, this number need not be stamped. This exception shall be noted in the inspector's report. (f) Any welding necessary when making repairs or alterations to containers shall be done by a welder qualified in accordance with Section IX of the ASME Code in the position or positions used in making the repair. (g) Repairs to DOT cylinders shall be made under DOT regulations and control in accordance with the requirements of 49 CFR Section 173.34. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code; and Section 13241, Health and Safety Code. s 500. Approval of Devices. (a) All devices which are used in anhydrous ammonia service shall be of a type and construction suitable for the use to which they are put. They shall preferably be listed by at least one nationally recognized testing laboratory such as, but not limited to, Underwriters Laboratories, Inc. and Factory Mutual Engineering Corp. (For the purposes of this paragraph, the word "listed" means that equipment is of a kind mentioned in a list which is published by a nationally recognized laboratory which makes periodic inspection of the production of such equipment, and states such equipment meets nationally recognized standards or has been tested and found safe for use in a specified manner.) The Division may approve or accept devices upon satisfactory evidence that they are designed and constructed for safe operation in anhydrous ammonia service. Drawings and calculations for custom-built devices must be submitted to the Division for acceptance. Both the drawings and calculations must be signed by a registered professional engineer. s 501. Installation of Aboveground Storage Tanks for Other Than Refrigeration Service. (a) Stationary tanks shall be installed aboveground on firm masonry or concrete foundations, or on full length skids providing a bearing area limiting foundation loadings to not more than 2,000 pounds per square foot. Unless supported by continuous skids welded to pads on the tank shell, aboveground horizontal storage tanks shall have no more than 2 points of support longitudinally. Where necessary, tanks shall be securely anchored or weighted to prevent floating. A tank may be installed on saddles, directly on concrete foundations, or it may be supported by properly designed metallic structural supports. When the tank is installed directly on concrete foundations, a corrosion pad shall be provided at the points of contact with the foundation. These corrosion pads shall be at least 3/16 inch thick, and shall have a width at least equal to the width of the foundation at the point of contact with the tank, but in no case shall they be less than 8 times the shell thickness in width. When corrosion pads or pad-type steel supports are used, the pad shall have rounded or semielliptically shaped ends, and shall be attached to the shell with a continuous seal weld. Corrosion pads shall be not less than 1/4 the circumference of the shell in length. Unless installed on concrete pads, skid tanks shall be placed on engineered soil or road base topped with well-drained gravel or oiled sand, capable of supporting 2,000 pounds per square foot. Sufficient space shall be provided between stationary storage tanks to permit access for fire fighting. This space shall not be less than 5 feet for tanks over 1,200-gallon capacity. Tanks exceeding 1,200-gallon capacity shall be so installed that the bottom outside surface of the tank is at least 12 inches above ground level. (b) All tanks over 1,200-gallon capacity shall be installed on foundations in such a manner as to permit expansion and contraction. Every tank shall be so supported as to prevent the concentration of excessive loads on the tank at the points of support. All foundations and fastenings shall be designed to provide reasonable safety under imposed loadings, including wind, earthquake, vibrations, etc. (c) Containers shall be located outside of buildings, or in buildings or sections thereof especially equipped for this service. Consideration shall be given to the adverse health effects of ammonia, as well as the adjacent fire hazards, when selecting the location for a storage container. Storage areas shall be kept free of readily ignitible materials such as waste, weeds, and long dry grass. Stationary storage tanks shall be located with relation to property lines, residential buildings, highways, etc., in accordance with the following table: Minimum distance (feet) from tank to Line of prop- erty adjoining Highway or Capacity of tank in .............. which may main track Residential U.S. gallons .................. be built upon of railroad building 1,200 and less ................... 50 25 50 Over 1,200 to and including 30,000 ......................... 50 50 50 Over 30,000 to and including 70,000 ......................... 65 50 65 Over 70,000 to and including 500,000 ........................ 100 50 100 Over 500,000 ..................... 150 50 150 Minimum distance (feet) from tank to Any Building or area used by the public for deliberation, worship, education, Hospital, Open well, entertainment, jail or reservoir, amusement, other or other Capacity of tank in .............. or awaiting similar source of U.S. gallons .................. transportation institutions potable water 1,200 and less ................... 250 750 50 Over 1,200 to and including 30,000 ......................... 400 1,000 100 Over 30,000 to and including 70,000 ......................... 520 1,300 100 Over 70,000 to and including 500,000 ........................ 800 2,000 200 Over 500,000 ..................... 1,000 2,500 200 Electrical equipment and wiring for use in ammonia installations shall be general purpose or weather resistant as appropriate. Electrical systems shall be installed and maintained in accordance with the Electrical Safety Orders. (d) Where vehicle impact is possible or likely stationary tanks shall be protected against vehicle damage by a rugged fence, suitable crash posts, curbs, or other acceptable protection. All storage tanks located where unauthorized tampering is possible shall be surrounded with a rugged steel fence or equivalent, or all liquid and vapor outlets shall be kept effectively locked when not in use. (e) All stationary storage tanks exceeding 1,200 gallons capacity shall have the loading and unloading connections secured to a concrete bulkhead or equivalent designed to withstand a horizontal pull of not less than 2,000 pounds in any direction, unless other suitable protection is provided. This bulkhead shall not be located underneath the tank. The loading and unloading connections shall be firmly secured to this bulkhead and the piping between the bulkhead and tank shall be installed in a manner to provide for expansion, contraction, jarring, vibrations, settling, etc. For skid tanks exceeding 1,200 gallons capacity, such loading and unloading connections shall be securely fastened to the skid or to the tank supports. Note: 2,000 pounds may not be adequate for all sizes of loading and unloading hoses and connections. (f) Where excess-flow valves [See Section 507 (e)] are used, liquid and vapor lines shall be at least full size from the excess-flow valve in the tank to the point of discharge or an additional excess-flow valve or equivalent shall be located as close to the point of pipe size reduction or other restriction as is practical, unless the excess-flow valve in the tank is designed to operate at the reduced flow condition, in which case the excess-flow valve in the tank may suffice. Where excess-flow valves are used and 2 or more tanks are installed in battery, with common loading and/or unloading lines, the common liquid and vapor lines shall be fitted with excess-flow valves or equivalent (unless the common line has a cross-sectional area equal to or in excess of the combined areas of the individual tank lines; or unless the excess-flow valves are designed to operate at the reduced flow condition, in which case the excess-flow valve in the tank may suffice). Where additional excess-flow valves are used in common loading and/or unloading lines, the additional excess-flow valve or equivalent shall be located as close to the point of restriction as practical. Note: A quick-closing manually operated valve may be considered equivalent to an excess-flow valve at the point of pipe size reduction or other restriction providing: (1) It is equipped with a means of closing the valve manually from a point remote from the delivery connection. (2) The loading and/or unloading line in which it is located is secured to a bulkhead complying with Section 501 (e). (3) The quick-closing valve is in the pipeline on the tank side of the bulkhead. (g) Tanks installed in battery shall be so installed that the top surfaces of the tanks are substantially in the same horizontal plane. (h) The following minimum equipment shall be installed, properly maintained, and readily available for use at all stationary storage tanks in readily accessible locations. (1) At least two full face respiratory devices in compliance with Section 5144; preferably one self contained breathing apparatus, and one NH 3 gas mask with spare canister. (2) One pair NH 3 resistant gloves. (3) One pair NH 3 resistant boots. (4) NH 3 resistant pants and jacket and/or slicker. (5) One quick-acting deluge shower and bubble fountain or other method of simultaneously washing both eyes with clean water. The minimum water supply shall be a 50-gallon container of clean water. (6) One first-aid kit in compliance with Section 3400 or 3439. (7) One fire extinguisher conforming to the provisions of California Administrative Code, Title 19, Chapter 1, Subchapter 3, and having a rating of not less 40B-C. The employer shall have a program of periodic inspection of the above emergency equipment to maintain it in serviceable condition. s 502. Warning Signs. (a) Except as noted in Section 502 (b), all anhydrous ammonia tanks 60 gallons capacity or more shall have warning signs provided on at least 2 sides with the words "Caution -Ammonia" in sharply contrasting colors, with letters at least 1/12 of the tank diameter in height, but need not be in excess of 1 1/2 inches for tanks 500 gallons capacity or less or 4 inches for tanks exceeding 500 gallons capacity. (b) All tanks used for the transportation of ammonia on the highways shall be marked as specified by the DOT and adopted by Section 1222, California Administrative Code, under authority of Section 34500, Vehicle Code. These markings also will be acceptable to the Division in lieu of the markings required under Section 502 (a) for such tanks in off-highway service. (c) Uninsulated containers shall have a highly reflective surface maintained in good condition. s 503. Portable Tanks. (a) Portable tanks installed as permanent installations for periods of time exceeding 90 days shall be in compliance with Section 501. Portable tanks filled at point of use shall be installed substantially level. A safe and accessible source of clean water (minimum 5 gallons) shall be immediately available to enable an employee to wash his eyes in case of accidental sprays or spillage. If a container is used, it shall have a suitable opening to permit the application of water to flush the eyes. (b) Portable tanks shall comply with these orders, and legs or other supporting structures shall be secured to tanks in accordance with the code or rules under which the tank is designed and built, and shall be designed to withstand a loading in any direction equal to the loaded weight of the tank when filled to the maximum permissible level with a factor of safety of at least 8. (c) Fittings on all portable tanks shall be installed in recessed wells or otherwise protected to prevent damage to the fittings during transportation and use. (d) When portable tanks are transported from 1 location to another, they shall be securely fastened to the transporting vehicle. (e) When containers are mounted on four-wheel trailers, care shall be taken to insure that the weight is distributed evenly over both axles. (f) When the cradle and the tank are not welded together suitable material shall be used between them to eliminate metal-to-metal friction. s 504. Installation of Tanks on Transportation and Bulk Delivery Vehicles. (a) Transportation tanks mounted on truck or trailer frames shall be placed on saddles or bolsters with the center of gravity as low as possible. Such saddles, bolsters, and/or other fastenings shall be designed to withstand a loading in any direction equal to the loaded weight of the tank when filled to the maximum permissible level with a factor of safety of at least 8. Transportation tanks of the so-called "frameless-type" shall not be used in anhydrous ammonia service until the design of the tank and tank supports has been submitted to the Division and found acceptable. The installation must also comply with DOT requirements. All transportation trailers shall be firmly and securely attached to the vehicle drawing them by means of suitable drawbars supplemented by a safety chain (or chains) or safety cables. Every transportation trailer or semitrailer shall have a reliable system of brakes, and adequate provision shall be made to operate the brakes from the driver's seat. Every transportation trailer shall be equipped with self-energizing brakes. Transportation trailers shall be so designed that the towed vehicle will follow substantially in the path of the towing vehicle and will not whip or swerve dangerously from side to side. Where a fifth wheel is employed, it shall be ruggedly designed, securely fastened to both units, and equipped with a positive locking mechanism which will prevent separation of the two units except by manual release. (b) Every transportation tank shall be protected by a suitable steel bumper attached to the vehicle chassis or equivalent. (c) All fittings on transportation tanks not protected by the vehicle frame shall be located in recessed wells or otherwise suitably guarded. Any such guards shall be designed to minimize the possibility of rupturing the tank head or shall in case of vehicular accident. The recessed well, if used, shall be of sufficient size and depth that the top of all fittings will be located below the tank shell or head line. The recessed well for safety relief valves shall be located at the top center of the tank and shall be equipped with an unlocked hinged cover or equivalent. (d) No anhydrous ammonia piping or valves shall be installed within the cab or driver's compartment of a truck. (e) All piping and fittings on the bottom of transport and bulk delivery tanks shall be adequately guarded. (f) All tank trucks and all trucks pulling tank trailers used to transport anhydrous ammonia over 1,200 gallons water capacity shall be equipped with the following minimum safety equipment which shall be properly maintained and readily available for use: (1) One pair of NH sub3 resistant gloves. (2) Full face mask for ammonia service (3) One fire extinguisher conforming to the provisions of Article 157 of the General Industry Safety Orders and having a rating of not less than 20B-C. (4) A container of not less than 5 gallons of fresh water, so located as to permit immediate application. This container shall have a suitable opening to permit rinsing of eyes. (g) Each liquid withdrawal opening 2 inches nominal pipe size or larger on transportation tanks and bulk delivery vehicles over 1,200 gallons capacity shall be fitted with a remotely controlled internal shutoff valve of the type listed in Sections 507 (e) (3) through (5). Such tanks over 3,500 gallons capacity shall have 2 remote stations for the valve controls, 1 at each end of the tank and diagonally opposite each other. One control mechanism at each control station may be used to operate all such remotely controlled valves. All replacement valves for the above service shall comply with these Orders, if the openings in the tank are adaptable for conversion. (h) Where excess-flow valves [See Section 507 (e) (2).] are used, all liquid and vapor lines shall be at least full size from the excess-flow valves in the tank to the point of discharge or an additional excess-flow valve or equivalent shall be located as close to the point of pipe size reduction or other restriction as is practical, unless the excess-flow valve in the tank is designed to operate at the reduced flow conditions, in which case the excess-flow valve in the tank may suffice. Where excess flow valves are used on tank trucks having 2 or more tanks with common loading and/or unloading lines, the common liquid or vapor lines shall be fitted with an excess-flow valve or equivalent in the common line in addition to the excess-flow valve in the tank opening (unless the common line has a cross-sectional area equal to or in excess of the combined areas of the individual tank lines or unless the excess flow valves in the tank are designed to operate at the reduced flow condition, in either of which case the excess-flow valve in the tank may suffice). Where additional excess-flow valves are used in common loading and/or unloading lines, the additional excess-flow valve or equivalent shall be located as close to the point of restriction as is practical. Note: A quick-closing manually operated valve may be considered equivalent to an excess-flow valve at the point of pipe size reduction or other restriction providing: (1) It is equipped with a means for closing the valve manually from a point remote from the transfer hose connection. (2) The loading and/or unloading line in which it is located is secured to the tank or vehicle framework a required by Section 504 (i). (3) The quick-closing valve is located on the tank side of the structure used to secure the line or lines to the tank or vehicle frame. (i) All liquid and vapor lines shall be adequately secured to the vehicle frame or tank. The device used to secure the lines shall be so designed that it will withstand the load imposed by the strongest hose and hose fitting to be used in the transfer operations without breaking, or 2,000 pounds, whichever is greater. (j) All piping and fittings on transport and bulk delivery tanks shall be adequately guarded. The use of anhydrous ammonia hose between the tank and the transfer hose connection shall be limited to not more than 3 sections of metallic hose not over 24 inches in length in each liquid and vapor line. Such lengths of hose shall be used only where necessary to provide flexibility and shall not have 1 section of hose connected to another section of hose. Each section shall be so installed that it will be protected against mechanical damage and be readily visible for inspection. The manufacturer's identification required in Section 510 (b) shall be retained on each section. (k) All transportation tanks shall be equipped for spray loading (filling in the vapor space), with an approved vapor return valve of adequate capacity. s 505. Installation of Mobile Storage Tanks. (a) Mobile storage tanks shall meet the requirements of Section 504 except that: (1) The design of saddles, bolsters, and/or other fastenings may be based on the empty weight of the tank for other than vertical loadings.(2) In addition to the requirements of Section 504 (f), there shall be available a container of not less than 50 gallons of fresh water unless there is immediately available another safe, reliable, and accessible source of water. (b) When containing NH sub3 liquid, mobile storage tanks shall be located in accordance with Section 501 (c). (c) Mobile storage tanks shall be maintained substantially level and be securely blocked against accidental movement and shall be adequately supported independently of the wheels when containing NH sub3 liquid. (d) Only flexible connections shall be made to mobile storage tanks. No permanent piping to other installations is permitted. The loading and unloading connections shall be securely fastened to the vehicle frame or to the tank supports. (e) All liquid shall be removed from mobile storage tanks before being moved to a new location. (f) Unless surrounded by a rugged steel fence or equivalent, all liquid and vapor outlets shall be kept effectively locked when unattended. (g) Transportation tanks shall not be used as mobile storage tanks without written permission from the Division, unless they are in full compliance with both Sections 504 and 505. s 506. Installation of Tanks Mounted on Farm Machinery. (a) Tanks or cylinders used to furnish anhydrous ammonia to agricultural applicator tanks and tanks used on applicators, etc., shall be so installed that the bottom of the container and/or any outlet connection, including hose, shall not be lower than the lowest horizontal edge of the vehicle axle when fully loaded. These tanks shall be secured to prevent jarring loose, slipping, or rotating of the tanks while in service. Such supports and fastenings shall be designed to withstand a loading in any direction equal to the loaded weight of the tank when filled to the maximum permissible level with a factor of safety of at least 8. Field welding where necessary, shall be made only on nonpressure parts that were installed by the manufacturer of the tank. (b) The connections between the applicator tank and pressure-reducing valve shall be extra heavy fittings and Schedule-80 pipe, high-pressure anhydrous ammonia hose (1750 psi minimum bursting pressure), or equivalent, and where exposed, shall be protected against physical damage. All main shutoff valves shall be readily accessible while the unit is in normal operation. All shutoff valves shall be suitably protected against physical damage. (c) While in use on farm machinery, each skid tank, applicator tank, or combination thereof shall have securely attached a container holding not less than 5 gallons of fresh water. This container shall have a suitable opening to permit the application of water to flush the eyes. The container of fresh water required by this subsection may be attached to the tractor or other source of power used to tow the vehicle or device on which the tank is used. (d) All trailers shall be securely attached to the vehicle drawing them by means of drawbars supplemented by suitable safety chains. (e) A trailer shall be constructed so that it will follow substantially in the path of the towing vehicle and will not whip or swerve dangerously from side to side. s 507. Piping, Valves, and Fittings for Liquid and Vapor Lines. (a) All pipe between the tank and first shutoff valve shall be at least Schedule 80. All fittings between the tank and the first shutoff valve shall be steel as required by Section 507 (c), first paragraph. Aboveground piping in excess of 1 1/2-inch pipe size may be Schedule 40 when used beyond the first shutoff valve provided welded, or welded and flanged connections are used. All other piping shall be Schedule 80. All piping shall be tested after assembly and proved free of leaks at a pressure of not less than its normal operating pressure or 150 psi, whichever is greater. Flammable material shall not be used for the installation acceptance pressure test. All welded piping shall be fabricated and tested in accordance with the ANS Standards Code for Pressure Piping, Section 3, Petroleum Refinery Piping B-31.3, 1966 Edition or equivalent. All refrigerated piping shall conform to the Refrigeration Piping Code, American National Standards Institute, B-31.5-1966 with addenda B-31.1a-1968 as it applies to ammonia. Hose shall not be used in lieu of piping between the tank and loading and/or unloading connection, except that a section of metallic hose, not to exceed 24 inches in length may be used in each pipeline to provide flexibility and except as provided in Section 504 (j). The manufacturer's identification required in Section 510 (b) shall be retained on each section. (b) All piping shall run as directly as practical, with suitable provision for expansion, contraction, jarring, vibrations, and settling. Piping may be either buried or installed aboveground, and shall be well supported and protected against physical damage. All underground piping shall be buried not less than 18 inches below the surface of the ground unless otherwise protected, and shall be adequately coated or otherwise protected against corrosion. Pipe coated as follows will be considered acceptable: (1) Clean and prime. (2) Coat with asphalt enamel. (3) Wrap with forty-pound felt. (4) Coat with asphalt enamel. (5) Wrap with forty-pound felt. (6) Coat with asphalt enamel. (7) Wrap with Kraft paper. Equivalent wrapping will be accepted at the discretion of the Division. (c) All steel fittings used with Schedule 80 pipe shall be Schedule 80 if butt welded, 3,000 pound WOG if socket welded, and 2,000 pound WOG forged steel if threaded. All other steel fittings shall have a rating of at least Schedule 40 if butt welded and 2,000 pound WOG if socket welded or threaded. Threaded connections shall not be seal welded. Joint compounds shall be resistant to ammonia. All other valves and fittings shall be of a type suitable for use with anhydrous ammonia and shall have a pressure rating of at least 400 psi WOG. Valve seat material, packing, gaskets, etc., shall be suitable for anhydrous ammonia service. (d) The use of the following is prohibited: (1) Valves, cocks, and pipe fittings of semisteel other than ASTM Specification Nos. A 536-67, Grade 60-40-18; A 395-68; A 445-66; A 47-68, Grade 35018; unless they have a pressure rating of not less than 600 psi WOG. In no case shall valves of semisteel other than the 4 ASTM Specifications listed above be used for primary stop valves. Cast iron fittings made specifically for anhydrous ammonia service, meeting ASTM A-126-66, class B or C, may be used for secondary service if they have a service rating of at least 600 psi. (2) Street ells and screwed service tees unless they are extra-heavy forged construction. (3) Valves of a design that will allow the valve stem to be removed without removal of the complete valve bonnet, unless the flow is restricted by an inlet orifice to not more than 54 drill gage size. (4) Ordinary solid-wedge-type gate valves unless there is another stop valve of acceptable type between the gate valve and tank. (5) Valves with valve stem packing glands which cannot be repacked under pressure, unless there is another valve of acceptable type between it and the tank. (6) Threaded aluminum fittings and/or adapters that are required to be connected or disconnected as part of the filling or transfer operation. (7) Copper and brass pipe, fittings, valves, etc. (8) Pipe, fittings, etc., that are galvanized or otherwise plated with material which is attacked by ammonia where such plating or galanizing is exposed to ammonia. (e) Except for service valves, safety relief valves, and gaging connections, all liquid and vapor connections shall have 1 of the following installed directly in the tank connections: (1) Connections up to and including 4-inch pipe size: (A) A back-pressure check valve. (B) An excess-flow valve. Excess flow valves shall be designed with a bypass, not to exceed a No. 60 drill-size opening to allow equalization of pressures. All excess flow valves shall be plainly and permanently marked with the name or trademark of the manufacturer, the catalog number, and the rated capacity. (C) A manually operated check valve (internal valve) equipped with means for closing the valve from a point remote from the delivery connection and with such control mechanism fitted with a fusible section having a melting point of 208 degrees Fahrenheit to 220 degrees Fahrenheit which will cause the valve to close automatically in case of fire. (D) A positive check valve (internal valve) which can be operated manually and which will close automatically on excess-flow conditions and which can be closed manually from a point remote from the delivery connections. Such valve shall also incorporate a fusible section as required in Section 507 (e)(1)(C) which will cause the valve to close automatically in case of fire. (E) A positive check valve (internal valve) which is normally closed and which is opened by pump discharge pressure and which can be closed manually from a point remote from the delivery connections. Such valve shall close automatically with a reduction of pump discharge pressure and shall also incorporate a fusible section as required in Section 507 (e)(1)(C) which will cause the valve to close automatically in case of fire. Note: Service valve as used in this order is limited to vapor valves screwed into vessel outlets not larger than 3/4-inch pipe size and having an inlet internal diameter in the valve body not exceeding the internal diameter of a 1/2-inch Schedule 80 pipe. (2) Valves larger than 4 inch pipe size need not be installed directly in a tank connection, under the following conditions: (A) The valve must be installed at the first flange or welded joint immediately outside the container in such a manner that any undue strain beyond the valve will not cause breakage between the tank and the valve. (B) Automatically or remotely controlled valves, or both, of the fail safe type, shall be used. They must also be capable of manual operation. (C) Piping between the tank and the valve shall be at least Schedule 120. (D) Acceptance of the valves by the Division must be requested prior to installation. (E) Where cables are used for remote operation, the control must be fitted with a fusible section having a melting point of 208 Fahrenheit to 220 Fahrenheit, which will cause the valve to close automatically in case of fire. (f) In addition to the valves required in Section 507 (e), all liquid and vapor connections other than safety relief valve and gaging connections shall be fitted with a manually operated shutoff valve located: (1) As close to the tank as practicable in all pipelines on connections not included in Section 507 (f)(2) or (3). (2) In the loading and/or unloading pipelines between the tank and the pump, compressor, meter, or bulkhead, whichever is nearest the tank and in each branch line where it leaves a loading and/or unloading line. This applies only to pipelines on stationary tanks having the loading and/or unloading lines secured to bulkheads specified in Section 501 (e) and having valves complying with Section 507 (e)(1)(D) or (E) installed in the tank connections of such pipelines. When a pump is attached directly to a valve complying with Section 507 (e)(1)(D) or (E), the manually operated shutoff valve required by this Order may be located between said pump and the meter or bulkhead, whichever is nearest the tank. (3) In the loading and/or unloading pipelines between the tank and the device used to secure the pipeline as required in Section 504 (i). This applies only to pipelines on transportation tanks having valves complying with Section 507 (e)(1)(D) or (E) installed in tank connections of such pipelines. (g) Every liquid pipeline or hose that can be isolated by 2 or more stop valves shall have a safety relief valve installed in the pipeline or hose to prevent excessive hydrostatic pressure. The safety relief valve required by this subsection shall start to discharge at not less than 300 psi, nor more than 400 psi, and it must relieve to the atmosphere at a safe point of discharge. (h) All valves, regulators, gaging, and other tank accessory equipment shall be protected against physical damage. (i) All tank connections requiring manually operated shutoff valves shall be labeled or tagged to indicate whether they communicate with the liquid or vapor space. (j) The liquid fill line used to transfer anhydrous ammonia from transportation tanks exceeding 3,500 gallons capacity to storage tanks exceeding 2,000 gallons capacity shall be equipped with a backflow check valve to prevent discharge of anhydrous ammonia from the receiving tank in case of hose rupture. This is not intended to prevent transferring anhydrous ammonia from containers, other than transportation tanks exceeding 3,500 gallons capacity, into storage tanks through the load-out line. (k) All tanks shall be equipped with vapor return valves. s 508. Gaging Devices. (a) A permanent dip pipe shall be installed in all tanks designed to be filled by volume, and shall be of such length that it will indicate when the tank is 86 1/2 percent full. The fixed dip pipe required in this order shall be permanently installed in the tank. Each applicator container shall have a fixed liquid-level gage. (b) Each tank filled by volume shall be equipped with a liquid level gaging device, such as a rotary gage, a slip tube, an automatic gage, a magnetic gage, or a series of fixed dip pipes, to show the liquid level in the tank at any time. This gaging device shall be in addition to the fixed dip pipe required in Section 508 (a). A thermometer well shall be provided in all storage tanks over 1,200 gallons capacity not equipped with a fixed dip pipe, and in all transportation tanks. (c) Liquid level gaging devices that require bleeding of the product to the atmosphere, such as rotary gages, dip pipes, or slip tubes, shall be so designed that the maximum opening of the bleeder valve is not larger than No. 54 drill size. (d) Liquid level gaging devices shall be designed for a working pressure of not less than 300 psi ANS rating. (e) Tubular-type gage glasses shall not be used. (f) Each transportation tank exceeding 1,200 gallon capacity shall have a pressure gage installed with the dial graduated to approximately double the operating pressure but in no case less than 1.2 times the pressure at which the pressure relieving device is set to function. Each farm vehicle tank over 250 gallons and each storage container shall be provided with a pressure gage graduated from 0 to 400 p.s.i. Gages shall be designated for use in ammonia service. s 509. Transfer of Liquids. (a) No anhydrous ammonia shall be vented to the atmosphere during the transfer operation unless the vent is led to a safe point of discharge. Anhydrous ammonia shall not be stored in or transferred into a container at a temperature lower than that shown on the nameplate. Containers shall be charged or used only upon authorization of the owner. (b) No gas other than anhydrous ammonia vapor shall be used to displace anhydrous ammonia during the transfer operation. (c) All filling connections and/or permanently installed transfer hoses shall be equipped with a shutoff valve at the discharge end and shall be kept effectively capped when not in use. These caps or plugs may be plastic or metallic, but must be so designed that they will be vented to the atmosphere while at least 3 full threads are engaged. (d) During the transfer of anhydrous ammonia, at least 1 attendant familiar with the installation shall remain in attendance at the controls necessary to stop the transfer operation. This attendant shall be considered familiar with the installation only after he has been provided with a set of operating instructions for the unloading operation and has been instructed through a minimum of 3 full cycles of operation. During the transfer of anhydrous ammonia into or from a transportation tank, the brakes of the transporting vehicle shall be set and the wheels blocked. Provisions for unloading tank cars shall conform to the applicable recommendations contained in the DOT regulations. See 560(e) for Railroad Tank Car Loading and Unloading. (1) Caution signs shall be so placed on the track or car as to give necessary warning to persons approaching the car from open end or ends of siding and shall be left up until after the car is unloaded and disconnected from discharge connections. Signs shall be of metal or other suitable material, at least 12 by 15 inches in size and bear the words "STOP -Tank Car Connected" or "STOP -Men at Work" the word, "STOP," being in letters at least 4 inches high and the other words in letters at least 2 inches high. The letters shall be white on a blue background. (2) The track of a tank car siding shall be substantially level. (e) No anhydrous ammonia shall be transferred with the point of delivery less than 10 feet from any residential building, street, public highway, or sidewalk unless the failure to transfer would create a hazard. (f) All pumps and compressors used for the transfer of anhydrous ammonia shall be suitable for this service and shall be equipped with a pressure-actuated bypass valve and/or other acceptable device to prevent pressure in the transfer equipment of more than 400 psi unless the piping system is specifically designed for higher pressures. In no case shall safety relief valves used for this purpose be set to open at pressures of less than 325 psi or more than 400 psi. (1) Pumps shall be designed for at least 250 p.s.i. working pressure. Positive displacement pumps shall have, installed off the discharged port, a constant differential relief valve discharging into the suction port of the pump through a line of sufficient size to carry the full capacity of the pump at relief valve setting, which setting and installation shall be according to the pump manufacturer's recommendations. On the discharge side of the pump, before the relief valve line, there shall be installed a pressure gage graduated from 0 to 400 p.s.i. Plant piping shall contain shutoff valves located as close as practical to pump connections. (2) Compressors used for transferring or refrigerating ammonia shall be recommended for ammonia service by the manufacturer. Compressors shall be designed for at least 250 p.s.i. working pressure. Plant piping shall contain shutoff valves located as close as practical to compressor connections. A relief valve large enough to discharge the full capacity of the compressor shall be connected to the discharge before any shutoff valve. Compressors shall have pressure gages at suction and discharge graduated to at least one and one-half times the maximum pressure that can be developed. Adequate means, such as drainable liquid trap, shall be provided on the compressor suction to minimize the entry of liquid into the compressor. Where necessary to prevent contamination, an oil separator shall be provided on the discharge side of the compressor. (g) The filling densities for containers that are not refrigerated shall not exceed the following: Percent Percent Type of Container .............. By Weight By Volume Uninsulated..................... 56 82 Uninsulated (see 509(h) ).................. 87.5 Insulated....................... 57 83.5 D.O.T. In accordance with D.O.T. Regulations (h) Uninsulated containers may be charged 87.5 percent by volume provided the temperature of the anhydrous ammonia being charged is determined to be not lower than 30° F or provided the charging of the container is stopped at the first indication of frost or ice formation on its outside surface and is not resumed until such frost or ice has disappeared. Any container, including DOT cargo and portable tanks, shipped under DOT jurisdiction shall be filled according to DOT regulations. (i) Every portable unloading facility shall comply with the following additional requirements: (1) A set of written instructions shall be posted at the location or supplied to the operating personnel, describing in detail the proper procedures to follow in operating the transfer equipment. (2) A container of at least 5 gallons of fresh water shall be located at this facility. This container shall have a suitable opening to permit the application of water to flush the eyes. (A suitable deluge-type, fresh-water shower may be installed in lieu of the above if connected to a reliable source of supply.) (3) The point of delivery from portable transfer facilities shall be in compliance with the requirements for stationary tanks, as listed in Section 501 (c); except that such point of delivery may be less than 50 feet but not less than 25 feet, from a highway or main track of a railroad. (4) The working area at the portable transfer facility shall be kept clear of debris, and all compressors, pumps, hoses, valves, etc., shall be protected from vehicle impact. Such equipment shall also be suitably locked or otherwise confined when unattended, to prevent the release of ammonia to the atmosphere by unauthorized persons. (5) The portable unloading facility must be secured at the end of each period of operation; i.e., the point at which it becomes unattended, the end of a workday, etc. The facility will be considered secured when all ammonia liquid is confined in the pressure vessel and the gas pressure in any hose is less than 25 psi. (6) All pressure vessels, hoses, piping, fittings, etc., shall be as required elsewhere in these orders for anhydrous ammonia in the liquid state (high pressure). Note: Portable transferring facilities for anhydrous ammonia is defined as any site at which anhydrous ammonia is transferred from one pressure vessel to another in which the compressor and receiving vessel are not permanently installed on concrete in accordance with Safety Section 501. (j) Compressors, excepting those on farm vehicles, shall be equipped with manually operated shutoff valves on both suction and discharge connections. Pressure gages of bourdon-tube type shall be installed on the suction and discharge of the compressor before the shutoff valves. The compressor shall not be operated if either pressure gage is removed or is inoperative. A spring-loaded safety-relief valve capable of discharging to atmosphere the full flow of gas from the compressor at a pressure not exceeding 300 p.s.i. shall be connected between the compressor discharge and the discharge shutoff valve. (k) Valve functions shall be clearly and legibly identified by metal tags or nameplates permanently affixed to each valve. s 510. Hose Specifications. (a) Hose and hose connections shall be fabricated of materials that are resistant to the action of anhydrous ammonia. Hose used in ammonia service shall conform to ANI-RMA (or TFI-RMA) Standard No. M-5 for anhydrous ammonia hose. (TFI-RMA) stands for The Fertilizer Institute-Rubber Manufacturers Association.) Metallic hose is a hose in which the strength depends primarily upon the strength of its metallic parts, but it may have nonmetallic liners and/or covers. The metal used in this hose shall be stainless steel or other suitable materials acceptable to the Division. All hose and hose connections subjected to tank pressure shall be designed for a minimum working pressure of 350 psi with a factor of safety of at least 5. After the hose connections are made up, they shall withstand without leakage a test pressure of twice the working pressure for which the hose is designed. Hose and hose connections located on the low-pressure side of pressure-reducing valves or devices and discharging to atmospheric pressure shall be designed for a working pressure of at least 125 psi with a factor of safety of at least 5. (b) All hose 1/2 inch in diameter and larger used for either liquid or vapor service shall be permanently and clearly marked at intervals of not more than 5 feet with the following information: (1) The words "Anhydrous Ammonia" or "NH sub3" (2) The designed working pressure (3) The manufacturer's name or trademark (4) The year of manufacture Hose smaller than 1/2 inch in diameter need only be marked with items (1) and (2) above. (c) All anhydrous ammonia hoses and hose connections subjected to tank pressure shall be tested at least once each year to twice the tank working pressure but not less than 500 psi. While in transit all hoses and hose connections shall be protected from wear or injury. All low-pressure hose shall be constructed for ammonia service with a factor of safety of at least 5, but in no case shall hose be used for this service unless designed for a working pressure of at least 125 psi with a factor of safety of at least 5. s 511. Safety Relief Valves. (a) Every vessel used in anhydrous ammonia service shall be fitted with 1 or more safety relief valves in direct communication with the vapor space. These safety relief valves shall be of the spring-loaded type suitable for anhydrous ammonia service. The discharge from safety relief valves shall be full size and be directed away from the vessel, and shall discharge upward and unobstructed to the open air. All relief-valve discharge openings shall have suitable loose-fitting rain caps that will allow free discharge of the vapor and prevent entrance of water. Provision shall be made for draining condensate which may accumulate in the discharge pipe. The safety relief valves for anhydrous ammonia service shall be set to start to discharge with relation to the allowable working pressure of the vessel as follows: Pressure vessels constructed in accordance with: ............................. Minimum Maximum Code paragraphs U-68 and U-69 .................... 110% 125% Code paragraphs U-200, through 1974 edition....... 100% 110% API-ASME Code..................................... 100% 110% DOT Cylinders..................................... As required by DOT Regulations (b) Except for code paragraphs U-68 and U-69 tanks, the discharge capacity of safety relief valves for anhydrous ammonia tanks shall be sufficient to prevent pressure in the tank from exceeding 120 percent of the allowable working pressure of the tank. ASME code paragraphs U-68 and U-69 tanks shall have safety valve capacity sufficient to prevent pressure in the tank from exceeding 135 percent of the allowable working pressure of the tank. All safety relief valves required by this Order shall be ASME rated and stamped. The minimum required rate of discharge of safety relief valves for anhydrous ammonia tanks shall be in accordance with the following table: Surface area ..... Flow rate Surface area Flow rate Surface area Flow rate sq. ft............. CFM air sq. ft. CFM air sq. ft. CFM air 20 or less....... 258 185......... 1,600 900......... 5,850 25............... 310 190......... 1,640 950......... 6,120 30............... 360 195......... 1,670 1,000....... 6,380 35............... 408 200......... 1,710 1,050....... 6,640 40............... 455 210......... 1,780 1,100....... 6,900 45............... 501 220......... 1,850 1,150....... 7,160 50............... 547 230......... 1,920 1,200....... 7,410 55............... 591 240......... 1,980 1,250....... 7,660 60............... 635 250......... 2,050 1,300....... 7,910 65............... 678 260......... 2,120 1,350....... 8,160 70............... 720 270......... 2,180 1,400....... 8,410 75............... 762 280......... 2,250 1,450....... 8,650 80............... 804 290......... 2,320 1,500....... 8,900 85............... 845 300......... 2,380 1,550....... 9,140 90............... 885 310......... 2,450 1,600....... 9,380 95............... 925 320......... 2,510 1,650....... 9,620 100................ 965 330......... 2,570 1,700....... 9,860 105................ 1,010 340......... 2,640 1,750....... 10,090 110................ 1,050 350......... 2,700 1,800....... 10,330 115................ 1,090 360......... 2,760 1,850....... 10,560 120................ 1,120 370......... 2,830 1,900....... 10,800 125................ 1,160 380......... 2,890 1,950....... 11,030 130................ 1,200 390......... 2,950 2,000....... 11,260 135................ 1,240 400......... 3,010 2,050....... 11,490 140................ 1,280 450......... 3,320 2,100....... 11,720 145................ 1,310 500......... 3,620 2,150....... 11,950 150................ 1,350 550......... 3,910 2,200....... 12,180 155................ 1,390 600......... 4,200 2,250....... 12,400 160................ 1,420 650......... 4,480 2,300....... 12,630 165................ 1,460 700......... 4,760 2,350....... 12,850 170................ 1,500 750......... 5,040 2,400....... 13,080 175................ 1,530 800......... 5,300 2,450....... 13,300 180................ 1,570 850......... 5,590 2,500....... 13,520 Surface area = total outside surface area of container in square feet. When the surface area is not stamped on the nameplate or when the marking is not legible, the area can be calculated by using one of the following formulas: (1) Cylindrical container with hemispherical heads. Area = overall length in feet times outside diameter in feet times 3.1416 (2) Cylindrical containers with other than hemispherical heads. Area = (overall length in feet plus 0.3 outside diameter in feet) times outside diameter in feet times 3.1416 (3) Spherical container. Area = outside diameter in feet squared times 3.1416 Flow rate -CFM Air = cubic feet per minute of air required at standard conditions, 60 degrees Fahrenheit and atmospheric pressure (14.7 psia). The rate of discharge may be interpolated for intermediate values of surface area. For containers with total outside surface area greater than 2,500 square feet, the required flow rate can be calculated using the formula: Flow Rate CFM Air = 22.11A 0.82, where A = outside surface area of the container in square feet. The minimum required rate of discharge of safety relief valves for anhydrous ammonia DOT cylinders shall be in accordance with the regulations of the Bureau of Explosives. (c) Safety relief valves shall be so designed and installed that the possibility of tampering will be minimized. If the pressure setting is external, the relief valves shall be provided with acceptable means for sealing the adjustment. (d) Shutoff valves shall not be installed between the safety relief valve and tank, except that a shutoff valve may be used where the arrangement of this valve is such as always to provide full required capacity flow through sufficient relief valves to properly protect the tank. [This exception is intended to permit 3-way valves, mechanically interconnected valves, etc., to be installed between the tank and safety valve where the installation and arrangement will always permit the required number of valves to be in communication with the tank to provide the relief capacity required by (b) above.] The flow capacity of the relief valve shall not be restricted by any connection to it on either the upstream or downstream side. (e) Each safety relief valve used on anhydrous ammonia tanks shall be plainly marked with the following information: (1) With the letters "AA." (2) The pressure in pounds per square inch gage (psig) at which the valve is set to start to discharge. (3) The rate of discharge of the valve at its full open position in cubic feet per minute (cfm) of air. (4) The manufacturer's name and catalog number. (5) The symbol of the ASME Code. s 512. Repairs and Alterations. (a) Field welding, where necessary, shall be made only on nonpressure parts that were installed by the manufacturer of the tank. (b) No repairs or alterations involving flame, arc, or other method of welding shall be made to any tank until such tank has first been certified as free of anhydrous ammonia by competent personnel. (c) No repair or alteration affecting the safety of the tank shall be made until the contemplated repair or alteration has been authorized by a qualified inspector. Nothing in this order shall prohibit the exchange or interchange of valves, fitting, and appurtenances intended for the same purpose. (d) No tank that has been subjected to a fire shall be returned to service until it has been inspected by a qualified inspector and found to be safe. (e) Any vessel requiring repair or alteration or that has been subjected to a fire shall be prepared for hydrostatic test by the owner when such test is deemed necessary by the qualified inspector. (f) All repairs affecting the safety of the tank shall be reported to the Division within 21 days by the qualified inspector authorizing such repairs. The qualified inspector shall stamp his certificate of competency number adjacent to all welded repairs authorized by him, except that in the case of repairs to quenched and tempered steels, this number need not be stamped. This exception shall be noted on the inspector's report. (g) Any welding necessary when making repairs or alterations to tanks shall be done by welders and welding procedures qualified in accordance with Section IX of the ASME Code in the position or positions used in making the repair. s 513. Anhydrous Ammonia Refrigeration Systems. Mechanical refrigeration systems using anhydrous ammonia as a refrigerant shall be installed and maintained according to the provisions of the General Industry Safety Orders. s 514. Installation of Refrigerated Storage Containers. (a) Containers shall be supported on suitable noncombustible foundations designed to accommodate the type of container being used. Adequate protection against flotation or other water damage shall be provided wherever high flood water might occur. Containers for product storage at less than 32 degrees F shall be supported in such a way, or heat shall be supplied, to prevent the effects of freezing and consequent frost heaving. (b) A check valve shall be installed in lieu of the required excess flow valve on the fill connection, except when flow is needed in both directions, and a remotely operated shutoff valve shall be installed on all other connections located below the maximum liquid level. (c) The filling density for refrigerated storage containers shall be such that the container will not be liquid full at a liquid temperature corresponding to the vapor pressure at the start-to-discharge pressure setting of the safety-relief valve. (d) Safety-relief valves shall be set to start-to-discharge at a pressure not in excess of the design pressure of the container and shall have a total relieving capacity sufficient to prevent a maximum pressure in the container of more than 120 percent of the design pressure. Relief valves for refrigerated storage containers shall be self-contained spring-loaded, weight-loaded, or self-contained pilot-operated type. The total relieving capacity shall be the larger of: (1) Possible refrigeration system upset such as (A) cooling water failure, (B) power failure, (C) instrument air or instrument failure, (D) mechanical failure of any equipment, (E) excessive pumping rates. (2) Fire exposure determined in accordance with Compressed Gas Association (CGA) S-1, Part 3, Safety Relief Device Standards For Compressed Gas Storage Containers, 1959, except that "A" shall be the total exposed surface area in square feet up to 25-foot above grade or to the equator of the storage container if it is a sphere, whichever is greater. If the relieving capacity required for fire exposure is greater than that required by (1) of this subdivision, the additional capacity may be provided by weak roof-to-shell seams in containers operating at essentially atmospheric pressure and having an inherently weak roof-to-shell seam. The weak roof-to-shell seam is not to be considered as providing any of the capacity required in (1) of this subdivision. If vent lines are installed to conduct the vapors from the relief valve, the back pressure under full relieving conditions shall not exceed 50 percent of the start-to-discharge pressure for pressure balanced valves or 10 percent of the start-to-discharge pressure for conventional valves. The vent lines shall be installed to prevent accumulation of liquid in the lines. The valve or valve installation shall provide weather protection. Atmospheric storage shall be provided with vacuum breakers. Ammonia gas, nitrogen, methane, or other inert gases can be used to provide a pad. (e) Appurtenances shall be protected against tampering and physical damage. (f) Containers of such size as to require field fabrication shall, when moved and reinstalled, be reconstructed and reinspected in complete accordance with the requirements under which they were constructed. The containers shall be subjected to a pressure retest and if rerating is necessary, rerating shall be in accordance with applicable requirements. (g) Precaution shall be taken against damage from vehicles. (h) The total refrigeration load shall be computed as the sum of the following: (1) Load imposed by heat flow into the container caused by the temperature differential between design ambent temperature and storage temperature. (2) Load imposed by heat flow into the container caused by maximum sun radiation. (3) Maximum load imposed by filling the container with ammonia warmer than the design storage temperature. More than one storage container may be handled by the same refrigeration system. (i) A minimum of two compressors shall be provided, either of which shall be of sufficient size to handle the loads listed in Section 514(h)(1) and (2). Where more than two compressors are provided, minimum standby equipment equal to the largest normally operating equipment shall be installed. Filling compressors may be used as standby equipment for holding compressors. Compressors shall be sized to operate with a suction pressure at least 10 percent below the minimum setting of the safety valve(s) on the storage container and shall withstand a suction pressure at least equal to 120 percent of the design pressure of the container. (j) Each compressor shall have its individual driving unit. An emergency source of power of sufficient capacity to handle the loads listed in Section 514(h)(1) and (2) shall be provided unless facilities are available to safely dispose of vented vapors while the refrigeration system is not operating. (k) The refrigeration system shall be arranged with suitable controls to govern the compressor operation in accordance with the load as evidenced by the pressure in the container(s). An emergency alarm system shall be installed to function in the event the pressure in the container(s) rises to the maximum allowable operating pressure. An emergency alarm and shutoff shall be located in the condenser system to respond to excess discharge pressure caused by failure of the cooling medium. All automatic controls shall be installed in a manner to preclude operation of alternate compressors unless the controls will function with the alternate compressors. ( l) An entrainment separator of suitable size and design pressure shall be installed in the compressor suction line of lubricated compression. The separator shall be equipped with a drain and gaging device. An oil separator of suitable size shall be installed in the compressor discharge line. It shall be designed for at least 250 p.s.i. and shall be equipped with a gaging device and drain valve. (m) The condenser system may be cooled by air or water or both. The condenser shall be designed for at least 250 p.s.i. Provision shall be made for purging noncondensibles either manually or automatically. (n) A receiver shall be provided with a liquid-level control to discharge the liquid ammonia to storage. The receiver shall be designed for at least 250 p.s.i. and be equipped with the necessary connections, safety valves, and gaging device. (o) Refrigerated containers and pipelines which are insulated shall be covered with a material of suitable quality and thickness for the temperatures encountered. Insulation shall be suitably supported and protected against the weather. Weatherproofing shall be of a type which will not support flame propagation. Note: Authority cited: Section 142.3, Labor Code. s 515. Systems Utilizing Portable DOT NH sub3 Containers. (a) Cylinders shall comply with DOT specifications and shall be maintained, filled, packaged, marked, labeled, and shipped to comply with 49 CFR Chapter 1 and Marking Portable Compressed Gas Containers to Identify the Material Contained, ANSI Z48.1-1954 (R1970). (b) Cylinders shall be stored in an area free from ignitable debris and in such manner as to prevent external corrosion. Storage may be indoors or outdoors. (c) Cylinders filled in accordance with DOT regulations will become liquid full at 145 degrees F. Cylinders shall be protected from heat sources such as radiant flame and steampipes. Heat shall not be applied directly to cylinders to raise the pressure. (d) Cylinders shall be stored in such manner as to protect them from moving vehicles or external damage. (e) Any cylinder which is designed to have a valve protection cap shall have the cap securely in place when the cylinder is not in service. Note: Authority cited: Section 142.3, Labor Code. The provisions of Article 7 apply to the storage, dispensing and use of natural gas as a motor fuel, but do not apply to the storage or use of natural gas on public roads and highways. s 523. Design and Construction of Natural Gas Tanks. (a) General. All new natural gas tanks shall be constructed, inspected, and stamped in compliance with the Code, unless the design, material, and construction of the tank are accepted by the Division as equivalent to code. (b) Compressed Natural Gas. In addition to the stamping required by the Code, the stamping on all new CNG tanks shall include the following: (1) Volumetric capacity in standard cubic feet of natural gas when filled to the limits provided by these regulations. (2) The words "For CNG." (3) The head and shell thicknesses. (c) Liquefied Natural Gas. The outer vessel of double wall cryogenic vessels shall be designed for the full range of pressure and/or vacuum to which it will be subjected and for adequate structural support of the inner tank and insulation under all imposed loadings. Equipment shall For Appendix A, refer to end of subchapter 1. In addition to the stamping required by the Code, the stamping for all new LNG tanks shall include the following: (1) Net volumetric capacity in U. S. gallons. (2) The words "For LNG." (3) The head and shell thicknesses. (4) Minimum safety relief valve capacity in cfm air. See 541 (c) (1) and (2). [FNa1] For Appendix A, refer to end of Subchapter 1. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code, and Chapter 855, Statutes of 1977. s 524. Design and Construction of Compressed Natural Gas Cylinders. All new natural gas cylinders shall be constructed for the service pressure specified in and meet other DOT regulations. [FNa1] For Appendix A, refer to end of Subchapter 1. s 525. Design and Construction of LNG Vaporizers. [FNa1] For Appendix A, refer to end of Subchapter 1. s 526. Repairs and Alterations to Tanks, Welded Piping and to Welded Vaporizers Having a Volumetric Capacity in Excess of 1 U. S. Gallon. (a) No repairs or alterations involving flame, arc or other method of welding shall be made on any tank, vaporizer or piping unless such tank, vaporizer or piping shall first have been certified as natural gas free or oxygen free by competent personnel. (b) No repair or alteration to a natural gas tank or welded vaporizer which affects the safety of such natural gas tank or welded vaporizer shall be made until the contemplated repair or alteration has been authorized by a qualified inspector. The exchange or interchange of valves, fittings and accessories intended for the same purpose need not be considered a repair or alteration. (c) No tank, vaporizer or piping system that has been subjected to possible damage by fire shall be returned to service until it has been inspected by a qualified inspector and found to be safe. (d) Any vessel, vaporizer or piping requiring repair or alteration or that has been subjected to a fire shall be prepared for hydrostatic test by the owner when such test is deemed necessary by the qualified inspector. (e) No repairs shall be performed on any natural gas fueled motor vehicle nor on a transport tank, trailer or skid tank, whether empty or loaded, until reasonable precaution has been taken to provide the required safety. (f) All repairs to natural gas tanks or vaporizers affecting the safety of such tanks or vaporizers shall be reported to the Division within 21 days by the qualified inspector authorizing such repairs. The qualified inspector shall stamp his certificate of competency number adjacent to all welded repairs authorized by him except that in the case of repairs to quenched and tempered steels, this number need not be stamped. This exception shall be noted in the inspector's report. (g) Any welding necessary when making repairs or alterations to tanks, vaporizers or piping shall be done according to welding procedures and by welders qualified in accordance with the rules of Section IX of the ASME Code in the position or positions used in making the repair. (h) Repairs to DOT cylinders shall be made under DOT regulations and control. [FNa1] For Appendix A, refer to end of Subchapter 1. s 527. Control of Products in Tanks and Cylinders. (a) General. Natural gas contaminants such as hydrogen sulfide and water shall be so minimized as to prevent any adverse effects on storage and utilization equipment. (b) Compressed Natural Gas. No natural gas shall be delivered into any vessel or system covered by these Safety Orders unless odorized. The gas shall have a distinctive odor of sufficient intensity so that the presence of the gas may be detected down to the concentration in air of not over 20 percent of the lower explosive limit. Odorants in the concentrations used shall be: (1) Harmless to humans. (2) Non-toxic. (3) Non-corrosive to steel, iron, brass or copper. (4) Non-soluble in water to an extent greater than 2.5 parts by weight of odorant to 100 parts by weight of water. (5) Be compatible with natural gas at the pressures and temperatures to be encountered in storage, transfer and service. (c) Liquefied Natural Gas. The delivery of LNG into any vessel or system covered by these Orders shall be subject to monitoring by a methane gas detection system, as follows: (1) Each methane gas detection system required by this section shall provide a warning when an airborne methane gas concentration exceeding 20 percent of the lower explosive limit is detected. The warning shall be plainly audible and visible to those within the zone of potential exposure to fire or explosion of the vessel, system, or delivery operation. (2) Where LNG is delivered into a vessel or system that is part of a motor vehicle, the methane gas detection system shall function continuously during the course of the delivery operation so that methane leaks resulting in an airborne concentration exceeding 20 percent of the lower explosive limit will be detected in the immediate vicinity of the operation. (3) Where LNG is delivered to any other vessel or system covered by these Orders, the methane gas detection system shall function continuously during the course of the delivery operation so that methane gas leaks resulting in an airborne concentration exceeding 20 percent of the lower explosive limit will be detected in the immediate vicinity of the operation and the entire vessel or system into which the LNG is delivered. After delivery is completed, the methane gas detection system shall be operated continuously in the immediate vicinity of the entire vessel or system into which the LNG was delivered for as long as the vessel or system contains LNG. (4) Nothing in this section is intended to supercede or alter the applicable requirements of 13 CCR Section 935. [FNa1] For Appendix A, refer to end of Subchapter 1. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. s 528. Transfer, Operation and Maintenance. (a) General. (1) No natural gas shall be vented to the atmosphere unless the vent is led to a safe point of discharge. Nothing in this Order shall prohibit the use of gaging devices which vent to the atmosphere through an opening not exceeding No. 54 drill size. (2) No smoking or open flame shall be permitted within 10 feet of any vessel during the filling operation. (3) All threaded filling connections shall be kept effectively capped when not in use. These caps or plugs shall be so designed that they will vent to the atmosphere while at least 3 full threads are engaged. (4) No employer or employee shall charge natural gas into any tank or cylinder not specifically designed for the most severe pressure and temperature conditions to which the vessel may be subjected. (5) During the transfer of natural gas at least one attendant familiar with the transfer operation shall be responsible for and be on the premises during the transfer operation. During the transfer of LNG the attendant shall remain in attendance at the controls necessary to stop the transfer operation. The attendant required by this Order may be considered familiar with the transfer operation after he has been provided with a set of instructions for the transfer operation and has performed the operation at least through 3 full cycles under supervision. When natural gas is being transferred to or from a motor vehicle, the engine shall be stopped unless the motor is used to operate a pump or compressor required to transfer the product. During such loading or unloading from transportation tanks, the hand or emergency brake of the vehicle shall be set and the wheels blocked. Transportation tanks shall be bonded during the transfer operation except that bonding is not required where the transfer systems are depressurized by bleeding before disconnecting, see Paragraph 537 (a) (4), and providing also that closed connections are made before transfer begins. (6) No natural gas shall be transferred with the point of delivery less than 10 feet from any important building or house trailer, or within 5 feet from a sidewalk or public highway, street or road unless the failure to transfer would create a hazard. At the discretion of the Division, the point of delivery may be located a lesser distance from important buildings constructed of concrete or masonry materials. Nothing in this Order shall be so construed as to prohibit the following: (A) The fueling of machinery or vehicles used in road construction or maintenance. (B) The filling of motor fuel tanks or cylinders of not more than 30-gallon capacity. (7) Pumps and compressors shall be suitable for use with the product to be handled for the full range of pressure and temperature to which they may be subjected. Positive displacement transfer pumps shall be equipped with a pressure actuated bypass valve and/or a recirculating system which shall limit the pressure to the maximum design pressure of the pump or piping system whichever is lower. (8) Control devices shall be designed for the pressure, temperature and service expected and shall be so installed that icing conditions will not cause malfunction. (9) The owner and/or user shall maintain all pressure vessels and their appurtenances, piping systems, vaporizers, controls and devices in a safe condition. (10) A portable fire extinguisher having a rating of not less than 20BC shall be provided at the transfer operation area. (b) Compressed Natural Gas. (1) The pressure to which a CNG tank is charged shall not exceed the maximum allowable working pressure of the tank being filled at normal temperature. DOT cylinders shall be charged in accordance with DOT pressure and temperature regulations. (c) Liquefied Natural Gas. (1) To provide for the expansion of LNG with temperature, the tanks shall not be filled beyond the level specified by the tank manufacturer and in no case more than 90 percent. (2) Tank fuel loading and unloading areas shall be substantially level. [FNa1] For Appendix A, refer to end of Subchapter 1. s 529. Gaging Devices for Liquefied Natural Gas Tanks. (a) A permanent dip pipe shall be installed in all LNG tanks filled by volume and shall be of such length that it will indicate when the tank is filled to the level specified by the manufacturer and in no case more than 90 percent. This fixed dip pipe shall be permanently installed in the tank. Additional dip pipes may be used providing they are permanently marked to show the outage they indicate. (b) In addition to the fixed dip pipe required in (a) above, each LNG tank 60- gallon capacity or more, filled by volume, and each motor fuel tank shall be equipped with a liquid level gage. (c) Gaging devices that require bleeding of the product to the atmosphere shall be so designed that the maximum opening of the bleeder valve is No. 54 drill size. (d) Gaging devices shall be designed for the most severe pressure and temperature conditions to which the device may be subjected with a factor of safety of not less than 4. Such gaging devices shall be labeled with the maximum permitted pressure by the manufacturer. (e) Where the efficiency of the insulation of an insulated tank is dependent upon the vacuum in an annular space, an indicating device or other means shall be provided to warn of loss of vacuum. [FNa1] For Appendix A, refer to end of Subchapter 1. s 530. Approval of Devices. (a) All devices which are used in natural gas installations shall be of a type and construction suitable for their intended use. The Division may approve or accept devices or package units upon satisfactory evidence that they are designed and constructed for safe operation in natural gas service. (b) Except for control and indicating devices that are also designed for natural gas and which have an orifice not larger than No. 54 drill size, natural gas shall not be used to operate any device or equipment designed to be operated with compressed air which exhausts to the atmosphere. Natural gas vapor shall not be released into the air except as permitted by these Orders. (c) All natural gas devices not otherwise specifically provided for shall be constructed and installed to provide safety equivalent to that required for other parts of the system. (d) All electrical wiring and electrical equipment used with natural gas storage or dispensing apparatus shall be in accordance with the Electrical Regulations administered by the Division. Note: For the purpose of this Order 530 (d), the electrical equipment installed in out-of-doors installations for stationary storage or the transfer of natural gas shall be suitable for use in a Class 1, Division 1, Group D hazardous location when installed within 10 feet in any direction of any connection used for the transfer of natural gas. In order to comply with the "source of ignition" provisions of Order 531 (a) electrical switches, lamps, etc., located outside the above 10-foot area, but within the area specified in Order 531 (a) shall be suitable for use in a Class 1, Division 2, Group D, hazardous location. All electrical motors within this area shall be suitable for use in out-of-doors locations and shall be either: (1) Of the explosion-proof type. (2) Of a type having no contactors, commutators or sparking parts. (3) Of a totally enclosed type. [FNa1] For Appendix A, refer to end of Subchapter 1. s 531. Location of Storage Tanks and Regulating Equipment. (a) General. (1) Except as provided elsewhere in these Orders, tanks, cylinders and regulating equipment used with natural gas storage and/or dispensing installations shall be located outside of buildings. Each individual tank or cylinder used for storage or dispensing natural gas shall be located with respect to the nearest important building, or line of adjoining property which may be built upon, or source of ignition, in accordance with the following table: Capacity Per Storage ............................. Distance Between Tank or Bank of .......... Minimum Distance Above Ground Cylinders U. S. Gallons ...... In Feet Storage Tanks, Feet To 500 .......................... 10 3 501 To 2,000 .................... 25 3 2,001 To 30,000 ................. 50 5 30,001 To 70,000 ................ 75 1/4 of Sum of Diameter of Adjacent Tanks with 70,001 To 90,000 ............... 100 a Minimum of 5 Feet Note: At the discretion of the Division, tanks may be located a lesser distance from important buildings constructed of concrete or masonry materials. (2) No stationary storage vessel shall be located less than 10 feet from the nearest street line or sidewalk, nor less than 50 feet from the nearest rail of any railroad main track. The distance between underground tanks shall be not less than 12 inches. (3) Except as permitted in Section 543, filling connections shall not be located less than 10 feet from any opening into or under a building closed on more than 3 sides for filling connections 1/2-inch pipe size or less and 15 feet for larger sized filling connections. (4) Readily ignitible material shall not be permitted within 10 feet of any stationary vessel or vaporizer. (5) Regulators which are vented to atmosphere shall be installed in such a manner that moisture cannot enter the vent and accumulate above the diaphragm. Where the regulator vent may be obstructed due to rain, snow or icing conditions, shields, hoods or other suitable devices shall be provided to guard against closing the vent opening. (b) Compressed Natural Gas. (1) Multiple cylinder units or groups stored in the vertical position shall be limited to a width of no more than 4 cylinders. Units or groups stored in the horizontal position shall be limited to a height of 6 and a width of 4 cylinders. When stacked horizontally, the units or groups shall be separated by not less than 3 feet. (2) No cylinder filling platform shall be located less than 10 feet from any storage tank, or 25 feet from the nearest important building or line of adjoining property that may be built upon. At the discretion of the Division, cylinder filling platforms may be located a lesser distance from important buildings constructed of concrete or masonry materials. (c) Liquefied Natural Gas. (1) All aboveground LNG tanks larger than 2,000 gallons shall have diked impounding areas or equivalent in accordance with Pamphlet 59-A of the National Fire Protection Association. [FNa1] For Appendix A, refer to end of Subchapter 1. s 532. Installation of Aboveground Storage Tanks. (a) General. (1) Storage tanks installed aboveground shall be installed on firm masonry or concrete foundations. Aboveground horizontal tanks shall have no more than 2 points of support longitudinally. Where necessary, tanks shall be securely anchored to prevent floating. (2) Metallic structural supports, when used, shall be encased in concrete or other material having a fire resistant rating of at least 2 hours when the distance between the lower surface of the tank and the top of the concrete or masonry foundations exceeds 18 inches. In the case of a vertical tank having no more than one opening in the support skirt, interior fire protection of the skirt may be omitted. (Tanks of not more than 575-gallon capacity installed in areas having an average snowfall exceeding 18 inches may, at the discretion of the Division, be exempt from the provisions of this paragraph.) (3) Every tank shall be so supported as to prevent the concentration of excessive loads on the tank at the points of support. All foundations and fastenings shall be designed to provide reasonable safety under all imposed loads including wind, earthquake, vibrations, etc. All tanks over 1,200 gallons capacity shall be installed on foundations in such a manner as to permit expansion and contraction. (4) The valves and other appurtenances on tanks at all bulk plants, if the plant is not otherwise fenced, shall be surrounded by a rugged steel fence or equivalent. Fences which are not of an open mesh type may be used providing they are acceptable to both the local fire department and the Division. The fence required by this Section shall be at least 6 feet in height. Any fence completely surrounding the tank shall be located a minimum distance of 3 feet from the tank. Other tanks shall also be surrounded by a rugged steel fence or equivalent, if in the opinion of the Division a fence is needed to prevent unauthorized tampering. All fenced areas shall be kept locked when unattended. (5) Aboveground storage tanks shall be protected from impact from trucks, trailers and other vehicles, where such impact is likely or probable, by suitable curbs, fences or posts and railings. Such curbs or fences shall be arranged so that they will not hamper free ventilation around the tanks. (6) All loading and unloading connections at bulk plants shall be secured to a concrete bulkhead or equivalent designed to withstand the load imposed by the strongest pipe, hose or flexible metal hose, and fittings to be used in the transfer operation without breaking, or 2,000 pounds whichever is greater unless other adequate protection is provided. This bulkhead shall not be located underneath the tank. The loading and unloading connections shall be firmly secured to this bulkhead and the line between the bulkhead and tank shall be installed in a manner to provide for expansion, contraction, jarring, vibration and settling. Such bulkhead shall be located no less than 25 feet from the nearest important building or line of property adjoining that may be built upon. When in the opinion of the Division such bulkhead is necessary for the safety of the place of employment, it shall be required at storage plants other than bulk plants mentioned above. (7) The fill line on storage tanks shall be equipped with a back-flow check valve to prevent discharge of the natural gas from the receiving tank in case of line, hose or fittings rupture. (8) A fire extinguisher conforming to the provisions of California Administrative Code, Title 19, Chapter 1, Subchapter 3, and having a rating of not less than 20B shall be available and ready for use during the time natural gas is being transferred. The extinguisher carried on a bulk delivery or transportation vehicle may be considered as meeting the requirements of this Order when transferring natural gas from or to such vehicle provided the extinguisher has the required rating listed above. (b) Compressed Natural Gas. (1) When the tank is installed directly on concrete or masonry foundations, a corrosion pad shall be provided at the points of contact with the foundation. These corrosion pads shall be at least 3/16-inch thick, and have a width at least equal to the width of the foundation at the point of contact with the tank, but in no case shall they be less than 8 times the shell thickness in width. When corrosion pads or pad-type steel supports are used, the pads shall have corners rounded to a radius of not less than 6 times the pad thickness, and shall be attached to the shell with a continuous seal weld. These pads shall be not less than 1/4 the circumference of the shell in length. (2) Pressure vessels which are made of materials that are subject to corrosion by atmospheric conditions and which are not provided with an allowance for external corrosion by a suitable increase in the design thickness shall be protected by painting or other equivalent means necessary to check active corrosion. (3) Cylinders used at dispensing stations shall be installed on firm concrete or masonry foundations and located in accordance with 531 (a) and (b). (c) Liquefied Natural Gas. (1) Supports for LNG tanks shall be designed to withstand low temperature effects of LNG spillage. (2) LNG tanks installed in battery shall be so installed that the 90 percent outage levels or the top surfaces of the tanks are substantially in the same horizontal plane. (3) Tanks installed in battery shall not be installed with liquid and/or vapor lines connecting into common headers unless either: (A) The working pressure of all such tanks is the same. (B) Check valves or other devices are installed in the system to prohibit the introduction of the higher pressure product into the lower pressure tank. [FNa1] For Appendix A, refer to end of Subchapter 1. s 533. Location and Installation of Underground Tanks. (a) General. Tanks and regulating equipment shall not be buried below ground unless written permission to do so has been obtained from the Division and the following special conditions are complied with: (1) The proposed location complies with Order 531 (a) (1), (2) and (3). (2) The tank shall be set with the top at least 24 inches below the surface of the ground, shall rest on firm foundations and shall not be installed under roadways. (3) Before any back-filling is done, the installation shall be inspected by a qualified inspector and shall comply with all applicable sections of these Orders. (4) The back-filling shall be done in such a manner that there will be at least 6 inches of water-washed sand free from soil, rocks or gravel immediately adjacent to the tank. The sand shall be well tamped into place during the back-filling operation. (5) All buried tanks shall be constructed for underground service and the manufacturer shall provide means for lowering the tank into place without damage to the tank or corrosion-resistant coating. (6) If the valves and fittings are located in a curb box, adequate provision shall be provided for proper drainage and ventilation of the curb box. (7) No curb box shall be larger than necessary for the operation and maintenance of the valves and fittings located therein nor more than 3 feet in depth. (8) All buried tanks shall be completely uncovered for an inspection of all external surfaces at intervals of at least once every 3 years. The intervals may be changed at the discretion of the Division if a test plate is buried adjacent to the tank and shows no appreciable corrosion on inspection after 3 years of service; provided, however, that every tank shall be uncovered at least every 15 years. The test plates shall be of the same material as the shell of the tank and shall be at least 1/4 of the tank diameter in length and 6 inches wide and shall be buried in water-washed sand at least as deep as the lowest surface of the tank, and shall not be coated. Test plates shall be provided in accordance with the following table: (A) Tanks 10 feet or less in length, one test plate. (B) Tanks more than 10 feet but less than 20 feet in length, 2 test plates, one on each side near opposite ends. (C) Tanks 20 feet or more in length, one test plate for each 10 feet of length, placed on alternate sides at 10-foot intervals. (9) No tank used underground shall be reinstalled aboveground until it has been inspected and found to be in compliance with requirements for an aboveground installation. (10) Where necessary, tanks shall be securely anchored or weighted to prevent floating. (b) Compressed Natural Gas. The exterior surfaces of CNG tanks shall be covered with an acceptable corrosion-resistant material. Tanks will be considered acceptable when prepared and coated as follows: (1) Clean and prime. (2) Coat with asphalt enamel. (3) Wrap with 40-pound felt. (4) Coat with asphalt enamel. (5) Wrap with 40-pound felt. (6) Coat with asphalt enamel. (7) Wrap with Kraft paper. Equivalent corrosion protection may be accepted at the discretion of the Division. (c) Liquefied Natural Gas. (1) LNG vessels utilizing a vacuum jacket shall be so installed that a vacuum leak can be detected, and so piped that means can be provided to restore the vacuum or minimize the leak. (2) Consideration shall be given to the design and installation of the supporting members and surrounding materials in the possible freezing zone to prevent damage to the tank and its supports by low temperature effects of LNG spillage or by frost-heaving. (3) LNG vessels having an outer jacket made of a material which may be subject to corrosion shall be protected in accordance with (b) above. [FNa1] For Appendix A, refer to end of Subchapter 1. s 534. Skid Tanks. (a) Skid tanks shall be securely fastened to skids extending the full length of the tank, including fittings and guards at the end of the tank. The bottom of the skids shall be not less than 2 inches nor more than 12 inches below the outside bottom of the tank shell. The skids or lugs for attachment of the skids shall be secured to tanks in accordance with the Code or rules under which the tank is designed and built, and shall be designed to withstand the loaded weight of the tank in any direction with a factor of safety of at least 8. (b) Fittings on skid tanks shall be installed in a recessed well or otherwise protected by means of adequate guards properly installed. (c) Unless installed in compliance with Order 532, skid tanks shall not be used at any location for more than 180 days without written permission from the Division. (d) When skid tanks are transported from one location to another, they shall be adequately secured to the transporting vehicle. [FNa1] For Appendix A, refer to end of Subchapter 1. s 535. Installation of Tanks on Transportation and Bulk Delivery Vehicles. Transportation tanks shall comply with the regulations for such vehicles adopted by the Department of Highway Patrol. [FNa1] For Appendix A, refer to end of Subchapter 1. s 536. Piping Standards. (a) General. (1) All pipe, tubing, fittings and other piping components between the tank and the first shutoff valve shall be designed for the full range of pressures, temperatures and loadings to which they may be subjected with a factor of safety of at least 8 based on the minimum specified tensile strength at room temperature. All other pipe, tubing, fittings and other piping components shall be suitable for the full range of pressures, temperatures and loadings to which they may be subjected with a factor of safety of at least 4. In no case may underground piping be less than Schedule 80 for piping systems having a working pressure exceeding 100 psi. Any material used, including gaskets and packing, shall be compatible with natural gas and its service conditions. (2) All piping and tubing shall be run as directly as practical with adequate provisions for expansion, contraction, jarring, vibration and settling. Exterior piping may be either buried or installed aboveground and shall be well supported and protected against mechanical damage. Underground piping shall be buried not less than 18 inches below the surface of the ground unless otherwise protected. All underground piping shall be protected from corrosion by coating in compliance with Section 533 (b) or equivalent. Zinc coatings (galvanizing) shall not be considered adequate protection for piping below ground. (3) All welded piping shall be fabricated and tested in accordance with the ANSI Code for Pressure Piping, Petroleum Refinery Piping, B31.3, 1966 Edition or equivalent. (4) All valves shall be suitable for the full range of pressure and temperature to which they may be subjected. The manufacturer shall stamp or otherwise permanently mark the valve body to indicate the service ratings. Other piping components such as strainers, snubbers and expansion joints shall also be permanently marked by the manufacturer to indicate the service ratings. All materials such as valve seats, packing, gaskets, diaphragms, etc. shall be resistant to the action of natural gas under the conditions to which they are subjected. (5) Use of the following is prohibited: (A) Valves, cocks, fittings and other piping components of cast iron or semisteel other than ASTM Specifications A-536-67, Grade 60-40-18; A-395-68; A-47-68, Grade 35018 and A-445-66 unless they have pressure-temperature ratings at least equal to 1 1/2 times the design service conditions. In no case shall valves of cast iron or semisteel other than the 3 ASTM specifications listed above be used for primary stop valves. (B) Street ells and screwed service tees. (C) Valves of a design that will allow the valve stem to be removed without removal of complete valve bonnet or disassembly of the valve body. (D) Plastic pipe, tubing, hose and fittings, without written permission from the Division. (E) Valves with valve stem packing glands which cannot be repacked under pressure, unless there is another stop valve of acceptable type between them and the vessel. This does not apply to service valves. (F) Aluminum tubing for exterior locations and threaded aluminum connections and adapters that are required to be connected or disconnected as part of the filling or transferring operation except for those connections and adapters that are specifically designed with special threads suitable for this service. (G) Pipe nipples in lieu of couplings or flanges in tank connections. (H) Copper alloy with copper content exceeding 70 percent. (b) Compressed Natural Gas. Hose shall not be used in lieu of manifolds, piping or tubing between dispensing tanks and cylinders and the connection for the loading and/or unloading hose connections, except that a section of metallic hose not to exceed 24 inches in length may be used in each pipeline to provide flexibility where necessary. Each section shall be so installed that it will be protected against mechanical damage and be readily visible for inspection. The manufacturer's identification shall be retained in each section. (c) Liquefied Natural Gas. (1) Flanged joints or threaded joints which have not been seal welded on liquid lines between the tank and the first shutoff valve are prohibited. (2) All LNG piping over 2-inch pipe size shall be welded, flanged or silver brazed with a material having a melting point exceeding 1,000 degrees Fahrenheit. Compression type couplings and threaded joints shall not be used except that seal welded threaded joints may be used. (3) Piping 2-inch or smaller may be threaded, welded or flanged except as prohibited in 536 (c) (1). (4) Threaded nipples and pipe shall be at least Schedule 80. (5) Plugs shall be solid or else they shall be bull plugs of at least Schedule 80 seamless pipe. (6) For service temperatures of minus 20 degrees Fahrenheit or above, threaded piping and tubing with compression type couplings may be used except as prohibited in 536 (c) (2). (7) Pipe supports for piping having a service temperature below minus 20 degrees Fahrenheit shall be designed to minimize heat transfer so that support steel embrittlement and piping restraints caused by ice formation will be prevented. (8) Bellows type expansion joints in low temperature service shall be provided with external insulation that will prevent ice from forming on the bellows. [FNa1] For Appendix A, refer to end of Subchapter 1. s 537. Piping Systems Valving and Labeling. (a) General. (1) All piping and tubing shall be tested after assembly and proved free from leaks at a pressure equal to the maximum working pressure of that portion of the system or its safety valve setting, whichever is greater, except for welded piping [see 536 (a) (3)]. (2) Where excess-flow valves are used, the closing flow shall be less than the flow rating of the piping system between the excess-flow valve and the equipment downstream of the excess-flow valve. (3) When two or more vessels, other than motor fuel tanks or cylinders, are manifolded together or when branches or restrictions are incorporated into the piping system, additional excess-flow valves or equivalent shall be installed where the flow rating of the piping is less than the closing flow rating of the excess-flow valves in the vessels. The additional excess-flow valves or equivalent shall be located as close to the point of branching or restriction as possible. Note: A quick-closing manually operated valve may be considered equivalent to an excess-flow valve at the point of pipe size reduction or other restriction providing: (1) It is equipped with a means for closing the valve manually from a point remote from the delivery connection. (2) The loading and/or unloading line in which it is located is secured to a bulkhead complying with Section 532 (a) (6). (3) The quick-closing valve is in the pipeline on the tank side of the bulkhead. (4) Bleed connections shall be provided in transfer systems to permit depressurizing the line before disconnecting. These bleed connections shall discharge at a safe place. (5) Piping, compressors, pumps, valves, regulators, gaging and other vessel accessory equipment shall be protected against physical damage, including vehicular. (b) Compressed Natural Gas. (1) Except for safety relief valves and gaging connections all vessel connections, other than in motor fuel tanks or cylinders, larger than 1/4 inch pipe size shall have one of the following installed directly in each connection: (A) A back-flow check valve to prevent flow from the tank. (B) An excess-flow valve. (2) A manually operated shut-off valve shall be installed as close to the vessel as practicable. Manually operated shut-off valves for DOT cylinders shall be provided in accordance with DOT regulations. (3) Piping systems shall be protected against overpressure by safety relief devices. Relief devices installed to protect the piping system shall have sufficient capacity and shall be set to open at a pressure not exceeding 110 percent of the maximum allowable working pressure of the system or the pressure which produces a hoop stress of 75 percent of the specified minimum yield strength, whichever is lower. (c) Liquefied Natural Gas. (1) Except for safety relief valves and gaging connections all vessel connections, other than in motor fuel tanks, larger than 1/2-inch pipe size shall have one of the following installed directly in each connection (for the purpose of this Section tank connection location for double wall cryogenic vessels may be the point of penetration through the outer vessel or its jacketed extension): (A) A back-flow check valve to prevent flow from the tank. (B) A manually operated internal valve equipped with a means for closing the valve from a point remote from the delivery connection. The closing mechanism or its control shall be fitted with a fusible link having a melting point of 200 degrees Fahrenheit to 250 degrees Fahrenheit which will cause the valve to close automatically in case of fire. (C) Either an internal valve which can be operated manually and will close on excess-flow conditions or one which is normally closed and is opened by pump discharge pressure. These valves shall be equipped with a means for closing from a point remote from the delivery connection and the closing mechanism shall be fitted with a fusible section as required in (B) above. (D) An excess flow valve. In addition, there shall also be a quick closing automatic valve located as close to the tank as possible and which shall remain closed except during transfer. This valve shall be equipped with a means for closing automatically from a point remote from the delivery connection and shall be fitted with a fusible section having a melting point of 200 degrees Fahrenheit to 250 degrees Fahrenheit which will cause the valve to close in case of fire. Piping and valves shall be of austenitic stainless steel as listed in ANSI Code For Pressure Piping, B 31.3 1966 Edition, Table 302.3.1.A. Piping between the tank and the valve inlet shall be seamless and at least Schedule 40. All joints in the piping to and including the valve inlet shall be welded in accordance with 536 (a) (3). (2) (A) Systems installed in accordance with (A) or (B) above shall have a manually operated shut-off valve located as close to the tank as practicable. Systems installed in accordance with (D) above shall have a manually operated shut-off valve located between the quick-closing automatic valve and the vessel. (B) Systems with tank connections installed in accordance with (C) above shall have a manually operated shut-off valve located in the loading and/or unloading pipelines between the tank and the pump, meter or bulkhead whichever is nearest the tank. (3) Wherever liquid can be trapped between two or more valves, a safety relief valve shall be installed to prevent excessive hydrostatic pressure. This safety relief valve shall start to discharge at not less than 125 percent nor more than 150 percent of the safe working pressure of the piping system between the two shut-off valves. (4) All LNG tank connections having manually operated shut-off valves shall be labeled to indicate whether they communicate with the vapor or liquid space. At least one of the following methods shall be employed in labeling these connections: (A) Tags of metal or other suitable material labeled "Liquid" or "Vapor." These tags shall be fastened securely to the tank, to the primary manual valve or to the piping system at the valve. The legibility of these tags shall be maintained. (B) Complete color painting of all visible parts of the piping or its insulation. (C) Color bands not less than 4 inches wide at each tank connection or primary manual valve. These bands shall be readily visible on the insulation. Where identification is provided by complete color painting or by color bands, a color code shall be posted where visible from the transfer operation. [FNa1] For Appendix A, refer to end of Subchapter 1. s 538. Hose, Metallic Hose, Flexible Metal Hose and Tubing Specifications. (a) Hose and metallic hose shall be of or lined with materials that are resistant to corrosion and to the actions of natural gas. (b) Hose, metallic hose, flexible metal hose and tubing shall be suitable for the most severe pressure and temperature service conditions expected with a burst pressure of at least 4 times the maximum working pressure. Flexible metal hose or pipe with swivel joints shall be used for transfer operations where operating temperatures during transfer will be less than minus 20 degrees Fahrenheit. (c) Connections for hose, metallic hose, flexible metal hose and tubing shall be designed with a burst pressure of at least 4 times the most severe pressure and temperature conditions expected. (d) The components of the hose and metallic hose shall be tested after assembly and prior to use to at least 2 times the service pressure, and also tested to a pneumatic pressure of at least 600 psi under water. After the original installation, all hoses shall be examined visually at such intervals as are necessary to assure that they are safe for use. In no case shall such examination interval exceed one year. Hose shall be tested for leaks with soap suds or equivalent at least annually and any leakage shall be reason for rejection. This test shall be recorded and the record shall be available to the qualified inspector. (e) All hose, metallic hose, flexible metal hose and tubing and their connections shall be maintained in a safe condition. (f) While in transit, all hose and flexible metal hose and tubing to be used in the transfer operation, including their connections, shall be protected from wear or injury and shall be capped. (g) Hose, metallic hose, flexible metal hose and tubing shall be distinctly marked either by the manufacturer's permanently attached tag or by distinct markings every 5 feet indicating the manufacturer's name or trademark, service and working pressure. [FNa1] For Appendix A, refer to end of Subchapter 1. s 539. Pressure Gages. Every bulk storage tank, dispensing tank, transportation tank and bulk delivery tank shall be provided with a suitable pressure gage. The pressure gage shall be installed in a special gage outlet installed permanently on the tank or tank system and having an opening not to exceed No. 54 drill size opening at the tank connection. Pressure gages for LNG vessels shall have their connection above the maximum permissible liquid level. The pressure gage shall have a dial graduated to read approximately double the operating pressure, but in no case less than 1.2 times the pressure at which the pressure relief valve is set to function. [FNa1] For Appendix A, refer to end of Subchapter 1. s 540. LNG Vaporizer Installation. (a) Vaporizers in excess of 1-gallon capacity shall be provided with suitable automatic means to prevent liquid from passing into the vapor system. This is not applicable to vaporizers discharging back to the vessel only. (b) Vaporizers in excess of 1-gallon capacity shall be provided with one or more safety relief valves suitable for use with natural gas and set to open at not less than the maximum working pressure and not more than 110 percent of the maximum working pressure of the vaporizer. (c) The minimum relieving capacity of the safety relief valves shall be at least equal to the capacity marking on the vaporizer nameplate as required in Section 525 (c)(5). This marking shall be determined for exposure to external fire and shall be sufficient to prevent pressure in the vaporizer from exceeding 120 percent of the maximum working pressure. When determined by calculation, the applicable formula in Appendix A shall be used. The safety relief valve discharge shall be led outside of the vaporizer building, if any, and be discharged at a safe place. (d) No coil or other device carrying artificial heat for vaporization shall be located inside of any LNG vessel not constructed for vaporizing only. (e) Vaporizers shall not be installed inside of buildings unless the building is specifically designed for housing LNG vaporizers; in which case the building shall be constructed of non-combustible material and be adequately ventilated at both the floor line and ceiling. Ventilation shall be designed to prevent gasses lighter than air from being trapped at ceiling level. Note: Ventilation is considered adequate when no mixture of flammable gases is permitted in concentrations exceeding 1/5 of the lower flammability limit for such mixture. (f) Surge tanks, containing vapor only at 20 psi or less, shall be located at least 10 feet from important buildings and property lines. Such tanks operating at pressures exceeding 20 psi shall be located with respect to important buildings and property lines in accordance with Order 531 (a). [FNa1] For Appendix A, refer to end of Subchapter 1. s 541. Safety Relief Devices. (a) General. (1) Unless covered elsewhere in these Orders, every natural gas tank shall be provided with one or more spring-loaded safety relief valves set to open as follows with relation to the maximum allowable working pressure: Minimum Safety Maximum Safety Relief Valve Relief Valve Type of Vessel ..................... Setting Setting ASME Code Constructed Vessels with a factor of safety of 5 or more....................... 100% 125% ASME Code Constructed Vessels built with a factor of safety of less than 5............................... 100% 110% DOT Cylinders - Safety Relief Devices............... As approved by Bureau of Explosives All safety relief valves required by this Order shall be ASME labeled except for safety relief devices on DOT cylinders and safety relief valves as required in 537 (c)(3), which may be ASME or Underwriters' Laboratories rated and stamped. (2) Each safety relief valve shall be plainly marked by the manufacturer of the valve with the pressure in pounds per square inch at which the valve is set to start to discharge and the discharge capacity in cubic feet per minute (cfm) air. (3) No shutoff valves shall be installed between the safety relief valves and the tank without written permission from the Division except that a shutoff valve may be used on multiple valve installations where the arrangement of the valves will provide full required flow through the safety relief valves at all times. The opening or connection between the tank and safety relief valve or valves shall have at least the combined areas of all connected safety relief valve inlets. (4) Safety relief valves shall be so arranged that they will have an unobstructed full size discharge to a safe place, and shall be so arranged that escaping gas will not impinge on the vessel, valves or fittings. (5) Except for safety valves that are integral with service valves, safety relief valves on tanks and cylinders shall be installed in a vertical position and shall be fitted with suitable raincaps. (6) Safety relief valves for natural gas service shall not be fitted with lifting devices. The adjustment if external shall be provided with means for sealing the adjustment to prevent tampering by unauthorized persons. If at any time it is necessary to break such seal, the valve shall be removed from service until it has been reset and sealed. Any adjustments necessary to natural gas safety relief valves shall be made by the manufacturer or other companies having competent personnel and adequate facilities for the repair, adjustment and testing of such valves. The organization making such adjustment shall attach a permanent tag with the setting, capacity and date. All safety relief devices shall be tested at least annually and maintained in proper operating condition. (7) If pressure regulators are used, a safety relief device shall be provided on the low-pressure side of each final stage regulator and on the low-pressure side of all other regulators unless the piping and/or fittings from the low-pressure side of such regulators to the high-pressure side of the next stage regulation are suitable for full tank pressure. (8) Safety relief valves for surge tanks containing vapor only shall have a relieving capacity of not less than the maximum input from the system, vaporizer or reducing valves. (9) Fusible plugs and/or rupture discs are prohibited for primary relief devices except as permitted in (b) (3) below. (10) On underground installations, the discharge from safety relief valves shall be vertically upward and shall be piped to a point at least 10 feet aboveground, and shall meet the requirements for the location of tanks as specified in Order 531 (a) (1), (2) and (3). (b) Compressed Natural Gas. (1) The minimum required rate of discharge of the safety relief valves for aboveground CNG tanks shall be at least equal to any input from the system, whether stored or being compressed. (2) Safety relief valves located on stationary tanks of over 166,000 cubic feet capacity, shall be fitted with ferrous standpipes which will discharge at least 2 feet above the top of the tank, but not less than 10 feet above ground level. These standpipes shall not be threaded at the open end, and shall be fitted with suitable drain openings. Return bends and pipe fittings at the upper ends of safety relief valve discharge pipes are prohibited. Standpipes shall be adequately braced or otherwise supported if over 4 feet in length. (3) Safety relief devices for DOT cylinders shall be provided in accordance with DOT regulations. (4) Safety relief valves for underground CNG tanks shall have a relieving capacity of not less than that required for aboveground tanks. (c) Liquefied Natural Gas. (1) The minimum relieving capacity of the safety relief valves for LNG tanks shall be at least equal to the capacity marking on the vessel nameplate required in 523 (c) (4). (2) Safety relief capacity shall be determined for exposure to external fire and shall be sufficient to prevent pressure in the tank from exceeding 120 percent of the allowable working pressure for tanks built with a factor of safety of less than 5 and 150 percent for tanks built with a factor of safety of 5 or more. For calculating, the applicable formula in Appendix A shall be used to determine minimum relieving capacity. (3) Safety relief valves for underground LNG tanks shall have a relieving capacity at least equal to the relief valve capacity markings on the vessel nameplate. When the capacity is not based on exposure of the vessel to fire, such underground tanks shall not be uncovered until they are free of liquid. (4) Unless otherwise provided for in these Orders, safety relief valves shall have direct communication with the vapor space of the vessel. (5) Safety relief valves located on stationary tanks over 2,000 gallons capacity shall be fitted with ferrous or suitable copper alloy standpipes which will discharge at least 2 feet above the top of the tank but not less than 10 feet above ground level. These standpipes shall not be threaded at the open end, and shall be fitted with suitable raincaps and shall be provided with a drain opening at their lower end unless the safety relief valves discharging into the standpipes are fitted with suitable drain openings. Return bends and pipe fittings at the upper ends of safety relief valve discharge pipes shall be prohibited. Standpipes shall be adequately braced or otherwise supported if over 4 feet in length. (6) The outer tank of LNG vessels shall be provided with one or more relief devices set to open at not more than the maximum design working pressure of the outer tank. The discharge area shall be not less than .00024 square inch per pound of water capacity of the inner tank. [FNa1] For Appendix A, refer to end of Subchapter 1. s 542. Warning Signs. (a) All tanks and cylinders in excess of 60 gallons capacity, except transportation tanks and fuel tanks on motor vehicles, shall have the word "FLAMMABLE" painted or otherwise suitably applied on each side that is readily visible. The letters of this sign shall be standard type and shall have a height of at least 1/12 of the diameter of the tank, but need not be in excess of 1 1/2 inches for tanks of 575 gallons capacity or less, or 4 inches for tanks exceeding 575 gallons capacity. Transportation tanks shall have warning signs as required by the Department of Highway Patrol. (b) Warning signs with the words "NO SMOKING OR OPEN FLAMES PERMITTED WITHIN ____FEET" shall be painted or otherwise suitably applied in letters at least 1 1/2 inches high, in sharply contrasting colors on each stationary tank or on a sign posted adjacent to the tank. This sign shall also be posted adjacent to all loading and unloading terminals and vaporizers located more than 50 feet from the tank. Note: The distance shall be that shown in the following table: Volumetric Capacity of Tanks and Cylinders ...................... Minimum Distance in U. S. Gallons ....................... From Open Flame 60 to 575 U. S. gallons inclusive.......... 10 feet 576 to 2,000 U. S. gallons inclusive....... 25 feet Over 2,000 U. S. gallons................... 50 feet (c) When 2 or more tanks are installed in battery, the requirements of Order 542 (a) and (b) will be considered as being complied with when the required warning signs are prominently displayed on all exposed sides of tanks. [FNa1] For Appendix A, refer to end of Subchapter 1. s 543. Storage, Transfer and/or Vaporization of Natural Gas Within Buildings for the Purpose of Filling Motor Fuel Tanks or for Operating Stationary Internal Combustion Engines. (a) CNG may be stored and LNG may be stored or vaporized within a building or an enclosure providing that the structure is of non-combustible construction, that it is used for industrial purposes only and that the floor area does not exceed 500 square feet. (b) The space shall be used exclusively for the vaporization of the CNG or LNG or for the storage of not more than a total of 41,500 standard cubic feet of CNG or 500 gallons of LNG. If vapors heavier than air can be present, the structure shall not be below ground level and the space below the floor shall either be of solid fill or else properly ventilated to the open air. (c) In all cases ventilation must be provided at both floor and ceiling levels and shall be considered adequate when no mixture of flammable gases is permitted in concentrations exceeding 20 percent of the lower flammability limit for the mixture. The requirements of this paragraph may be met by either: (1) A continuously operating mechanical ventilation system. (2) A gravity ventilation system composed of a combination of wall vents at the floor level and roof ventilators, or (3) A combination of the two. (d) Pumps and compressors should be located outdoors in a freely ventilated area. If installed within a building, such building shall be open on at least one side or be of louvered construction on at least two sides unless other acceptable ventilation is provided and it shall also be equipped with adequate roof ventilators. (e) All electrical wiring and electrical equipment shall be suitable for use in Class 1, Division 1 location if natural gas is transferred within a building or enclosure. All other electrical wiring and electrical equipment located within a building where there is no transfer shall be suitable for use in a Class 1, Division 2, hazardous location. (f) All gas piping to the building shall be provided with shutoff valves located outside the building. (Title 24, T8-543) [FNa1] For Appendix A, refer to end of Subchapter 1. s 544. Installation of Fuel Tanks or Cylinders for Motor Vehicles and Industrial Trucks. Note: This Section does not apply to those vehicles under the control of the Department of Highway Patrol, except subsections (p), (q), and (r). (a) Motor fuel tanks or cylinders shall be located in a place and in a manner to minimize the possibility of physical damage. (b) Motor fuel tanks or cylinders for passenger type vehicles may be located in the trunk compartment provided the trunk compartment is properly ventilated and the safety relief valve discharge is piped outside. When a motor fuel tank or cylinder is installed inside a trunk or other compartment, positive means shall be provided to prevent leakage of natural gas into the passenger or driver's compartment. Vehicle tanks or cylinders that have their connections or appurtenances in the end shall have as much space as possible for connecting the required flexible metal hose or tubing and for operating the manually operated shutoff valve. (c) If radio transmitting or receiving equipment is located in the same compartment as the fuel tank or cylinder such transmitting or receiving equipment shall be enclosed in a vapor-tight compartment or otherwise protected from escaping fuel, unless the radio equipment is approved for use in a Class 1, Division 1, Group D location. (d) For passenger-carrying or other commercial vehicles, motor fuel tanks or cylinders and their valves and appurtenances may be installed in a recess which is vapor-tight to the inside of the vehicle and accessible from and vented to the outside. (e) Valves, fittings and appurtenances containing natural gas shall not be located in the passenger or driver compartment unless all such valves fittings and appurtenances are positively sealed off from and vented to a point outside the passenger or driver compartment. (f) Each motor fuel tank shall be provided with a manually operated shutoff valve screwed directly into the tank connection. The manual shutoff valve shall be readily accessible or an electrically operated valve shall be installed in the line next to the manual valve. The manual shutoff valve shall be legibly labeled "Shutoff Valve." In installations of multiple cylinder manifolding, there shall also be a master shut-off valve either electrically or manually operated and located downstream from but as close as possible to the last cylinder in the series. In these cases there shall be a label indicating "Shut-off Valve" at the master valve and the individual tank valves need not be labeled. (g) Motor fuel tanks or cylinders shall be installed in such a manner that the bottom of the vessel and/or any connection thereto shall not be lower than the lowest horizontal axle when the vehicle is fully loaded. (h) Vents from control devices shall discharge outside the trunk compartment or other confined space. (i) Motor fuel tanks or cylinders shall be secured in a manner to prevent jarring loose, slipping or rotating of the tanks. Such fastening shall be designed to withstand loadings in any direction equal to the filled weight of the tank with a factor of safety of at least 8. Motor fuel tanks or cylinders shall not be fastened directly to the gasoline fuel tank. Compensation shall be made for the added weight by proper design or redesign of the vehicle suspension system when the loaded weight of the vehicle exceeds the manufacturer's maximum specifications. (j) Manifolded motor fuel tanks or cylinders shall be supported and held together as a unit by structurally adequate means. Manifolded branch lines shall be sufficiently flexible to prevent damage to the lines, valves and tanks due to vibration, expansion or contraction. Valves and appurtenances shall be protected from mechanical damage either by being located in recessed wells or by adequate guarding. (k) All connecting parts of the fuel system shall be installed in such a manner as to prevent abrasion, vibration or fatigue and physical damage. (l) Field welding, where necessary, shall be made only on saddle plates, brackets or other non-pressure parts that were provided and installed by the manufacturer of the tank or cylinder. There shall be no welding on the vessel shell or heads other than that by the manufacturer unless the welding is acceptable to the authorized inspector. (m) The connection between the motor fuel tanks or cylinders and the reducing valves, vaporizer or other devices used to reduce the pressure to that needed for carburetion shall be of flexible metallic tubing, wire-braided hose or equivalent with a factor of safety of not less than 5 for the most severe pressure and temperature design conditions. There shall be as few connections and fittings as practicable. (n) Automatic pressure reducing equipment shall be used for the purpose of reducing the pressure of natural gas to the carburetor, which shall not exceed 5 psi. Positive means shall be provided to prevent malfunction due to refrigeration effects. There shall be a device in the fuel supply system which will automatically stop the flow of fuel when the engine is not running. (o) Each driver shall be trained in the safe use of this fuel system and be provided with a set of operating instructions. The driver's employer shall be responsible to see that this is done. (p) While the natural gas motor fuel tank or cylinder is being filled, the vehicle parking or emergency brakes shall be set and the motor shut off. All transfer operations shall be supervised by an attendant familiar with the transfer operation. The attendant may be considered familiar with the transfer operation after he has been provided with a set of instructions and has performed the transfer operation at least through 3 full cycles under supervision. Where LNG motor fuel tanks or cylinders are being filled, the attendant shall remain at the controls necessary to stop the transfer operation. (q) Fill connections for motor fuel tanks or cylinders shall have at least one back-flow check valve or device. Quick disconnect couplings may be used provided they are designed for the most severe pressure and temperature conditions with a factor of safety of at least 5 and provided they are leak-tight in the connected and disconnected shutoff conditions. These couplings shall not be used in lieu of any required manually operated shutoff valves. (r) When motor vehicles are to be parked within buildings, adequate provisions shall be made such as roof ventilation to prevent gases lighter than air from being trapped at ceiling level. No source of ignition, electrical or otherwise, shall be permitted at those levels. (Title 24, T8-544(r)) [FNa1] For Appendix A, refer to end of Subchapter 1. s 560. Safe Practices. (a) No person shall do any of the following: (1) Remove, displace, damage, destroy, or carry off any safety device, safeguard, notice, or warning for use in any employment or place of employment, or interfere in any way with their use by any other person (this is not intended to prohibit the removal for repair or maintenance of any safety device provided such device or a suitable replacement is reinstalled before the unit is replaced in service). (2) Interfere with the use of any method or process adopted for the protection of any employee, including himself, in such employment or places of employment. (3) Fail or neglect to do every other thing reasonably necessary to protect the life and safety of employees. (b) The following Safety Orders from California Administrative Code, Title 8, are hereby made a part of these orders. (1) General Industry Safety Order 3301: Use of Compressed Air or Gases. See Appendix B. (2) General Industry Safety Order 3304: Miscellaneous Use of Compressed Cylinder Gas. See Appendix B. (3) General Industry Safety Order 3312: Entering Combustion Chambers, Flues, Boilers or Unfired Steam Pressure Vessels. See Appendix B. (4) General Industry Safety Order 3518: Air Compressors. See Appendix B. (c) Compressed gases shall not be used to elevate or otherwise transfer any substance from or to a container unless the container(s) is/are designed to withstand the maximum possible pressure that may be applied with a factor of safety of at least 4. Compressed gases shall not be used for pressure testing of any object until a safe pressure and procedure have been established. Except where pressure tested in accordance with (d), elastic materials must not be gas tested at pressures above 67% of the minimum specified yield point at test temperature. Brittle materials must not be gas tested above 40% of the minimum specified ultimate strength without remote operation and missile shielding. "Brittle Material" is defined for this section as having a minimum specified elongation of 4% or less. (d) Hydrostatic or Pneumatic Testing (subchapters 1 and 2) of Pressure Vessels, and included piping over 2 " diameter. (1) The rules of applicable Codes or Standards shall be used for hydrostatic, pneumatic or combination hydrostatic-pneumatic testing. Proof tests and tests to failure must also use procedures allowed by applicable codes or standards. If no applicable code or standard exists, the test procedure must be reviewed and accepted by the Division. (2) All valves, fittings and flanges used for pressure testing equipment, for either new construction or repair, shall have a minimum pressure rating equal to the test pressure. Use of an applicable ANSI standard pressure-temperature table such as in ANSI B16.5, is acceptable to determine the pressure rating. (3) Except as allowed in (4), all temporary closures shall be threaded, flanged with full bolting, or attached with full penetration welds; welded temporary closures must be so placed to preclude distortion or damage to the vessel or piping being tested. Threaded connections shall conform to the following table: MINIMUM NUMBER OF THREADS PER CONNECTION [Note: The following TABLE/FORM is too wide to be displayed on one screen. You must print it for a meaningful review of its contents. The table has been divided into multiple pieces with each piece containing information to help you assemble a printout of the table. The information for each piece includes: (1) a three line message preceding the tabular data showing by line # and character # the position of the upper left-hand corner of the piece and the position of the piece within the entire table; and (2) a numeric scale following the tabular data displaying the character positions.] ******************************************************************************* ******** This is piece 1. -- It begins at character 1 of table line 1. ******** ******************************************************************************* (a) Pressures up to and including 300 psi Size of pipe connection, in................ 1 & 1 1/4 1 1/2 & 2 2 1/2 to 4 Threads engaged ........................... 4 5 7 Min. plate thickness required, in.......... 0.348 0.435 0.875 (b) Pressures above 300 psi Size of pipe connection, in................ 1/2 & 3/4 1 to 1 1/2 2 Threads engaged ........................... 6 7 8 Min. plate thickness required, in.......... 0.43 0.61 0.70 1...+...10....+...20....+...30....+...40....+...50....+...60....+...70....+... ******************************************************************************* ******* This is piece 2. -- It begins at character 79 of table line 1. ******** ******************************************************************************* 4 1/2 to 6 7 & 8 9 & 10 12 8 10 12 13 1.0 1.25 1.5 1.625 2 1/2 to 3 4 to 6 10 12 8 10 13 14 1.0 1.25 1.62 1.75 79....+...90....+....0....+...10.. (4) The use of expansion plugs or serrated plugs without through stays is limited to 6 " nominal pipe size and/or 150 psi; for use of such devices above these limits specific written test procedures must be developed by the employer to protect against injury in the event the plug blows out. Such instructions may include applicable data and recommendations furnished by the plug manufacturer and must include the following as a minimum: (A) Identification by function of the personnel responsible for the various procedures. (B) The test plugs must be well maintained and inspected by the designated employee before use. (C) Any opening to be plugged shall satisfy any limitation on straightness, roundness and diameter and shall be cleaned of dirt, mill scale or oil. (D) The plug must be of the correct size and pressure rating, including any limitations on the test fluid or test temperature. It must be inserted for full length of engagement, in accordance with the plug manufacturer's instructions. (E) The test piece must be so oriented to minimize probability of the plug striking personnel or equipment if the plug is ejected. All air must be vented from objects to be hydrostatically tested. Test plugs shall be barricaded or equipped with arresting devices when pneumatic pressure is used for testing. (F) Provision shall be provided for safe egress. No one shall be allowed to stand in front of the test plug or in line of probable trajectory during test. (G) No one shall be allowed to stand on top of the object being tested, or on a ladder to the test section until the test object is brought up to full test pressure, held at test pressure for at least ten minutes, and pressure is reduced to a predetermined safe level. (H) Pressurization shall be stopped at intervals to check pressure gage (s) and position of test plug (s). (I) The test pressure shall be reduced to zero before the plugs are loosened for removal. (J) Damaged or expanded closure ends must be cut off. (K) All repairs to test plugs shall follow the plug manufacturer's instructions. (5) Pipe test machines are acceptable for use after they have been reviewed by the Division for safe operational procedures. (6) Pressure during test must be controlled within 5% above the required test procedure. Protection against overpressure must be provided at 110% of the test pressure. A relief valve setting of 133% of the test pressure may be used, for elastic materials only, where calculations show that 133% of the test pressure will not exceed 90% of the specified minimum yield strength of the material. The discharge from the safety relief valve or rupture disc must be led full size to a safe place. The requirement for a relief valve may be waived by a Qualified Pressure Vessel Safety Engineer or Certified Pressure Vessel Inspector if the only source of test pressure is a handpump. (e) Railroad tank cars containing compressed gas may not be used for interrupted unloading into smaller containers, unless permitted by the Federal Department of Transportation. Provisions for such unloading shall conform to DOT regulations See Petroleum Safety Orders, Sections 6879, 6880 and 6881 for requirements covering transfer operations at sidings inside petroleum refineries and distribution plants. (1) An adequate unloading facility must be provided, and provisions must be made to support the transfer hoses. The transfer attendant must not be required to haul the transfer hoses up or down the tank car ladder. (2) A bulkhead must be provided to prevent pullaway of the transfer hoses and/or to prevent imposing piping loads on the tank car valves. The bulkhead must be designed to withstand a horizontal pull of at least 2,000 pounds in any direction unless other adequate protection is provided. The unloading connections shall be firmly secured to the bulkhead. Excess flow valves, check valves or equivalent devices shall be provided where pipe or hose size is reduced. The Qualified Transfer Attendant shall be instructed in all phases of the transfer operation. The instructions shall include a prohibition against overfilling any tank. Note: All valves in the transfer system must be fully open in order for an excess flow valve to function, so internal valves or check valves should be used whenever possible. The tank car excess flow valves are located in the internal piping beneath the dome. Note: Bonding and grounding of the tankcar and transfer equipment may be required for compressed flammable gases by railroad leasing agreement or by the local fire official. (3) Written notification shall be given the Division and the local fire official of each non-permanently equipped transfer site. In emergencies, verbal notice may be given followed by written confirmation. Each such site shall be located, with respect to the minimum distance tables as outlined in Section 501(c) for NH sub3 or Sections 475(a) and (b) for Flammable Compressed Gas. Sites for transfer of other compressed gases must be at least 50 feet from railroad main track or important buildings. The working areas must be kept clear of debris and all transfer equipment must be protected from physical damage. Transfer shall be done only during daylight hours unless the transfer area is equipped with a lighting system and which provides at least 5 foot candles of illumination at all points of operations. (4) Vehicle and tank car wheels must be blocked during transfer. Tank car brakes must be set. Tank cars must not be left connected to hoses and/or pipelines except during the unloading operation and while the qualified transfer attendant is present and in charge, unless the tank car valves are closed and locked, hoses are depressurized and/or a hydrostatic relief valve is installed between shutoff valves. Valves on vehicles must be closed and locked except during transfer. Where vehicular container valves cannot be locked closed, the filling hose(s) must be disconnected when the qualified attendant is not present. (5) Transport tank trucks and towed vehicles may load into the tank cars if they are also equipped with pullaway protection, in addition to meeting the requirements of paragraphs (1) through (4). A brake interlock system that is acceptable to the Division, and is connected to the truck tank unloading hose connection, is considered as an adequate pullaway safeguard. Personal protective devices and safety equipment which are required and used for stationary storage facilities must be provided. Fire extinguishers must be provided for flammable compressed gases and anhydrous ammonia as required by the applicable safety order. Appendix A. Minimum Capacity Requirement Of Relief Valves for Fire Exposure For Liquefied Natural Gas Tanks and Vaporizers A1. The minimum total heat influx during a possible fire exposure of an insulated container shall be computed by the applicable formula: Note: Equation (1) shall be used for vaporizers with external insulation and Equation (2) for uninsulated vaporizers. The value of A is obtained by adding the area of the shell in contact with LN-Gas and the area of heat exchange surface in contact with LN-Gas. (1) H = 1560C sub1 A 0.82 + Hn where: H = Total heat influx, Btu per hour. C sub1 = Conductance of the insulation, Btu/sq. ft.-hr.-deg. F. (The value of C increases with temperature and a mean value for the range from -260 F to 1660 F should be used.) A = Total exposed wetted surface area in sq. ft. Hn = Total normal heat gain to the stored liquid without fire exposures and at maximum ambient temperatures, Btu per hour. A2. If the insulation system, including any jacketing material, is such that it will disappear, deteriorate or dislodge in an exposure fire, a higher heat gain will occur. This requires special consideration depending upon the extent of loss of the insulating properties. If only a part of the insulation is lost, the heat gain may be estimated by the formula: (2) H = (34,500 - 360C sub2)A 0.82 + Hn In this case, the value of C sub2 should be the mean value for the range from -260 degrees F to 100 degrees F. A3. The required relief valve capacity shall be computed by the formula (3) Qa = 3.09(H/L) / (T/M) where: Qa = Required flow capacity of air, cu. ft. per hour at 60 F and 14.7 psia. H = Total heat influx, Btu per hour from the formula (1) or (2). L = Latent heat of vaporization of the stored liquid, Btu per lb. (219 may be used for LN-Gas). T = Absolute temperature of the gas at the relief valve inlet, deg. R. M = Molecular weight of the gas (16.0 may be used for LNG). Appendix B. 3301. [FN1] Use of Compressed Air or Gases. (a) Compressed air and other compressed gases in excess of 10 pounds per square inch gauge shall not be used to blow dirt, chips, or dust from clothing while it is being worn. (b) Compressed air or gases shall not be used to empty containers of liquids where the pressure can exceed the safe working pressure of the container. (c) The use of compressed air shall be so controlled, and proper personal protective equipment or safeguards utilized, as to protect against the possibility of eye or body injury to the operator or other workers. (d) Abrasive blast cleaning nozzles shall be equipped with an operating valve which must be held open manually. A support shall be provided on which the nozzle may be mounted when it is not in use. (e) Compressed gases shall not be used to elevate or otherwise transfer any hazardous substance from one container to another unless the containers are designed to withstand, with a factor of safety of at least four, the maximum possible pressure that may be applied. Note: For further guidance in the utilization of compressed gases in cylinders see Group 10; for portable tanks, rail tank cars, or motor vehicle cargo tanks, see Compressed Gas Association Pamphlet P-1-1965. [FN1] Reprint General Industry Safety Order, Section 3301, Use of Compressed Air or Gases, from the California Administrative Code, Title 8, Subchapter 7 (Register 75, No. 29). 3304. [FN2] Miscellaneous Use of Compressed Cylinder Gas. (a) Employers shall not permit the use of compressed cylinder gas for testing pressure vessels unless there is installed in the compressed gas supply line or on the vessel being tested a pressure relief device set to function at a pressure not to exceed the safe working pressure of the vessel. (b) Compressed gas shall never be used from a cylinder or cylinder manifold where pressures dangerous to employees may develop unless an accepted pressure regulating device is installed on the cylinder valve or manifold. The term "accepted" here means that the pressure regulating device is listed by Underwriters' Laboratories or some other recognized authority of equivalent standing. Note: Cylinder as used in this order means an Interstate Commerce Commission compressed gas cylinder. [FN2] Reprint General Industry Safety Order, Section 3304, Miscellaneous Use of Compressed Cylinder Gas, from the California Administrative Code, Title 8, Subchapter 7 (Register 72, No. 23). 3312. [FN3] Entering Combustion Chambers, Flues, Boilers or Unfired Steam Pressure Vessels. (a) Before employees are allowed to enter, through a manhole, the shell or drum of a steam boiler or an unfired steam pressure vessel for maintenance or repair, where such a boiler or pressure vessel is one of a battery of two or more boilers or vessels or is connected to another source of steam, the valves connecting to the steam header or other source of steam shall be closed and effectively blinded or two valves shall be installed with a bleeder between them and the valves shall be closed and bleeder open. Blow down valves and other valves on lines through which harmful material might accidentally flow back to the boiler or vessel shall be either sealed or closed and locked and the key retained by the employee or his supervisor while the employee is in the boiler or vessel. When lines are effectively blinded the valves need not be locked or sealed. (b) Employees shall not enter or be required to enter the fire boxes, flues or combustion chambers of fired apparatus until: (1) The pilot light, fuel and steam lines to burners entering the fire box or combustion chamber have been blinded, disconnected or effectively closed by the use of two block valves with an open bleeder between them. (2) All probability of ignition of any solid combustibles in the fire box or combustion chamber has been removed. [FN3] Reprint of General Industry Safety Order, Section 3312, Entering Combustion Chambers, Flues, Boilers or Unfired Steam Pressure Vessels, from the California Administrative Code, Title 8, Subchapter 7 (Register 72, No. 23). 3518. [FN4] Air Compressors. (a) Air compressor discharge lines having a block valve between the air receiver and compressor shall have a pressure relieving safety device installed in the line between the compressor and block valve. The pressure relieving safety device shall be set to open at a pressure not to exceed the rated working pressure of the cylinder. The relieving capacity of the pressure relieving safety device shall be such as to prevent a rise of pressure in the compressor cylinder of more than 10 percent above its maximum allowable working pressure, and the discharge shall be to a safe place. The installation of this pressure relieving safety device is not to be considered as providing the required safety relief valve for the protection of the air receiver. (b) Air compressor intake lines shall not be located in atmospheres containing explosive concentrations of flammable gases or vapors. [FN4] Reprint of General Industry Safety Order, Section 3518, Air Compressors, from the California Administrative Code, Title 8, Subchapter 7 (Register 72, No. 23). Note: Authority cited: Section 142.3, Labor Code. Appendix C Acceptance Tests for Plastic Piping The following are tests that shall be passed for acceptance of plastic piping for the conveyance of compressed air: 1. Test for impact resistance at 0 <> C: (32 <> F) Objective: To determine if the material will withstand the energy of impact without fracturing through the complete wall thickness. Form of test specimen: Each specimen shall be a section of pipe, of a length equal to twice the nominal size or 150 mm (6" ), whichever is greater, subject to a maximum length of 300 mm (12" ). The ends of the specimen shall be cut clean and equal to the axis of the pipe. For "round-the-clock" testing, each specimen shall be marked with the number of longitudinal lines shown in Table 1. Note: For pipe sizes 50 mm (2 " ) and over, specimens are subjected to impact equally spaced around the pipe; this procedure is known as "round-the-clock" testing. Apparatus: A falling weight machine (an example of which is shown in Figure 1) shall be used and shall consist essentially of the following: a. A main frame which can be rigidly fixed in a true vertical position. b. Guide rails, carried from the inside of the main frame, on side bearings which can be adjusted to keep them parallel and vertical. c. A weighted striker that can fall freely within the guide rails and that is equipped with a hardened hemispherical striking surface 25 mm (1" ) in diameter. The striking surface shall be free from flats and/or other imperfections. d. An appropriate set of weights which can be firmly attached to the striker to enable the combined weight to be adjusted to the values shown in Table 2. Procedure: Adjust the total energy of the striker to the value appropriate to the pipe diameter being tested as shown in Table 2. Condition each specimen in a water or ethylene glycol bath for at least one hour prior to the test at a temperature of 0 <> C (32 <> F) + 1 <>. Test individual specimens within 10 seconds of removal from the bath. allow the striker to fall freely onto the pipe specimen, which is centrally mounted on the vee block support. Specimens from 10 mm (3/8" ) to 38 mm (1-1/2" ) (inclusive) nominal size shall be subjected to a single strike only. For pipe size 50 mm (2" ) and above. Place the pipe on the vee block, so that one of the marked lines is uppermost. Then allow the weight striker to fall freely on the marked line on the pipe as described above. If the specimen does not fail as a result of cracking or splitting through the pipe wall, rotate the specimen until the next marked line is uppermost in the vee block, and cause a second blow to be made by the striker. Repeat the process until all the marked lines have been tested, or until a failure is recorded. If the required sequence of impacts has not been completed within 10 seconds, interrupt the procedure and immediately recondition the specimen at a temperature of 0 <> C (32 <> F) + 1 <> for at least 10 minutes. Fracturing or cracking through the complete wall thickness of the test specimen shall be a failure. The following tests (Nos. 2 & 3) are intended to simulate a potential destructive impact. Splitting through the pipe wall or puncture is acceptable for passing results, if: (a) No separation of one part of piping length from its mating part occurs. (b) No separation of any material fragment from the body of the piping occurs. 2. Test for impact resistance at design pressure at 0 <> C (32 << degrees>> F) with blunt striker. Testing procedures and apparatus shall be the same as Test No. 1, except: (a) Pressurize and maintain pipe sample at design pressure and cool to 0 << degrees>> C (32 <> F) as in Test No. 1. (b) Energy of the striker to be twice the total energy of Table 2. (c) Only one drop required. 3. Test for impact resistance at design pressure at 0 <> C (32 << degrees>> F) with sharp striker. Same as Test No. 2 in all cases, except with a chisel edged sharp striker (Figure 2). 4. The plastic piping systems shall be capable of sustaining without failure at least 600 psi when tested to the Standard Test Method for Short-Time Hydraulic Failure Pressure of Plastic Pipe, Tubing, and Fittings, using ASTM Designation No. D1599-86 (1986) which is herein incorporated by reference. This test shall be performed on each batch of pipe and fittings. 5. The plastic piping system shall be capable of sustaining without failure at least 460 psi when tested to the Standard Test Method for Time-to-Failure of Plastic Pipe Under Constant Internal Pressure using ASTM Designation No. D1598- 86 (1986), which is herein incorporated by reference, for at least 1,000 hours. This test shall be performed anytime there is a change in: (a) material composition, compound or processing technique; (b) design or size of joint or fitting; (c) but, in any case not less than every 12 months. Table 1. Number of Lines For "Round-the-Clock" Testing Number of Equidistant Normal Size mm (inches) .. Lines to be Drawn 50 ......................... mm (2 3 63 ......................... mm (2-1/2 4 75 ......................... mm (3 4 100 ........................ mm (4 6 Table 2. Energy of Striker Total Energy Normal Size of Pipe .. of Striker mm (inches ..... ft. lbs. 10 ........................ mm (3/8 22 12 ........................ mm (1/2 33 19 ........................ mm (3/4 43 25 ........................ mm (1 54 38 ........................ mm (1-1/2 65 50 ........................ mm (2 76 63 ........................ mm (2-1/2 98 75 ........................ mm (3 98 100 ....................... mm (4 110 (c) Whenever an owner or user of any apparatus or equipment fails to pay the fees required under this section within 60 days after notification, said owner or user shall pay, in addition to the fees required under this section, a penalty fee equal to 100 percent of such fee. For the purpose of this section, the date of the invoice shall be considered the date of notification. Appendix D Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. <<(Subchapter Originally Printed 4-20-45 As Boiler Safety Orders Repealer and New Subchapter 2 Filed 8-18-55)>> s 750. Application of Boiler and Fired Pressure Vessel Safety Orders. (a) These orders establish minimum standards for: (1) The design, construction, installation, inspection, operation, and repair of all power boilers and nuclear boilers in California not specifically exempted from these Orders. (2) The design, construction, installation, operation, and repair of all low-pressure boilers and high-temperature water boilers in California not specifically exempted from these Orders. (3) The design and construction of fired pressure vessels in California not specifically exempted from these orders. (b) After the date on which these orders become effective, all installations and equipment shall conform to these orders. Exception: Existing installations and equipment which were in compliance with safety orders, or variances therefrom, in effect prior to the effective date of these safety orders, unless the hazard presented by the installation or equipment is, in the judgment of the Chief of the Division, of such severity as to warrant control by the application of the applicable sections of these orders. Note: Unless otherwise designated in this subchapter, the phrase "Division" refers to the current Division of Occupational Safety and Health or any of its predecessors including the former Division of Industrial Safety or the Division of Occupational Safety and Health Administration. Reference to the former Division of Industrial Safety or Division of Occupational Safety and Health Administration in these orders is meant to refer to their successor, the Division of Occupational Safety and Health, or any subsequent successor agency. Note: Authority cited: Section 6307, Labor Code. Additional authority cited: Section 142.3, Labor Code. Reference: Sections 142.3 and 6302(d), Labor Code. s 751. Boilers and Fired Pressure Vessels Not Subject to These Orders. These orders are not applicable to the following: (a) Boilers and fired pressure vessels under the jurisdiction or inspection of the United States Government. (b) Boilers and fired pressure vessels used in household service. (c) Automobile boilers and boilers used exclusively to operate highway vehicles. s 752. Variances. (a) Any employer may apply to the Division for a temporary order granting a variance from an occupational safety and health standard. Such temporary order shall be granted only if the employer files an application which meets the requirements of Sections 6450 through 6457, inclusive, of the California Labor Code. (b) Any employer may apply to the Occupational Safety and Health Standards Board for a permanent variance from an occupational safety and health standard, order, or portion thereof upon a showing of an alternative method, program, practice, means, device or process which will provide equal or superior safety for employees. Such application shall conform to the requirements of the California Administrative Code, Title 8, Chapter 3.5. Note: Authority cited: Section 142.3, Labor Code. s 753. Definitions. Age: Period of time since date of manufacture or nearest estimate if date of manufacture is unknown. ANSI Standards: Standards approved as American National Standards by the American National Standards Institute, Inc. Appurtenance A device installed on and used in the normal operation of the boiler. This includes the piping between the boiler and device, but does not include piping beyond that point unless specifically required elsewhere in these Orders. ASME: The American Society of Mechanical Engineers. Automatic Safety Shutdown Devices: Safety controls (other than operating controls) which monitor certain essential operating conditions of a fired boiler and which will shut down the boiler in the proper sequence when any of the essential conditions vary from set limits and require the services of the attendant to place the boiler back in operation. Automatically Controlled Boiler: A boiler equipped with devices to maintain the burner firing conditions, the pressure and/or temperature, and the water level or water content within the predetermined limits without manual manipulation. Boiler: A fired or unfired pressure vessel used to generate steam pressure by the application of heat. (This definition is intended to include "steam generators" and "forced -circulation boilers" but excludes "unfired evaporators.") [Note definition of: Code Boiler, High Temperature Water boiler, Low Pressure Boiler, Miniature Boiler, Nuclear Boiler, Power Boiler, Secondhand Boiler]. Certificate of Competency: Certification issued by the Division to persons who have satisfactorily passed the written boiler inspector's examination prescribed by the Division. Certified Inspector: a person who is qualified to make inspections or examinations of boilers or tanks according to the rules under which the vessel is constructed, who has an unrevoked certificate of competency issued pursuant to this part, and who is employed by any one of the following: A county. A city An insurer. An employer, for the purpose of inspecting only tanks and boilers under his jurisdiction. Code: The applicable sections of the ASME Boiler and Pressure Vessel Code and of the ANSI Standards. Power Boilers. Section I, 1977 edition, (except PG -39 and PW -35 for which the 1974 edition will be used). Material Specification, Section II, 1977 edition. Nuclear Power Plant Components, Section III, 1977 edition, Division 1 and 2 (except NB/NC/ND -3612(a)(3), for which the 1974 edition will be used). Heating Boilers, Section IV, 1977 edition. Pressure Vessels, Section VIII, 1977 edition. Welding and Brazing Qualifications, Section IX, 1977 edition. Rules for In service Inspection of Nuclear Power Plant Components, Section XI, 1977 edition. Power Piping, ANSI B 31, 1, 1977 edition (except nonmetallic pipe such as plastic is not acceptable unless permitted by specific safety orders). Code addenda shall become effective six months after the date of issuance unless exception to specific parts thereof are made in the interim by the Division. Code Boiler: a boiler constructed, inspected, and stamped as required by the code. Division: Division of Industrial Safety. Evaporator: An apparatus, usually closed, for driving off superfluous liquid, as in concentration plants for sugar and syrup, in fruit drying, etc., or for evaporating liquid for subsequent condensation to purify it, as from salts held in solution. Existing Installations: Boilers installed in California prior to the adoption of these orders and in compliance with the safety orders of the Division in effect at the time of installation. External Inspection: An inspection of all visible external surfaces and appurtenance of an installed boiler or fired pressure vessel. Where practicable this inspection shall be made with the boiler in operation to permit the inspector to witness the operation of the controls. Field Inspection: An inspection of an installed boiler or fired pressure vessel. Fired Pressure Vessel: A metallic vessel other than a boiler in which vapor pressure is generated in excess of 15 psi by direct firing with a solid, liquid, or gaseous fuel or by electric heating elements. (This does not apply to a coil or tubular section in which a fluid or other product is being continuously circulated by means of a pump or other mechanical device, provided the pipes or tubes do not exceed 6 -inch size.) Full Safety Pilot Control: A control that will shut off the fuel to the main burner and to the pilot burner and require manual resetting if: The pilot burner flame should be extinguished, or In the case of spark ignition, the main burner fails to light after 1 recycle of operation of the ignition mechanism. High Temperature Water Boiler: A fired or unfired pressure vessel used to heat water to temperatures above 212 degrees F. At pressure exceeding 160 psi or to temperatures exceeding 250 degrees F regardless of pressure. Internal Inspection: Inspection of all accessible internal and external surfaces of a boiler or fired pressure vessel and its appurtenances. Low -pressure Boiler: A boiler which does not: Operate at steam pressure or with steam safety valve settings exceeding 15 psi (low -pressure steam boiler), or Operate at water pressure exceeding 160 psi or water temperatures exceeding 250 degrees F (hot water heating boiler). This definition is not intended to include domestic type water heaters provided all of the following are complied with: The heater does not have more than 120 -gallon water capacity. The heater is used only for heating service water. The operating control on all automatically controlled heaters is installed by the manufacturer and is of a type that cannot be regulated to increase the water temperature at the top of the heater to more than 200 degrees F. A non -adjustable control is installed on all automatically controlled heaters by the manufacturer and set to shut off the heat input when the temperature at the top of the heater is 210 degrees F or less. This control and the necessary fuel valve, switch, etc., shall be separate from the operating mechanisms required in (C) above. Automatically controlled gas or oil fired heaters shall have a safety pilot mechanism installed by the manufacturer and so arranged that fuel will be shut off to both the main burner and pilot burner in case of failure of the pilot burner flame or of the spark igniter. The heater is approved by the American Gas Association or other testing laboratory acceptable to the American National Standards Institute. The heater is protected against over -pressure than the maximum allowable working pressure of the heater and having a relieving capacity in BTU/hr at least equal to the burner output. Coil -type swimming pool heaters at places of employment rated at or below 400,000 BTU/hr input need not be considered boilers provided all of the following conditions are complied with: They are used to heat pool water to a maximum temperature of 140 degrees F, with a maximum pressure stamping of 150 psi. The inside diameter of the tubes shall not exceed 1/8 ". The water volume within the casing does not exceed 6 gallons. Pool heaters with 200,000 BTU/hr input and less need not be ASME Code, but shall be built to good engineering practice, and have a minimum factor of safety of 4. They shall have an ASME Code safety valve rated at the full BTU output, and set at or below the stamped maximum allowable working pressure of the heater. The maximum voltage of the control circuit shall be 120 volts. The burner shall have a safety pilot mechanism installed by the manufacturer that will shut off the fuel to both the main burner and pilot burner in case of failure of the pilot burner or of the spark ignitor. The maximum time until the fuel valve is fully closed shall be 90 seconds for burners not exceeding 400,000 BTU/hr input. There shall be a flow switch or low water pressure switch installed by the manufacturer within the heater casing to monitor flow through the coil. There shall be a high temperature limit switch set below the boiling point at atmospheric pressure. This is in addition to the operating temperature control, set at 140 degrees F. There shall be two main burner fuel valves piped in series, or a single fuel valve having two seats. Coil -type steam vapor cleaners need not be considered as boilers provided all of the following conditions are complied with: The larges nominal pipe or tubing size is 3/4," and has no drums or headers attached. They shall be built to good engineering practice with a factor of safety of at least 4. The nominal water containing capacity does not exceed 6 gallons. A non -adjustable high limit temperature control shall be set to operate at or below 350 degrees F. Steam is not generated within the coil. A safety valve set at or below the stamped maximum allowable working pressure, with relief capacity at least equal to the BTU output of the burner, shall be installed near the outlet. The burner shall have a safety pilot mechanism installed by the manufacturer that will shut off the fuel to both the main burner and pilot burner in case of failure of the pilot burner or of the spark ignitor. The maximum time until the fuel valve is fully closed shall be 90 seconds for burners not exceeding 400,000 BTU/hr input. Miniature Boiler: A boiler which does not exceed any of the following limits: 16 inches inside diameter of shell. 5 cubic feet gross volume, exclusive of casing and insulation. (This volume includes the total volume of the steam and water containing parts of the boiler plus the volume of the combustion space and gas passages up to the point of attachment of the smokestack or chimney breeching.) 20 square feet water heating surface. 100 psi maximum allowable working pressures. National Board: The National Board of Boiler and Pressure Vessel Inspectors. New Installations: Boilers and fired pressure vessels installed or reinstalled after the effective date of these Orders. Nuclear Boiler: A device consisting of a vessel or system of vessels in which nuclear fuel is present and a nuclear chain reaction may take place or in which the reactor coolant is circulated for the purpose of heating a fluid for generating useful energy. Such nuclear boiler shall include the interconnecting piping up to and including the required valve or valves needed to isolate the vessel or system of vessels. Oil Field Recovery Heater: A forced -circulation, once -through, water tube steam generator, used only in oil field thermal recovery operations, having no fired pressure parts larger than 4 -inch pipe size and no other pressure part larger than 6 -inch pipe size. Power Boiler: Steam boiler operated at pressure exceeding 15 psi. Proved Pilot: a device that will not permit the fuel valve to the main burner to open until a proper source of ignition is established to light the main burner. Psi: Pounds per square inch gage. Qualified Inspector: Either a certified inspector or qualified safety engineer. Qualified Safety Engineer: A person who is qualified to make inspections or examination of boilers or tanks according to the rules under which the vessel is constructed and who holds a valid certificate of competency issued by the Division. Relief Valve: An automatic pressure relieving device actuated by the static pressure upstream of such device which opens further with the increase in pressure over the opening pressure. It is used primarily for liquid service. Resale Inspection: The inspection of any used boiler to determine its maximum allowable working pressure when reinstalled in accordance with these Orders. Safety Relief Valve: An automatic pressure actuated relieving device suitable for use either as a safety valved or relief valved, depending on application. Safety Valve: An automatic pressure relieving device actuated by the static pressure upstream of such device and characterized by full opening pop action. It is used for gas or vapor service. Secondhand Boiler: A boiler that has changed both ownership and location. Shop Inspection: Inspection of boilers and fired pressure vessels in a fabricator's shop, or at the jobsite during erection, as required by the Code. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. s 754. Design and Construction of Power Boilers and High Temperature Water Boilers. All new power boilers and high temperature water boilers shall be constructed, inspected, and stamped in full compliance with the applicable sections of the Code, unless the design and construction of the boiler are accepted by the Division as equivalent to Code. s 755. Design and Construction of Fired Pressure Vessels. (a) All fired pressure vessels shall be constructed, inspected, and stamped in accordance with the Code insofar as applicable. Those vessels not included in the scope of the Code shall be designed and constructed in accordance with good engineering practice regarding pressure vessel design for the pressure and temperature to be expected in service with a factor of safety of at least four. (b) Good engineering practice as used in this article shall be construed to require the employer to provide details of design and construction which will be as safe as otherwise provided by the rules in the Code including shop inspection. s 756. Design and Construction of Low-Pressure Boilers. All new low-pressure boilers shall be constructed, inspected, and stamped in accordance with the Code, unless the design and construction are accepted by the Division as equivalent to Code. s 757. Design and Construction of Nuclear Boilers. All pressure vessels installed as a part of a nuclear boiler shall be constructed, inspected, and stamped in accordance with the Code, unless the design and construction are accepted by the Division as equivalent to Code. All piping included as a part of a nuclear boiler, up to and including the valve or valves required to isolate the boiler system, shall be constructed, inspected, and stamped in accordance with the requirements for pressure piping in Section I of the Code -except that the Code symbol stamp may be omitted from the stamping required by that section of the Code. Note: Authority cited: Section 6307, Labor Code. Additional authority cited: Section 142.3, Labor Code. s 758. Maximum Allowable Working Pressure of Existing Installations. (a) The maximum allowable working pressure of any code boiler shall be determined by the provisions of the code effective when the boiler was manufactured and upon its condition, determined after an internal inspection. (b) The maximum allowable working pressure of any non-code power boiler shall be determined by the standards of the Code with a factor of safety not less than: (1) Five if the boiler had been inspected and reported to the Division prior to January 1, 1936. (2) Eight if the boiler had not been inspected and reported to the Division prior to January 1, 1936, and is of lap seam construction. (3) Seven if the boiler had not been inspected and reported to the Division prior to January 1, 1936, and is of butt-strap construction. (4) Six if of welded construction, providing it can be proven to the satisfaction of the Division that the material, workmanship, and details of construction are equivalent to the requirements for Code boilers. (5) The factor of safety permitted at the time of last internal inspection prior to the adoption of these orders; provided, however, that a lower factor of safety may be allowed at the discretion of the Division. (c) A higher factor of safety than provided for in (b) above may be applied at subsequent inspections by any qualified inspector when deterioration or other defects are found that affect the safety of the boiler. (d) The maximum allowable working pressure of a fired pressure vessel constructed prior to the effect date of these orders shall be established in accordance with the rules of the code when applicable, or in accordance with good engineering practice regarding pressure vessel design. s 761. Safety Valves and Pressure Relieving Devices, Boilers. (a) Each power boiler, nuclear boiler, and high temperature water boiler shall have safety valves or pressure relieving devices constructed, stamped and installed in accordance with the applicable section of the Code, except: (1) For existing installations the stamping required by the Code at the time of original installation may be accepted until the valves are replaced. (2) Upon written request by the employer, the Division may permit three-way two-port valves to be installed under two safety valves, each with the required relieving capacity, provided they are so installed that both safety valves cannot be closed off from the boiler at the same time and provided the three-way valve will permit at least full flow to the safety valve in service at all time. (b) The user shall maintain all pressure relieving devices in good operating condition. Where the valves cannot be tested in service, the user shall maintain and make available to the inspector records showing the test dates and set pressure for such valves. (c) Pressure relieving devices with open discharge installations shall have piping and supports designed for pressure relief reaction forces in accordance with Appendix II of ANSI B 31.1. The discharge from pressure relieving devices shall be piped to a safe location where: (1) The discharge of steam or hot water will not present a hazard to employees. (2) The discharge of steam or water will not be detrimental to any electrical or other machinery or equipment. (3) The discharge pipe cannot be readily plugged or otherwise obstructed. Note: Authority cited: Section 142.3, Labor Code . Reference: Section 142.3, Labor Code . s 762. Safety Valves and Pressure Relieving Devices, Fired Pressure Vessels. (a) Boilers (or vaporizers) of the Dow-therm, mercury vapor or similar types shall be fitted with adequate safety relieving devices to assure their safe operation. Safety valves of Dow-therm vaporizers and similar equipment shall be removed at least once each year for inspection and cleaning of any deposits that might affect their operation. (To eliminate the necessity of shutting the unit down for this inspection, a three-way stop valve may be installed under 2 safety valves, each with the required relieving capacity, and so installed that both safety valves cannot be closed off from the vaporizer at the same time; or 2 or more separate safety valves may be installed with individual shutoff valves, in which case the shutoff valve stems shall be mechanically interconnected in a manner which will allow full required flow at all times.) (b) Fired pressure vessels other than those mentioned in (a) above shall be fitted with safety relieving devices of sufficient capacity to relieve all vapor that can be generated in the vessel during normal operation and shall be fitted with proper controls to assure their safe operation. s 763. Low-Pressure Boilers. (a) All low-pressure boilers shall be installed and fitted with the fittings and appliances required by the Code, and any additional appurtenances required in the following subsections. (b) When a hot water heating boiler is equipped with an electrically operated circulating pump and electrically operated burner controls, the control switches shall be labeled to show which is for the burner circuit and which is for the pump circuit, or the electrically operated burner controls shall be connected in the electric circuit ahead of the automatic pump switch or the burner control switch shall be mechanically interlocked to the disconnect switch for the circulating pumps. (c) All low-pressure boilers shall be equipped with one or more pressure relieving device adjusted and sealed so as to discharge at a pressure not to exceed the maximum allowable working pressure of the boiler. The combined capacity of these devices shall be such that with the fuel burning equipment installed and operating at maximum capacity the pressure cannot rise more than 5 psi for steam boilers or 10% for water boilers above the maximum allowable working pressure of the boiler. All pressure relieving devices shall be installed as required by the Code and be ASME stamped and rated and shall be installed with the valve spindle vertical and shall have a manual lifting device to permit periodic testing. The discharge from all drains and pressure relieving devices shall be piped to a safe place of discharge and shall have no shutoff valves in the pipe between the pressure relieving device and point of discharge. A safe place of discharge as used in this section shall be a location where: (1) The discharge of steam or hot water will not present a hazard to employees. (2) The discharge of steam or water will not be detrimental to any electrical or other machinery or equipment. (3) The discharge pipe cannot be readily plugged or otherwise obstructed. (d) All automatically controlled low-pressure boilers shall be equipped with: (1) A low-water control that will close the main burner fuel valve when the water in the boiler reaches the lowest operating level, or for boilers with no fixed steam or water line, when the highest permissible operating temperature is reached. (2) A low-water safety cutout that will shut off the fuel to the burner when the water in the boiler reaches a predetermined level which shall not be below the lowest permissible level, and manual resetting of the low-water control or of the fuel valve or of the emergency control system shall be required to place the boiler back in operation after it has been shut down due to the operation of the low-water safety cutout. (3) An adjustable operating control and fuel valve to regulate the flow of fuel to the burner to maintain the pressure or temperature below the following limits: (A) 15 psi gage pressure for steam boilers. (B) 250 F water temperature for water boilers. (4) A high-limit safety control that will shut off fuel to the burner when the pressure in a steam boiler reaches a predetermined maximum not to exceed 15 psi gage or when the temperature in a water boiler reaches a predetermined maximum not to exceed 250 F. The high-limit safety control mechanism shall be in addition to the operating control required in (d)(3) above and manual resetting of the high-limit control or of the fuel valve or of the emergency control system shall be required to place the boiler back in operation after it has been shut down due to the operation of the high-limit safety control. (5) (A) A full safety pilot control on boilers equipped with standing pilot burners, other than those included in subsection 763 (d)(5)(B), that will shut off the fuel to the main burner and any extinguished pilot burners if a pilot light is extinguished. Such device shall actuate to close the safety fuel shutoff valve required in Subsection 763 (d)(6) within the time limits specified for flame failure shutoff in Table 1. (B) A programmed flame safeguard system on burners equipped with spark ignition that will include a flame failure shutoff time not greater than specified in Table 1. Such system shall require the services of the attendant to place the boiler back into operation if a flame failure should occur while in operation or if the flame is not established within the time limit programmed into the system. Such time limits shall not exceed that specified for flame failure shutoff in Table 1. Table 1. Flame Follows Shutoff Times [FN1] ------------------------------------------------------------------------------- Masimum Firing rate Maximum Firing Type of Ignition Maximum time until Oil Gal. per hr. rate Gas valve is fully BTU/hr. closed, seconds ------------------------------------------------------------------------------- 3 gallons or less ...................... Unproved Pilot or Ignition ................ 90 -------------------- ------------------ Over 3 gallons to 7 gallons ....................................................... 30 [FN2] -------------------- ------------------ Over 7 gallons to 20 gallons ....................................................... 10 [FN2] -------------------- -------------------------------------- Over 20 gallons ........................ Proved Pilot ........... 60 [FN3] ------------------------------------------------------------------------------- 400,000 BTU and under .......... Proved or Unproved Pilot ................... 90 --------------------------------------------------------- 400,001 BTU and over ........... Proved Pilot [FN4] ........ 10 ------------------------------------------------------------------------------- [FNNote 1.] Flame failure shutoff as used in these Orders means the total elapsed time from the time of flame failure or other abnormal condition occurs until the fuel shutoff valve is closed. [FNNote 2.] Where a burner is designed or equipped for a "starting firing rate" of less than the maximum firing rate of the burner, the flame failure shutoff time shown in Table 1 for the lesser firing rate may be used for establishing ignition, provided that firing rate cannot be increased until ignition is proven. The time limit for flame failure shutoff shall be determined by the maximum burner input. [FNNote 3.] The 60-second time limit for flame failure shutoff may be used for burners having less than 20 gallons per hour input if equipped with a proved pilot. [FNNote 4.] In case of pilot flame failure, the proved pilot shall de-energize the safety fuel shutoff valve electrical circuit and cause that valve to close within 10 seconds. (6) In addition to the operating fuel shutoff valve(s) required in 763 (d) (1) and (3), an additional safety fuel shutoff valve that will be operated by the controls required by Section 763 (d) (2), (4), and (5). This valve shall be of a type that will close within 2 seconds after being de-energized if the burner input rating exceeds 400,000 BTU/hr. (7) A means for obtaining adequate combustion chamber purging and for limiting the burner "trial for ignition" time during start up to 15 seconds or that permitted for flame failure shutoff in Table 1, whichever is greater. (e) All low-pressure boilers shall be equipped with a pressure or altitude gage as required by the code. All water boilers shall be equipped with a thermometer to indicate temperature conditions at or near the hot water outlet. These devices shall be visible to the operator from the operating area. (f) All low-pressure steam boilers shall be equipped with one or more water gage glass with shutoff valves and drain cocks. These devices shall be located on the boiler, or on a water column, within the permissible water level range for the boiler (unless specifically exempted by the Code). (g) All hot water heating systems shall be equipped with a suitable expansion tank that will be consistent with the volume, temperature, pressure, and capacity of the system as required by the Code. All such expansion tanks shall have an allowable working pressure at least equal to the maximum allowable working pressure of the boiler with which they are used, and the maximum allowable working pressure shall be stamped on a nameplate visible after installation. All expansion tanks connected into systems having boilers designed for more than 30 psi working pressure shall be constructed, inspected, and stamped according to the Code, Section VIII, unless it can be proven to the satisfaction of the Division that the design and construction will provide equivalent safety. Expansion tanks connected into systems having boilers designed for 30 psi or less shall be designed, constructed, and stamped according to the Code, Section VIII, or according to good engineering practices with a factor of safety of at least 4. All expansion tanks shall be fitted with either: (1) a water gage glass or other means for indicating visually the water level in the tank, or (2) a bladder-type expansion tank provided the tank is fitted with an airtight bladder inside the tank and it is provided with a means of determining the presence of air cushion in the tank. The hot water heating system shall be installed, inspected, and equipped with the required safety relief and shut-off devices in accordance with the Uniform Mechanical Code, Chapter 10, February 1997 Edition. (h) When low-pressure boilers are equipped with a float-type automatic water feeder, such water feeder shall be fitted with a valved drain on the float chamber. Float chambers of other control devices shall also be provided with valved drains on the float chambers. (i) All valves, fittings, and controls shall be suitable for the pressures and temperatures expected in service and all such devices used in the fuel system shall be suitable for and compatible with the fuel and fuel pressures used. All electrically operated fuel valves shall be of the normally closed type to open only when energized. Fuel valves of a type that will fail to close due to abnormal fuel pressure shall not be permitted. Automatically operated fuel valves shall not be designed with integral manually operated by-passes unless such by-pass is of the constant pressure type. (j) The electrical circuit for boiler controls shall not exceed 120 volts and shall be 2-wire with 1-conductor grounded and have the controls in the ungrounded conductor. (k) After installation and before being placed in operation, the employer shall require all controls and burners to be checked for proper operation by a responsible person familiar with burner controls. Instruction for the proper method of lighting, relighting, and shutting down the burner, type of fuel or fuels to be used, and the maximum fuel pressure shall be shown on a permanent and legible plate attached to the boiler or boiler casing and an operating manual giving complete boiler operating instructions, shall be furnished by the installer for each installation. The employer shall require operating personnel to become thoroughly familiar with these operating instructions before they are permitted to operate the boiler. These instructions shall include an instruction to the operator that the boiler shall not be placed back in service after having been shut down by the operation of the safety fuel shutoff valve required in 763 (d) (6) until the cause of such shutdown has been determined and corrected and the combustion chamber is properly purged. Note: Authority cited: Section 142.3, Labor Code . Reference: Section 142.3, Labor Code . s 764. Blowoff Valves and Tanks. (a) All boilers subject to these orders shall have blowoff valves and piping installed in accordance with the Code. (b) All blowoff pipes shall terminate at a safe place of discharge and shall be adequately supported to prevent undue stresses on the valves or lines, and shall not be reduced in size between the blowoff valve and point of discharge. Blowoff valves constructed with integrally threaded bonnets shall not be permitted. No blowoff pipe shall discharge directly into a sewer. When the blowoff discharge is to be ultimately led to a sewer, local plumbing codes shall be consulted concerning requirements for discharging products into sewers. When a blowoff tank is used, it shall be designed and constructed in accordance with good engineering practice for the maximum pressure and temperature expected during the blowdown period with a factor of safety of at least 4. All blowoff tanks shall be provided with means for cleaning and inspection. s 765. Means of Feeding Water to Boilers. All power boilers subject to these Orders shall be equipped with at least one means for feeding water to the boiler at the maximum allowable pressure. Boilers having more than 500 square feet of water heating surface shall have at least 2 means of feeding when required by paragraph PG-59(d)(2)(g) of the Code. A water supply system may be considered as a means of feeding water to the boiler where the water pressure in the system is not less than 6 percent above the pressure at which the safety valve is set to open. Feed piping, valves, and appurtenances shall be installed as required by the Code. s 766. Water and Pressure Gages. All power boilers and high-temperature water boilers subject to these Orders shall be equipped with water gages and pressure gages as required by the Code. s 767. Reinstallation of Secondhand Power Boilers. When a power boiler changes both ownership and location, the purchaser shall report the state serial number and the new proposed location to the division. s 768. Access for Inspection and Cleaning. (a) Where it is impracticable to remove the hood of any vertical fire-tube boiler for inspection purposes, an access opening of the following dimensions shall be provided in the hood: (1) For boilers not exceeding thirty-six inches (36 ") diameter, not less than six inches by eight inches (6 " x 8 ") or equivalent area with a minimum dimension of six inches (6 ") in any direction. (2) For boilers over thirty-six inches (36 ") diameter, not less than twelve inches by sixteen inches (12 " x 16 ") or equivalent area with a minimum dimension of eleven inches (11 ") in any direction and a minimum diameter of fifteen inches (15 ") for circular openings. (b) Access for inspection and cleaning shall be provided in all boiler settings. The minimum dimension of access openings shall be 12 inches by 16 inches, unless the size and/or design of the boiler setting is such that inspection and cleaning can be adequately accomplished through smaller openings. (c) When 2 or more steam, high-temperature water, or hot water heating boilers having manhole openings are installed in battery or connected to a common main or header, each boiler having a manhole opening shall be fitted with 2 stop valves between the boiler and the common main or header. An ample free blow drain shall be provided between the stop valves and the discharge from the drain shall be visible to the operator while manipulating the drain valve. s 769. Boiler Installation. (a) Effective for boiler installation and/or relocation building permits issued on or after November 1, 2002, all boiler supporting structures shall be designed for the following loads: (1) The live and dead load of the boiler as prescribed in the 2001 California Building Code. (2) Other imposed loads including those resulting from wind, and seismic forces, as prescribed in the 2001 California Building Code. (b) Each member of a structural support shall be so located or insulated that the heat from the boiler cannot warp or impair its strength. (c) The installation of water-tube boilers in battery settings shall be prohibited unless provisions are made at the time of installation to make possible the periodic inspection of the exterior surfaces of all heads installed in the common wall. (d) The installation of horizontal tubular boilers in battery settings shall be prohibited, unless the boilers are suspended by independent outside suspension structures with top crossbeams sufficiently strong to safely carry all the boilers without intermediate supports. (e) Each boiler shall be installed in such a manner that all external surfaces and all appurtenances can be made accessible for inspection, cleaning, maintenance, and operation. (f) Adequate passageways or work areas at least 24 inches wide shall be provided for safe access to and operation of controls. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. s 770. Boilers Subject to Annual Inspection. (a) All boilers subject to these Orders are subject to annual internal and external inspection, except as provided in subsection (b), and except those boilers exempted from annual inspection in Section 771. (b) Boilers installed in turboelectric plants in such a manner that each boiler furnishes steam to a single turbine only shall be inspected internally at least once each eighteen (18) months. The permit to operate issued following internal inspection shall expire not more than twelve (12) months after the date of inspection. The boiler shall be externally inspected prior to or on the expiration date of the permit by a qualified inspector who may, if conditions warrant, issue a temporary permit which shall expire not more than six (6) months after the date of external inspection. A copy of the external inspection report shall be forwarded to the Division by the qualified inspector. Such report shall show the expiration date of the temporary permit to operate. The Division, upon individual application from petroleum companies, chemical plants, public utilities or other industries considered by the Division as having superior preventive maintenance and examination programs, may grant a maximum interval of thirty-six (36) months between internal inspection of fired boilers. A fired boiler is defined for this section as one whose temperature input can cause metallurgical damage to the boiler, or whose combustion of fuel can cause a furnace explosion. For boilers other than fired boilers, the Division may grant a maximum interval of seventy-two (72) months between internal inspections, provided the temperature input cannot cause metallurgical damage. Boilers of the latter type are typically called process steam generators. Such applications, to be reviewed by the Division, shall contain as a minimum the following information and proposals: (1) The history of the unit (or of a similar installation) that shows that there is no significant deterioration from scaling, corrosion, erosion or overheating. (2) Wall thickness reference points shall be established. Following internal inspection of each boiler, a complete record showing the total corrosion and any other conditions found which need correction at the time of inspection shall be forwarded to the Division as part of the inspection report required by 774(a)(1). This record shall show the location and extent of any corrosion, erosion or other defects noted and shall be verified and signed by the certified inspector making the inspection required by Section 770(a). (3) The "Permit to Operate" shall expire one (1) year from the date of the internal inspection, or the date of startup if so noted on the inspection report and the "Permit to Operate." Prior to or on the expiration date of this "Permit," a certified inspector, who will review the operating logs and water treatment records, shall inspect the boiler externally. If conditions warrant, the certified inspector may issue a temporary permit not to exceed six (6) months. Prior to or on the expiration date of the second permit, the boiler shall again be inspected externally by a certified inspector; if conditions warrant, a "Permit" may be issued for an additional six (6) months. Boilers operating longer than twenty-four (24) months between internal inspections shall have a program of on-stream examination of corrosion points, and inspection of operations and safety controls that is acceptable to the Division, and the certified inspection agency. The maximum interval of each temporary permit shall be six (6) months. If the boiler is located within a local jurisdiction that has regulations concerning boiler inspections, the jurisdiction must also be consulted concerning the acceptability of the inspection program. The certified inspector shall submit reports to the Division of each external inspection, noting the expiration date of the permit issued, and recording any unusual condition found. The inspection report shall include a statement that water treatment records have been reviewed. Reports of on-stream wall thickness readings must also be submitted to the Division via the certified inspector. (4) For boilers and process steam generators where metallurgical damage may occur, the Division may categorize the boiler or process steam generator as unfired upon acceptance of a risk engineering analysis submitted by the owner of the boiler to the Division. The risk engineering analysis shall include the design basis for categorizing the boiler as unfired, the potential consequences to the boiler and to the safety of the person(s) responsible for attending the boiler, and a discussion of protective devices and specific procedures to prevent the consequences. (5) The boiler water treatment and specific chemical limits shall be prescribed by a competent water treatment specialist, such as a chemical engineer. The boiler water chemistry shall be maintained within desirable limits and documentary records shall be kept of the tests and methods used to maintain the water chemistry within the prescribed limits. A summary of weekly test results shall be kept, and the records shall be available to the certified inspector. (6) A copy of the Division letter granting the longer interval between internal inspections shall be posted near the boiler, the boiler control center, or the process unit control room. Note: Authority cited: Sections 142.3 and 7682, Labor Code. Reference: Sections 142.3 and 7682, Labor Code. s 771. Boilers Not Subject to Annual Inspection. (a) The following boilers are not subject to annual inspection and do not require a permit to operate providing they comply with all of the provisions of subsection (b): (1) Low-pressure boilers. (2) Miniature boilers. (3) High-temperature water boilers. (4) Boilers, including forced circulation boilers, in which none of the following are exceeded: (A) One hundred square feet (100 sq. ft.) of heating surface. (B) Steam drum does not exceed 16 inches inside diameter. (C) Maximum allowable working pressure does not exceed 100 psi. (D) Water capacity does not exceed 35 gallons when filled to normal operating level. (E) The BTU input to the burners does not exceed 400,000 BTU/hr. (b) Boilers exempt from annual inspection in subsection (a) shall comply with all of the following: (1) All other provisions of these Orders including construction and installation. (2) Automatically controlled fired boilers shall be fitted with all the applicable controls required for low-pressure boilers in 763(d). (3) All automatic controls shall be maintained in operating condition. (c) Nothing in sections (a) and (b) above shall prohibit any qualified safety engineer employed by the Division from requiring any boiler to be prepared for inspection when in his opinion such inspection is necessary to determine the safety of the boiler. s 772. Preparation of Boilers for Inspection. (a) The owner or user of a boiler or boilers herein required to be inspected shall, after 14 days' notice from the division, prepare the boiler for internal inspection. If the owner or user finds the date set for inspection not to his convenience, he shall immediately advise the division, or qualified inspector, and ask for a postponement and state the reasons therefor, in which case the inspection date may be postponed for a period not to exceed thirty (30) days from the date first set for inspection. (b) To prepare a boiler for internal inspection the water shall be drawn off and the boiler thoroughly washed. Manhole and handhold covers and washout plugs in the boiler feed lines and water column connections necessary for adequate inspection shall be removed and the furnace and combustion chamber thoroughly cooled and cleaned. Enough of the brickwork, refractory, or insulating material shall be removed to permit the qualified inspector to determine the condition of the boiler, furnace, or other parts and to enable the qualified inspector to obtain such data as is required at each annual inspection. The steam gage shall be removed for testing. At the discretion of the Division, data obtained by nondestructive examination may be used in lieu of visual inspection. (c) The owner or user shall prepare the boiler for hydrostatic test when required by the qualified inspector. If the boiler to be hydrostatically tested is connected with other boilers that are under steam pressure, such connections shall be blanked off unless provided with double stop valves with a free blow drain between the valves. (d) Before a resale inspection or other inspection of a secondhand boiler is made, the interior of the shell or drum may be required to be descaled and cleaned, such tubes shall be removed as the qualified inspector deems necessary to enable him to ascertain their condition, the lagging and brickwork shall be removed, and the exterior of the shell or drum shall be cleaned. No paint shall be applied before the inspection is made. s 773. Identification of Boilers. (a) Qualified inspectors making the first field inspection of boilers required by these Orders to have a permit to operate, shall stamp on the boiler a state serial number (unless a state serial number has previously been stamped thereon) which shall become a permanent means of identification. This assigned number shall be made either by steel die figures not less than 5/16-inch in height, or outlined by means of center punch dots, with figures not less than 3/4-inch in height, and shall be stamped adjacent to the manufacturer's code stamping. (b) No state serial number or code stamping shall be permanently covered by insulating material, unless such number and stamping is transferred to a fixed plate where readily visible outside of all insulating material. s 774. Boilers Exempt from Inspection by Qualified Safety Engineers Employed by the Division. (a) Boilers annually inspected internally and externally by qualified inspectors employed by a company, city or county, may be exempt from annual inspections by qualified safety engineers employed by the division providing: (1) Reports of inspection are submitted on prescribed forms to the Division within 21 days after the date of inspection. (2) The boiler and all of its appurtenances complies with these orders as a minimum standard of safety. (3) The report of inspection lists all repairs or changes ordered and the qualified inspector notifies the division when such repairs or changes have been satisfactorily completed. (4) The permit to operate is posted on or near the boiler to which it applies. (b) Nothing in this order shall prevent a qualified safety engineer employed by the division from inspecting any boiler. However, no fee shall be charged by the division where the annual inspection has been made and the report of inspection submitted to the division by a qualified inspector within the 21 days specified above and the permit to operate is posted on or near the boiler. (c) Qualified inspectors employed by insurance companies shall notify the Division within 21 days of the name of the owner or user, as shown on the permit to operate, and the location and state serial number of every boiler requiring a permit to operate on which insurance has been refused, canceled, or discontinued, and shall give the reasons why. (d) Qualified inspectors employed by other than insurance companies shall notify the Division within 21 days of the name of the owner or user and the location and state serial number of every boiler requiring a permit to operate and inspected by them which is removed from service or which is considered unsafe for further service as a boiler and shall give the reasons why. s 775. Operation of Unsafe Boilers. (a) If the operation of any boiler, including those exempt from annual inspection, constitutes a serious menace to the life or safety of any person employed about it, the division or any of its safety engineers, or any person affected thereby, may apply to the superior court of the county in which the boiler is situated for an injunction restraining its operation until the condition has been corrected. (b) Whenever the condition of a boiler is such as to make it unfit for any pressure, a qualified safety engineer, employed by the division, may affix a rejection mark (o x) consisting of an "X" at least one inch (1 ") high with a circle at least one-half inch (1/2 ") diameter located between the upper arms of the "X." The rejection mark shall be outlined in center punch marks and located immediately above the state serial number. s 776. Special Inspection of Lap Seam Boilers. (a) Horizontal return tubular boilers over thirty-six-inch (36 ") diameter with longitudinal lap-riveted seams shall not be operated at a pressure in excess of fifty pounds (50 lbs.) per square inch unless all of the following are done every five (5) years of operation: (1) Sufficient tubes are removed to permit the internal surfaces of the shell to be completely cleaned of scale. (2) Sufficient brickwork is removed to permit the external surfaces of the longitudinal seam to be cleaned. (3) Before the tubes and brickwork are replaced the boiler shall be thoroughly inspected internally and externally by a qualified inspector. The tubes shall then be replaced and the boiler shall be subject to a hydrostatic test of one and one-half (1 1/2) times the working pressure. This pressure shall be maintained for at least thirty (30) minutes after which a qualified inspector shall examine all riveted joints for leakage and/or cracks. The term five (5) years used in this section shall mean five (5) years under steam, but in no case shall the time of service be taken as less than six (6) months per calendar year; a hydrostatic test of one and one-half (1 1/2) times the allowed pressure on the boiler shall be made in the presence of a qualified inspector at least every five (5) calendar years. Each boiler shall be subject to any additional requirements found necessary by the qualified inspector. (b) Secondhand lap seam horizontal return tubular boilers exceeding thirty-six inches (36 ") diameter shall not be permitted a maximum allowable working pressure in excess of fifty (50) psi. (c) The shell or drum of a boiler in which a typical lap seam crack is discovered along a longitudinal riveted seam for either butt-strap or lap-riveted construction shall be permanently discontinued for use under pressure. By lap seam crack is meant the typical crack frequently found in lap seams extending parallel to the longitudinal joint and located either between or adjacent to rivet holes. s 777. Boiler and Fired Pressure Vessel Inspection Fees. See the Division of Industrial Safety's regulations contained in Chapter 3.2, Group 2, Title 8, California Administrative Code. The shop inspection fees, permit fees, and inspection fees for boilers and fired pressure vessels are reprinted in Appendix 2 of these orders. Note: Authority cited: Section 142.3, Labor Code. s 778. Field Inspection Fees. s 779. Certification of Inspectors. (a) Upon the written request of his employer, a certificate of competency may be issued to a person who is employed as provided in subsection (c) following and who obtains a passing grade in the examination prescribed by the division. The prescribed examination may be that of the National Board and shall determine the fitness and competency of any candidate for this certificate. An average of at least seventy percent (70%) shall be required for a passing grade. (b) An applicant for a certificate of competency shall be at least three (3) years experience in boiler or unfired pressure vessel construction or repair or as an operating engineer in charge of high-pressure boilers or as inspector of steam boilers or unfired pressure vessels. (1) bachelor of science degree in engineering from an accredited school plus one year experience in design, construction, operation or inspection of high pressure boilers and pressure vessels. (2) An associate degree in mechanical technology plus two years experience in design, construction, operation or inspection of high pressure boiler and pressure vessels. (3) A high school education or the equivalent plus three years experience: (A) in high pressure boiler and high pressure vessel construction or repair, or (B) in charge of high pressure boiler and pressure vessel operations, or (C) in the inspection of high pressure boilers and pressure vessels. (c) A certificate of competency may be issued only to a person employed as an inspector of steam boilers or pressure vessels by any county, city, insurance company, or by the division, or to an inspector continuously employed by a corporation or company to inspect only boilers and pressure vessels to be used by such company and not for resale. The certificate of competency shall be automatically revoked after a period of eighteen (18) months if the inspector does not make any boiler or pressure vessel inspections as evidenced by reports submitted to the division; provided, however, that this provision does not apply to supervising engineers whose regular duties include the supervision and review of the work of qualified inspectors. A written examination is required to revalidate such certificate. The employer shall notify the division when the employment of a certified inspector is terminated. (d) Any applicant, who has previously obtained and continues to hold a commission as a boiler inspector issued by the National Board of Boiler and Pressure Vessel Inspectors, may be exempted from the written portion of the prescribed examination provided such applicant appears for an interview to determine his physical fitness and to prove his knowledge of the applicable Safety Orders of the Division. He shall have been actively engaged as a boiler inspector within eighteen (18) months prior to his application for the California certificate of competency. (e) As near as practicable, the examination for certificate of competency shall be conducted on the first Wednesday in March, June, September, and December of each year. (f) The Division reserves the right to decline to examine any candidate who has not had at least ninety (90) days' practical field boiler inspection experience under the supervision of a qualified inspector. (g) Upon good cause being shown therefor, and after notice and an opportunity to be heard, the Division may revoke any certificate of competency. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. s 780. Permit to Operate. (a) Except during the time that a request for a permit remains unacted upon, no boiler subject to annual inspection by these orders shall be placed in operation until a permit to operate has been issued and posted on or near the boiler. (b) Upon the form supplied by the division, a permit to operate shall be issued by the qualified inspector making the inspection. The permit to operate shall indicate the date of inspection, state serial number of the boiler, the pressure allowed at the time of the internal inspection, the name of the inspector, and the name of the inspection agency. No permit shall be issued until the boiler is in compliance with these Safety Orders and satisfactory notice of compliance has been transmitted to the division. Exception: The division may issue and renew temporary permits not to exceed thirty (30) days each, to permit replacements or repairs to be made. (c) Each permit shall be posted under glass in a conspicuous place on or near the boiler. The permit shall be available to any safety engineer employed by the division. The permit to operate shall expire when a boiler changes both ownership and location. s 781. Attendance on Boilers. (a) All boilers subject to these orders shall be under the direct supervision of a responsible person. Such person shall be responsible for: (1) Safe operation of the boiler by a competent attendant. (2) Proper maintenance of the boiler and its appurtenances. (b) While in operation, no fired boiler subject to these orders [except those boilers exempted from annual inspection by Order 771 that are automatically controlled and oil field recovery heaters complying with subsection (d)] shall be left unattended for a period of time longer than it will take the water level to drop from the normal operating level to the lowest permissible water level in the water gage glass -or indicated by indicating devices or recorders -when the feedwater is shut off and the boilers are forced to their maximum capacity unless all of the following are complied with: (1) The boiler is equipped with an audible alarm that will operate when the water reaches the highest and lowest permissible operating level, or, for boilers having no fixed steam or water line, when the highest permissible operating temperature is reached. (2) The audible alarm shall be sufficiently loud that it can be plainly heard by the attendant, without the use of an auxiliary paging system, at any point in any area that the attendant is required to work. He must be close enough to the boiler room so that he can safely respond to the alarm. The response time is that period of time that it takes the water level to go from the level at which the low level alarm sounds down to the lowest permissible water level of the boiler. The high water level alarm must be set so that the attendant will have time to respond before there will be carryover from the boiler. (3) The boiler is equipped with a low water safety device that will shut off the fuel to the burner or burners when the water reaches the lowest permissible operating level, or, for boilers having no fixed steam or water line, when the highest permissible operating temperature is reached. This device shall require manual resetting unless the pilot is equipped with a full safety pilot control. (4) The attendant shall personally check the operation of the boiler, the necessary auxiliaries and the water level in the boiler at such intervals as are necessary to insure the safe operation of the boiler; provided, however, that the maximum interval the boiler and its auxiliaries can be left without checking shall not exceed 60 minutes. The operation of the automatic controls shall be checked at the beginning of each shift. It is the intent of this Section to prohibit the use of time clocks to control the operation of fired boilers covered under this subsection 781(b). (5) All float chambers of automatic controls shall be dismantled for inspection at the annual boiler inspection. (c) The competent attendant shall be a person who is familiar with the boiler and who has been properly instructed in its safe operation. The recommended minimum standards to be used by the employer to determine the competency of an attendant are: (1) He shall be able to explain the function and operation of all controls on the boiler or boilers. (2) He shall be able to light off the boiler or boilers in a safe manner. (3) He shall know all possible methods of feeding water to the boiler or boilers. (4) He shall know how to blow down the boiler or boilers in a safe manner. (5) He shall know what would happen if the water was permitted to drop below the lowest permissible operating level. (6) He shall know what would happen if the water in the boiler was carried too high. (7) He shall know how to shut down the boiler or boilers. (d) An oil field recovery heater designed for automatic operation shall be checked by a competent attendant at least once every 24 hours while in operation to determine that the heater is operating safely within the set operating conditions and provided that each of the following are complied with: (1) The heater is equipped with automatic safety shutdown devices for each of the following conditions: (A) Excessive tube skin or steam temperature (B) Excessive steam pressure (C) Flame failure (D) Inadequate combustion air (2) Within intervals not to exceed every 60 days of operation of the heater, the following inspection checks shall be performed by a person familiar with the equipment and who has been properly instructed in making such checks: (A) Each safety shutdown device shall be tested for proper operation. (B) All external piping and wiring shall be visually checked for obvious defects. (C) All indicating gages shall be checked for proper calibration. Equipment defects found in (A), (B), or (C) above shall be corrected before continuing the boiler in service. (3) At the time of the annual inspection of the heater and its accessory equipment, all automatic operating controls and automatic safety shutdown devices which are not failsafe shall be serviced as necessary to assure their continued reliability to include: (A) Replace vacuum tubes and check sensing devices in the flame-failure system and replace if not operating properly. (B) Test all coils, diaphragms, and other operating parts of all safety shutdown and operating control valves. Such servicing shall be done by a person familiar with such controls and devices and who has been properly instructed in their servicing. (4) A record shall be kept of the inspection and maintenance operations required by (2) and (3) above and this record shall be available to the certified inspector at the time of the annual inspection. Note: Authority cited: Sections 6312, 6500 and 6502, Labor Code. s 782. Safe Practices. (a) The following Safety Orders from Title 8, California Administrative Code are hereby made a part of these orders: (1) General Industry Safety Order 3228(i): Number of Exits, Boilers Furnace and Incinerator Rooms. See Appendix 1. (2) General Industry Safety Order 3274: Valves and Controls. See Appendix 1. (3) General Industry Safety Order 3311: Flarebacks. See Appendix 1. (4) General Industry Safety Order 3312: Entering Combustion Chambers, Flues, Boilers or Unfired Steam Pressure Vessels. See Appendix 1. (5) General Industry Safety Order 3310: discharge Location. See Appendix 1. (6) General Industry Safety Order 3514: Tubular Gage Guard. See Appendix 1. (7) General Industry Safety order 3515: Try Cock Discharge Resceptable. See Appendix 1. (8) General Industry Safety Order 3516: Steam Gage and Water Gage Glass Location. See Appendix 1. (b) All fired boilers, not included in Sections 763 and 771, equipped with controls to permit the burners to be ignited automatically shall be equipped with a full safety pilot or other device that will provide equivalent safety. Such safety pilot or other device shall be of a type that will de -energize the electrical circuit and/or cause the main burner fuel valve to close within the following burner input and time limits. 400,000 BTU/HR and under.......... 90 seconds 400,001 to 2,500,000 BTU/HR....... 9 seconds Over 2,500,000 BTU/HR............. 5 seconds (c) All dampers used in smokestacks of boilers which use natural draft shall have suitable openings to vent the furnace. (d) When portable electric lights are used inside any boiler or pressure vessel they shall be equipped with a vaportight globe, substantial guard, rugged nonconducting lamp holder and handle, and shall have type S cord or equivalent sufficiently long to reach to a plug-in or junction box outside the vessel. s 783. Renewals and Replacements. All renewals or replacement boiler drums, shells, headers, tubes or appurtenances shall comply with the requirements of the code for new construction. s 784. Approval and Reporting of Repair. (a) No repairs to drums, shells, stayed or unstayed surface of a boiler shall be made until the contemplated repairs have been approved by a qualified inspector. (This order shall not prohibit the replacement of tubes, staybolts and/or appurtenances without inspection where replacement is necessitated by normal usage and wear.) (b) No repairs shall be made to any boiler which has moved from its setting or foundation due to the failure of the boiler or any part thereof until approved by the division. (c) All repairs by fusion welding or riveting to a damaged boiler or boiler support, where the safety of the boiler is concerned, shall immediately be reported to the division by the qualified inspector who authorized the repair. Complete details with sketches of all repairs, including the identification number of the welder, if welding is used, shall be submitted to the division by the qualified inspector. s 785. Permissible Welded Patches and Welded Repair of Cracked Plates in Material of Known Weldable Quality. The following welded repairs are permissible: (a) Cracks in unstayed shells, drums, or headers of boilers or fired pressure vessels may be repaired by welding provided: (1) The cracks do not extend between rivet holes in a riveted longitudinal seam. (2) The crack is not located within six inches (6 ") of the calking edge of any longitudinal riveted seam. (3) The total length of any one crack shall not exceed sixteen (16) times the plate thickness or eight inches (8 ") unless the completed repair is radiographed and stress-relieved. (b) Cracks or patches in stayed surfaces may be welded provided: (1) The crack or patch seam is located between two (2) rows of staybolts. (2) The crack or patch seam if located in a flange or knuckle runs in a direction transverse to the flange or knuckle. (3) The patch is set flush with adjacent plate and the welds are located between two (2) rows of staybolts. (c) Cracks between tube holes in water-tube boiler drums or heads may be welded, provided there are not more than two (2) such cracks in any one row in any direction, nor more than a total of four (4) such cracks in any one drum or header and providing the diameter of the drum is not more than one percent (1%) out of round. (d) Fire cracks extending from rivet hole to rivet hole in girth seams may be welded, provided there are not more than three (3) consecutive cracked ligaments nor more than a total of six (6) cracked ligaments in any one girth seam. (e) Cracks between tube holes in fire-tube boilers not exceeding three (3) consecutive cracked ligaments may be welded. (f) Cracks not to exceed two inches (2 ") in length in wrought or cast steel (not cast iron) sectional headers of water-tube boilers may be welded except that not more than four (4) such cracks in any one header may be welded. (g) Circumferential cracks in the knuckle or turn of a flange of a furnace or flue opening or adjacent to manhole opening of unstayed heads shall not be repaired by welding. When such cracks occur in an ogee flange, the affected material including the flange shall be removed and replaced by a flush patch of similar shape. The abutting edges shall be welded and the flange shall be riveted to the shell. Scotch marine and similar boilers shall have one (1) flange riveted to the shell or furnace and the other flange shall be attached by rivets or patch bolts. (h) All welded patches installed in unstayed drums, shells or heads and exceeding the size of an unreinforced opening in paragraph PG-32 of the Code shall be flush-welded patches and shall be radiographed and post weld heat treated. The corner radius of such patches shall be rounded to a radius of at least twice the plate thickness. A joint efficiency of 90 percent (or more if allowed by the Code to which the boiler was built) shall be used in calculating the maximum allowable working pressure of such patches. (i) Lap welded patches may be used to close openings in unstayed shells, drums, or heads providing: (1) The maximum dimension of the opening does not exceed the size of an unreinforced opening in paragraph PG-32 of the Code. (2) Two or more of such openings are not so located that they form a ligament in the longitudinal direction of the shell or drum. (3) The patch plate is installed on the pressure side of the plate and has a lap of at least one inch (1 "). (4) The patch plate is not exposed to the products of combustion. (j) Any portion of the tube sheet of a horizontal tubular boiler may be repaired by a flush welded patch providing: (1) No welded repair shall be permitted in the knuckle in a circumferential direction. (2) The patch shall be held in place by stays, tubes, or both. (3) Where the patch extends to the outer row of tubes, it shall include the flanged portion of the head and be secured to the shell in the same manner as the original construction. (k) The top tube sheet of a vertical tubular boiler may be replaced by a flush welded patch, provided the welded seam is not located nearer than one inch (1 ") to the knuckle or curved part of the original head. The bottom tube sheet of a vertical tubular boiler shall not be so repaired. ( l) Pipe connections up to three-inch (3 ") pipe size may be installed by welding without stress-relieving, provided the coupling used has a flange on the pressure side of the sheet and the welding is for tightness only. This type of repair shall not be used for blowoff connections or openings exposed to the products of combustion. (m) Post weld heat treatment of a repaired part by heating, when necessary, shall be done in accordance with paragraph PW-39 of the Code. Care should be exercised in applying heat in the vicinity of riveted joints to avoid loosening of rivets. Peening may be used in lieu of post weld heat treatment at the discretion of the Division. (n) Radiography of welded repairs, when required, shall be done in accordance with paragraph PW-51 of the Code. (o) The thickness of any patch shall be equal to but not more than one-eighth inch (1/8 ") thicker than the plate being patched. (p) All flush welded patches in unstayed surfaces shall be butt-doubled-welded or equivalent. Patch material shall conform to the requirements of Order 794(g) and (h). s 786. Preparation for Welding. (a) All cracks permitted to be repaired by welding shall be chipped or ground to form a clean welding groove with an included angle of not less than sixty degrees (60) and extending to a depth equal to at least the plate thickness less one-sixteenth inch (1/16 "). The welding groove shall be extended until the crack has been removed for its entire length. Whenever possible the root of the weld shall be chipped out to clean metal and welded. (b) Prior to repairing cracks by welding, all tubes, rivets, and threaded staybolts within 6 inches of the crack shall be removed. After welding is completed, such tube, rivet and/or staybolt holes shall be reamed before installing new tubes, rivets, or staybolts. For threaded staybolts the holes shall be tapped and new threaded staybolts installed. If a crack originates or terminates at a welded staybolt, the staybolt shall be removed prior to repairing the crack. After welding is completed, the hole shall be properly prepared for installation of the new staybolt in accordance with paragraph PW-19 of the Code. s 788. Repair of Corroded Surfaces. The following corroded surfaces may be built up by fusion welding: (a) Corroded surfaces in stayed sheets including tube sheets of fire-tube boilers, provided the remaining thickness is at least fifty percent (50%) of the original thickness and further provided the affected areas are not sufficiently extensive to seriously impair the safety of the object; the qualified inspector shall decide when such areas shall be repaired by other means. (b) Corroded surfaces in plate around handholes or manholes in unstayed sheets within three inches (6 ") of the opening, provided the remaining thickness is not less than fifty percent (50%) of the original thickness. (c) Calking edges of girth seams, provided the metal remaining between the rivet and calking edge to be built up is at least fifty percent (50%) of the original thickness and also provided the length of calking edge to be built up does not exceed a length equal to the diameter of the boiler. Before any welding is done, all rivets in the affected area and six inches (6 ") beyond each portion to be built up shall be removed. After the welded repair has been completed the rivet holes shall be reamed and new rivets driven. (d) The building up or repair by welding of rivet heads, staybolts, braces, or attachments to braces, or grooved areas is not permitted. (e) Scattered pits and corrosion in unstayed shells may be built up by welding, provided the largest dimension of such corroded area does not exceed the diameter of an unreinforced opening in paragraph PG-32 of the Code and providing such areas are not so located that they form a ligament in the longitudinal direction. s 789. Permissible Repair by Seal Welding. (a) The ends of all tubes, suspension tubes, and nipples of water-tube boilers and superheaters may be seal-welded in accordance with the provisions of paragraph PWT-11 of the Code. (b) Seal-welding of circumferential joints is permissible, provided the seam is calked first and made tight under hydrostatic pressure equal to the working pressure. (c) The ends of fire tubes may be seal-welded provided the thickness of the tube is at least seventy-five percent (75%) of its original thickness, and the tubes are first rolled and beaded and found tight under hydrostatic pressure at least equal to the working pressure. The throat of the weld shall not exceed three-sixteenths inch (3/16 "). s 790. Permissible Tube Repair. (a) All the tubes in a firetube boiler may be retipped, provided the tube wall thickness of the original tube is not less than ninety percent (90%) of the original thickness and the retipped ends are from new material. The new end shall be located in the tube sheet subject to the greatest heat. The circumferential welds in such tubes shall not exceed four (4) in number. (b) Complete replacement of sections of tubes or pipe in water-tube boilers is permitted, providing the remaining tube is not less than the thickness required for the designed working pressure and the requirements of paragraph PW-41 of the Code are complied with. (c) Bulges in tubes of water-tube boilers may be repaired when: (1) The maximum dimension of the repaired area does not exceed the diameter of the tube or two inches (2 ") whichever is the least. (2) There are not more than three (3) such repairs in any one (1) tube. (3) The tube wall adjacent to the bulge is not less than the thickness required for the designed working pressure. (4) The requirements of paragraph PW-41 of the Code are complied with. s 793. Qualification of Welding Procedures and Operators. No welded repair shall be made to any boiler or boiler appurtenance until the welding procedure and operator have been qualified in accordance with Section IX of the code in the overhead and horizontal positions. The certificate of competency number of the qualified inspector authorizing the repair shall be stamped adjacent to all welded repairs made to power boilers. On welded repairs that are completely radiographed the operator qualification may be eliminated at the discretion of the division provided the welding procedure is properly qualified inspector indicates on his report the welding procedure used and the operator employed in making the repair. s 794. Riveted Patches. (a) Riveted patch seams exposed to the products of combustion may be double-riveted or constructed similar to the original seams of the boiler. (b) Patches exceeding twenty-four inches (24 ") in length shall have the proper width as determined by these orders. Patches exceeding fifteen inches (15 ") to and including twenty-four inches (24 ") in length shall be triangular, crescent, diamond, or oval in shape and width, W, in the circumferential direction, shall be at least twice the length, L, in the longitudinal direction. Patches fifteen inches (15 ") or less in longitudinal direction may be circular in shape. (c) If it is found that a patch will extend extremely high, and also to avoid calking in sharp corners, it may be shortened in width to the extent that not more than four (4) rivets will be in a longitudinal line, as shown in Figure 2. (d) If it is found that a patch will have to be sixty inches (60 ") or more in length, consideration should be given to the use of a sheet having a width equivalent to five-eighths (5/8) of the circumference of the boiler, and the longitudinal seam shall be of a design similar to the design of the original seam of the boiler. (e) In laying out new patches over twenty-four inches (24 ") long, it is recommended that they be triangular or diamond in shape as may be required for the particular job; with definite straight-line sides but with corners properly rounded to permit adequate caulking, as illustrated in Figures 1, 2, 3, and 4. The length designated as "L" and the width designated as "W" are also shown in Figures 1, 2, 3, and 4. (f) Rivets shall be used in "riveted" patch seams unless their use is difficult or impossible, in which case, patch bolts may be used. Rivet holes may be countersunk in patches on shells that have the heads supported by tubes or braces, providing the angle of the chamfer with the center line of the rivet hole does not exceed forty-five degrees (45 degrees), and the depth does not exceed half the thickness of the plate. (g) Patch material shall be of fire box or flange steel depending upon the plate it replaces. Tank steel shall not be used. The repair shop shall be required to produce a copy of the manufacturer's mill test report for the material to be used. (h) The patch plate material shall contain the steelmaker's brand. If only a part of a plate is required and this part does not contain the brand, the brand shall be transferred to the patch plate in the presence of a qualified inspector or a representative of the plate manufacturer before the plate is cut. Replacement rivets, patch bolts, and staybolts shall be of material approved for new construction by the code. (i) All patch plates except patch plates containing blowoff connections shall be placed inside of the boiler shell or drum if exposed to the products of combustion and if installed where there is a possibility that scale deposits may be pocketed. Patch plates containing blowoff connections shall be placed on the outside of the boiler shell. s 795. Installation of Riveted Patches. (a) The following procedure shall be followed when installing riveted patches: (1) Distorted sheets which require patching shall first be set back straight as nearly as possible before proceeding with the cutting out of the plate so that the patch may be kept as small as possible. (2) All defective or deteriorated material shall be removed and properly trimmed to provide for caulking and neat workmanship in attaching the patch. (3) The edges of a patch shall be beveled for calking by planing, chipping, or gas cutting before applying it to the boiler. Rivets should be driven by gun, if at all possible. (4) All rivet holes shall be drilled full size or the holes may be punched not to exceed one-fourth inch (1/4 ") less than full size for plates over five-sixteenths inch (5/16 "), and one-eighth inch (1/8 ") less than full size for plates five-sixteenths inch (5/16 ") or less in thickness, and then reamed to full size with patch in place. Rivet holes shall be not more than one-sixteenth inch (1/16 ") greater in diameter than the nominal diameter of the rivet. (5) Seal welding of the patch plate is permissible if a single bead is used with a throat thickness not more than three-sixteenths inch (3/16 "). The patch shall be tight under a hydrostatic test pressure equal to the operating pressure before seal welding. Rivets and patch bolts shall not be seal welded. (6) When three (3) plates are lapped at the corners of a patch, the middle plate shall be scarfed carefully to a feather edge the entire width of the lap as shown in Figure 1. (7) Upon the completion of repairs, a hydrostatic test of one hundred fifty percent (150%) of the maximum allowable operating pressure shall be applied. All seams shall be tight at this pressure. s 796. Riveted Patch Seam Calculations. (a) Riveted patch seams are calculated as follows: (1) Determine the length, L, of the patch from the area of the defect to be repaired (Figures 1, 2, 3, and 4). The normal efficiency, e, of the single-riveted seam that is to be used in the patch should then be determined from Table 1. This is governed by the thickness of plate and diameter of rivet holes. Table 1 EFFICIENCIES OF SINGLE -RIVETED SEAMS Plate ............ Rivet Hole ......... Pitch of ........... Efficiency of Thickness, t ..... Diameter, d ........ Rivet, p ........... Seam, e 1/4 .............. 11/16 .............. 1 7/8 .............. 63.6 9/32 ............. 3/4 ................ 1 7/8 .............. 60.3 5/16 ............. 3/4 ................ 1 7/8 .............. 60.0 11/32 ............ 13/16 .............. 1 15/16 ............ 58.0 3/8 .............. 13/16 .............. 1 15/16 ............ 57.0 13/32 ............ 7/8 ................ 2 1/16 ............. 57.5 7/16 ............. 15/16 .............. 2 1/4 .............. 56.0 15/32 ............ 15/16 .............. 2 1/8 .............. 55.5 1/2 .............. 1 .................. 2 1/4 .............. 55.7 9/16 ............. 1 1/16 ............. 2 3/8 .............. 53.0 19/32 ............ 1 1/16 ............. 2 1/4 .............. 52.8 5/8 .............. 1 1/16 ............. 2 1/4 .............. 50.5 21/32 ............ 1 1/8 .............. 2 5/16 ............. 51.4 11/16 ............ 1 1/8 .............. 2 5/16 ............. 51.4 Tensile strength assumed at 55,000 psi and shearing strength at 44,000 psi. After determining the length, L, of a patch, determine its width girthwise, W. This is found by multiplying the length by the constant, C, as shown in Table 2 or 3, depending upon the type of boiler to be repaired. These tables give a constant, C, for a given efficiency, e, of patch and efficiency, E, of the longitudinal seam. (2) To determine the longitudinal efficiency of an existing patch, the length, L, and width, W, the pitch, P, and the diameter, d, of rivet, should be measured. "W" divided by "L" will give the constant, C. Table 1 will give "e." Then under "e" in Table 2 or 3, depending upon the type of boiler to be repaired, find the constant, C. Whatever "E" is in the first column is the longitudinal or allowed efficiency of the patch seam. s 797. Example of the Application and Explanation of Patch Tables and Charts. (a) A patch is to be placed in the fire sheet of a horizontal return tubular boiler having a shell plate seven-sixteenths-inch (7/16 ") thick, a longitudinal seam efficiency of seventy-four percent (74%), and a length of patch of thirty-six inches (36 "). Find the width, W, of patch to be applied so that there will be no reduction in pressure, using a single-riveted seam of normal design. Referring to Table 1, it is found that seven-sixteenths-inch (7/16 ") plate with fifteen-sixteenths-inch (15/16 ") diameter rivet holes, pitched two and one-fourth (2 1/4) gives a seam efficiency of fifty-six percent (56%). Referring to Table 2, E = 0.74 and e = 0.56 gives a constant C = 1.75; then width W = L x C = 36 x 1.75 = sixty-three inches (63 "). (b) Pressure Allowed on an Existing Patch. A crescent-shaped patch has already been installed on a horizontal-tubular boiler. It is thirty inches (30 ") long and forty-eight inches (48 ") wide. The seam is single riveted with thirteen-sixteenths-inch (13/16 ") rivet holes pitched one and fifteen-sixteenths inches (1 15/16 "). The boiler shell plate is three-eighths-inch (3/8 ") thick. The longitudinal seam is of the double-riveted butt-strap type having an efficiency of eighty-two percent (82%). The safety valve is set for one hundred twenty-five pounds (125#) pressure. What maximum pressure should be allowed on the boiler? Reference to Table 1, shows that the normal efficiency of the patch seam is fifty-seven percent (57%). (If the efficiency is not found in the Table, refer to any other available table or determine it in the manner described in paragraphs A-1, A-2 and A-3 of the Appendix of the A.S.M.E. Boiler Code.) Divide the width of the patch, W = forty-eight inches (48 ") by the length, L = thirty inches (30 ") to find the constant, C = 48/30 = 1.60. Follow down column 0.57 of Table 2 until 1.60 is found. It will be noted that this is somewhere between 1.56 and 1.62 representing E somewhere between 0.72 and 0.73. As the difference between 1.56 and 1.62 is 6, and the difference between 1.56 and 1.60 is 4, E will be 0.72 plus 4/6 of 0.01 which is 0.7266. The maximum allowable working pressure varies directly as the seam efficiency. Accordingly, P = (0.7266/0.82) x 125 = 110#. If this pressure allowance interferes with the operation of the plant, the patch shall be replaced by a new one with the proper dimensions giving a diagonal efficiency of eighty-two percent (82%). (c) Design of Patch for Water-tube Boiler. Reference to Table 1 shows that a single-riveted lap seam with seven-sixteenths-inch (7/16 ") plate, fifteen-sixteenths-inch (15/16 ") diameter rivet holes, and two-and-one-half-inch (2 1/2 ") pitch has a normal efficiency of fifty-six percent (56%). Reference to Table 3, shows E = 0.82 and e = 0.56, the constant C is 3.16. Then width W = C x 1 / 2. W = 3.16 x 36 / 2 = 56.88 or practically fifty-seven inches (57 "). [Note: The following TABLE/FORM is too wide to be displayed on one screen. You must print it for a meaningful review of its contents. The table has been divided into multiple pieces with each piece containing information to help you assemble a printout of the table. The information for each piece includes: (1) a three line message preceding the tabular data showing by line # and character # the position of the upper left-hand corner of the piece and the position of the piece within the entire table; and (2) a numeric scale following the tabular data displaying the character positions.] ******************************************************************************* ******** This is piece 1. -- It begins at character 1 of table line 1. ******** ******************************************************************************* CONSTANT 'C' TRIANGLE OR CRESCENT SHAPE PATCHES TABLE F-1 HEADS SUPPORTED DIAMOND OR OVAL SHAPEPATCHES '6' EFFICIENCY OF PATCH SEAMS .50 .. .51 .. .52 .. .53 .. .54 .. .55 .. .56 .. .57 .. .58 .. .59 .. .65 . 1.68 . 1.60 . 1.51 . 1.43 . 1.26 . 1.36 . 1.20 . 1.13 . ____ . ____ . .66 . 1.75 . 1.67 . 1.58 . 1.50 . 1.42 . 1.35 . 1.27 . 1.19 . ____ . ____ . .67 . 1.82 . 1.73 . 1.65 . 1.57 . 1.49 . 1.41 . 1.33 . 1.26 . 1.18 . ____ . .68 . 1.88 . 1.79 . 1.70 . 1.63 . 1.55 . 1.47 . 1.40 . 1.32 . 1.24 . 1.16 . .69 . 1.94 . 1.86 . 1.77 . 1.69 . 1.61 . 1.53 . 1.43 . 1.38 . 1.30 . 1.23 . .70 . 2.01 . 1.91 . 1.83 . 1.75 . 1.67 . 1.59 . 1.52 . 1.44 . 1.36 . 1.30 . .71 . 2.06 . 1.97 . 1.89 . 1.81 . 1.73 . 1.65 . 1.57 . 1.50 . 1.43 . 1.35 . .72 . 2.12 . 2.03 . 1.95 . 1.86 . 1.79 . 1.71 . 1.63 . 1.56 . 1.48 . 1.41 . .73 . 2.17 . 2.09 . 2.00 . 1.93 . 1.85 . 1.77 . 1.69 . 1.62 . 1.54 . 1.47 . .74 . 2.22 . 2.14 . 2.06 . 1.98 . 1.91 . 1.83 . 1.75 . 1.67 . 1.60 . 1.52 . .75 . 2.28 . 2.20 . 2.12 . 2.04 . 1.96 . 1.89 . 1.81 . 1.73 . 1.66 . 1.58 . .76 . 2.34 . 2.25 . 2.17 . 2.09 . 2.02 . 1.93 . 1.86 . 1.79 . 1.71 . 1.64 . .77 . 2.39 . 2.31 . 2.22 . 2.15 . 2.07 . 2.00 . 1.92 . 1.84 . 1.76 . 1.69 . .78 . 2.44 . 2.36 . 2.28 . 2.20 . 2.13 . 2.05 . 1.97 . 1.89 . 1.82 . 1.75 . .79 . 2.50 . 2.42 . 2.33 . 2.25 . 2.18 . 2.10 . 2.03 . 1.95 . 1.87 . 1.81 . .80 . 2.55 . 2.46 . 2.39 . 2.30 . 2.23 . 2.15 . 2.06 . 2.00 . 1.93 . 1.86 . .81 . 2.60 . 2.51 . 2.43 . 2.36 . 2.28 . 2.20 . 2.13 . 2.05 . 1.98 . 1.91 . .82 . 2.65 . 2.56 . 2.48 . 2.40 . 2.33 . 2.25 . 2.18 . 2.11 . 2.03 . 1.97 . .83 . 2.70 . 2.62 . 2.53 . 2.45 . 2.38 . 2.30 . 2.22 . 2.15 . 2.08 . 2.01 . .84 . 2.75 . 2.66 . 2.59 . 2.51 . 2.43 . 2.35 . 2.27 . 2.20 . 2.13 . 2.06 . .85 . 2.80 . 2.71 . 2.63 . 2.56 . 2.48 . 2.40 . 2.32 . 2.25 . 2.18 . 2.11 . .86 . 2.85 . 2.77 . 2.68 . 2.60 . 2.52 . 2.45 . 2.37 . 2.30 . 2.23 . 2.16 . .87 . 2.90 . 2.82 . 2.74 . 2.65 . 2.57 . 2.49 . 2.42 . 2.34 . 2.28 . 2.21 . .88 . 2.96 . 2.87 . 2.78 . 2.71 . 2.62 . 2.54 . 2.47 . 2.40 . 2.32 . 2.25 . .89 . 3.01 . 2.92 . 2.83 . 2.75 . 2.68 . 2.59 . 2.52 . 2.44 . 2.37 . 2.30 . .90 . ____ . 2.97 . 2.89 . 2.80 . 2.71 . 2.65 . 2.57 . 2.50 . 2.42 . 2.34 . .91 . ____ . ____ . 2.94 . 2.86 . 2.77 . 2.69 . 2.62 . 2.54 . 2.47 . 2.39 . .92 . ____ . ____ . 2.99 . 2.90 . 2.82 . 2.74 . 2.66 . 2.59 . 2.51 . 2.44 . .93 . ____ . ____ . ____ . 2.95 . 2.87 . 2.78 . 2.70 . 2.63 . 2.56 . 2.48 . .94 . ____ . ____ . ____ . ____ . 2.91 . 2.83 . 2.75 . 2.67 . 2.60 . 2.53 . .95 . ____ . ____ . ____ . ____ . ____ . 2.87 . 2.79 . 2.72 . 2.64 . 2.57 . .65 . 2.20 . 2.06 . 1.93 . 1.80 . 1.69 . 1.56 . 1.45 . 1.35 . 1.24 . 1.14 . .66 . 2.30 . 2.16 . 2.03 . 1.90 . 1.78 . 1.66 . 1.55 . 1.45 . 1.34 . 1.22 . .67 . 2.40 . 2.26 . 2.13 . 2.00 . 1.86 . 1.75 . 1.64 . 1.52 . 1.43 . 1.32 . .68 . 2.50 . 2.36 . 2.23 . 2.10 . 1.98 . 1.86 . 1.73 . 1.63 . 1.52 . 1.42 . .69 . 2.62 . 2.46 . 2.33 . 2.20 . 2.07 . 1.95 . 1.84 . 1.71 . 1.61 . 1.50 . .70 . 2.75 . 2.57 . 2.43 . 2.30 . 2.16 . 2.04 . 1.93 . 1.80 . 1.69 . 1.59 . .71 . 2.87 . 2.70 . 2.53 . 2.40 . 2.26 . 2.14 . 2.02 . 1.90 . 1.79 . 1.67 . .72 . 3.00 . 2.81 . 2.65 . 2.48 . 2.36 . 2.23 . 2.11 . 1.99 . 1.88 . 1.76 . .73 . 3.14 . 2.93 . 2.76 . 2.60 . 2.46 . 2.33 . 2.20 . 2.09 . 1.97 . 1.87 . .74 . 3.28 . 3.07 . 2.87 . 2.71 . 2.56 . 2.42 . 2.30 . 2.19 . 2.06 . 1.93 . .75 . 3.38 . 3.19 . 3.00 . 2.83 . 2.66 . 2.52 . 2.40 . 2.27 . 2.15 . 2.05 . .76 . 3.52 . 3.32 . 3.14 . 2.96 . 2.78 . 2.62 . 2.49 . 2.36 . 2.24 . 2.12 . .77 . ____ . 3.46 . 3.28 . 3.07 . 2.90 . 2.74 . 2.58 . 2.45 . 2.32 . 2.22 . .78 . ____ . ____ . 3.40 . 3.19 . 3.03 . 2.85 . 2.69 . 2.55 . 2.42 . 2.30 . .79 . ____ . ____ . ____ . 3.32 . 3.16 . 2.97 . 2.80 . 2.65 . 2.51 . 2.39 . .80 . ____ . ____ . ____ . 3.46 . 3.28 . 3.10 . 2.92 . 2.75 . 2.61 . 2.48 . .81 . ____ . ____ . ____ . ____ . 3.40 . 3.20 . 3.03 . 2.87 . 2.71 . 2.57 . .82 . ____ . ____ . ____ . ____ . ____ . 3.34 . 3.16 . 2.97 . 2.82 . 2.67 . .83 . ____ . ____ . ____ . ____ . ____ . 3.46 . 3.29 . 3.10 . 2.83 . 2.78 . .84 . ____ . ____ . ____ . ____ . ____ . ____ . 3.39 . 3.22 . 3.05 . 2.87 . .85 . ____ . ____ . ____ . ____ . ____ . ____ . ____ . 3.32 . 3.17 . 2.99 . .86 . ____ . ____ . ____ . ____ . ____ . ____ . ____ . 3.45 . 3.29 . 3.13 . .87 . ____ . ____ . ____ . ____ . ____ . ____ . ____ . ____ . 3.40 . 3.24 . .88 . ____ . ____ . ____ . ____ . ____ . ____ . ____ . ____ . ____ . 3.32 . .89 . ____ . ____ . ____ . ____ . ____ . ____ . ____ . ____ . ____ . 3.46 . .90 . ____ . ____ . ____ . ____ . ____ . ____ . ____ . ____ . ____ . ____ . .91 . ____ . ____ . ____ . ____ . ____ . ____ . ____ . ____ . ____ . ____ . .92 . ____ . ____ . ____ . ____ . ____ . ____ . ____ . ____ . ____ . ____ . .93 . ____ . ____ . ____ . ____ . ____ . ____ . ____ . ____ . ____ . ____ . .93 . ____ . ____ . ____ . ____ . ____ . ____ . ____ . ____ . ____ . ____ . .93 . ____ . ____ . ____ . ____ . ____ . ____ . ____ . ____ . ____ . ____ . .94 . ____ . ____ . ____ . ____ . ____ . ____ . ____ . ____ . ____ . ____ . .95 . ____ . ____ . ____ . ____ . ____ . ____ . ____ . ____ . ____ . ____ . 1...+...10....+...20....+...30....+...40....+...50....+...60....+...70....+. ******************************************************************************* ******* This is piece 2. -- It begins at character 77 of table line 1. ******** ******************************************************************************* C=W+L W=CxL L=W+C C=2W+L W+CxL+2 L=2W+C .60 .. .61 .. .62 .. .63 .. .64 .. .65 ____ . ____ . ____ . ____ . ____ . ____ ____ . ____ . ____ . ____ . ____ . ____ ____ . ____ . ____ . ____ . ____ . ____ ____ . ____ . ____ . ____ . ____ . ____ 1.15 ........ ____ . ____ . ____ . ____ 1.22 . 1.15 . ____ . ____ . ____ . ____ 1.28 . 1.21 . 1.15 . ____ . ____ . ____ 1.34 . 1.27 . 1.20 . 1.14 . ____ . ____ 1.40 . 1.33 . 1.26 . 1.19 . 1.13 . ____ 1.45 . 1.39 . 1.32 . 1.25 . 1.18 . ____ 1.51 . 1.44 . 1.37 . 1.31 . 1.24 . 1.17 1.57 . 1.50 . 1.43 . 1.36 . 1.30 . 1.23 1.62 . 1.55 . 1.48 . 1.42 . 1.35 . 1.29 1.67 . 1.61 . 1.54 . 1.47 . 1.41 . 1.35 1.73 . 1.66 . 1.59 . 1.52 . 1.46 . 1.40 1.79 . 1.72 . 1.64 . 1.58 . 1.48 . 1.45 1.84 . 1.77 . 1.69 . 1.63 . 1.57 . 1.50 1.89 . 1.82 . 1.75 . 1.68 . 1.62 . 1.55 1.94 . 1.87 . 1.80 . 1.73 . 1.67 . 1.55 1.99 . 1.92 . 1.85 . 1.78 . 1.72 . 1.65 2.04 . 1.97 . 1.90 . 1.84 . 1.77 . 1.70 2.09 . 2.02 . 1.95 . 1.89 . 1.82 . 1.75 2.14 . 2.07 . 2.00 . 1.93 . 1.87 . 1.81 2.19 . 2.12 . 2.05 . 1.98 . 1.92 . 1.85 2.23 . 2.16 . 2.10 . 2.03 . 1.96 . 1.90 2.27 . 2.21 . 2.14 . 2.08 . 2.01 . 1.95 2.32 . 2.25 . 2.19 . 2.12 . 2.06 . 2.00 2.36 . 2.30 . 2.23 . 2.17 . 2.10 . 2.04 2.42 . 2.34 . 2.28 . 2.21 . 2.15 . 2.08 2.45 . 2.39 . 2.32 . 2.25 . 2.19 . 2.13 2.50 . 2.43 . 2.36 . 2.29 . 2.23 . 2.17 ____ . ____ . ____ . ____ . ____ . ____ 1.12 . ____ . ____ . ____ . ____ . ____ 1.21 . ____ . ____ . ____ . ____ . ____ 1.31 . 1.19 . ____ . ____ . ____ . ____ 1.40 . 1.30 . 1.17 . ____ . ____ . ____ 1.49 . 1.37 . 1.28 . 1.16 . ____ . ____ 1.57 . 1.47 . 1.37 . 1.26 . 1.15 . ____ 1.66 . 1.56 . 1.45 . 1.36 . 1.26 . 1.14 1.75 . 1.64 . 1.54 . 1.44 . 1.35 . 1.24 1.83 . 1.73 . 1.62 . 1.52 . 1.43 . 1.34 1.92 . 1.81 . 1.71 . 1.61 . 1.51 . 1.42 2.01 . 1.90 . 1.79 . 1.69 . 1.60 . 1.50 2.10 . 1.98 . 1.88 . 1.77 . 1.67 . 1.58 2.19 . 2.07 . 1.96 . 1.86 . 1.75 . 1.66 2.27 . 2.16 . 2.05 . 1.94 . 1.84 . 1.74 2.36 . 2.24 . 2.14 . 2.03 . 1.92 . 1.83 2.45 . 2.33 . 2.21 . 2.11 . 2.00 . 1.90 2.53 . 2.42 . 2.30 . 2.19 . 2.09 . 1.98 2.63 . 2.50 . 2.39 . 2.27 . 2.17 . 2.06 2.75 . 2.59 . 2.47 . 2.37 . 2.25 . 2.15 2.83 . 2.69 . 2.55 . 2.44 . 2.34 . 2.23 2.96 . 2.78 . 2.65 . 2.54 . 2.42 . 2.32 3.07 . 2.90 . 2.76 . 2.62 . 2.50 . 2.40 3.17 . 3.00 . 2.86 . 2.71 . 2.59 . 2.47 3.29 . 3.14 . 2.97 . 2.81 . 2.68 . 2.56 3.40 . 3.24 . 3.07 . 2.83 . 2.78 . 2.65 ____ . 3.35 . 3.19 . 3.03 . 2.87 . 2.75 ____ . 3.45 . 3.29 . 3.14 . 2.97 . 2.83 ____ . ____ . 3.39 . 3.24 . 3.09 . 2.93 ____ . ____ . ____ . 3.32 . 3.19 . 3.03 ____ . ____ . ____ . 3.43 . 3.28 . 3.14 ____ . ____ . ____ . 3.32 . 3.19 . 3.03 ____ . ____ . ____ . 3.63 . 3.28 . 3.14 77......+...90....+....0....+...10....+.. Appendix 1. 3228. (i) [FN1] Boiler, Furnace and Incinerator Rooms. Any room containing a boiler, furnace, incinerator, or other fuel-fired equipment must be provided with two means of egress when both of the following conditions exist: (1) The area of the room exceeds 500 square feet, or (2) The largest single piece of fuel-fired equipment exceeds 1,000,000 B.t.u. per hour input capacity. Exception: Rooms housing high-pressure boilers (greater than 15 lbs. psi) where either of the conditions listed in (1) or (2) exist shall be provided with 2 exits. If two means of egress must be provided, one may be a fixed ladder. The means of egress must be separated by a horizontal distance not less than half the greatest horizontal dimension of the room. All openings shall be protected with a self-closing fire assembly having a minimum one-hour fire-protection rating. Where oil-fired boilers are used, a 6-inch noncombustible sill (dike) shall be provided. There shall be no interior openings between any occupancy where flammable or explosive concentrations may be expected to accumulate. [FN1] Reprint of General Industry Safety Order, Section 3228(i), Exits, Boiler, Furnace and Incinerator Rooms, of the California Administrative Code, Title 8, Subchapter 7 (Register 72, No. 23). 3274. [FN2] Valves and Controls. (a) Where pipe valves require daily manipulation and are so located that they cannot be reached or operated from the floor, a permanent platform or other safe means of operation shall be provided. (b) Valves or other controls shall not be so located that their manipulation exposes the employee to hazards of dangerous moving parts of prime movers, machines, or transmission equipment. (Title 24, T8-3274) [FN2] Reprint of General Industry Safety Order, Section 3274, Valves and Controls, of the California Administrative Code, Title 8, Subchapter 7 (Register 76, No. 29). 3311. [FN3] Flarebacks. (a) To provide greater safety in lighting and relighting fixed fired equipment, the employer shall designate one or more employees who shall be trained in the safe lighting and relighting of the equipment. It shall be the responsibility of the employer to limit lighting and relighting of the equipment to employees so designated. It shall be the responsibility of the employees to follow the instructions given them. Copies of the instructions shall be prominently displayed at a location near the equipment. (b) In addition to the above fire boxes or combustion chambers shall be purged or allowed sufficient time to vent themselves before a source of ignition is introduced into them. (c) Provision shall be made, for the furnishing of extension lighting rods, where their use is indicated. Valves and other controls shall be so located as to avoid placing the employee in an unsafe position if a flareback occurs. [FN3] Reprint of General Industry Safety Order, Section 3311, Flarebacks, of the California Administrative Code, Title 8, Subchapter 7 (Register 72, No. 23). 3312. [FN4] Entering Combustion Chambers, Flues, Boilers or Unfired Steam Pressure Vessels. (a) Before employees are allowed to enter, through a manhole, the shell or drum of a steam boiler or an unfired steam pressure vessel for maintenance or repair, where such a boiler or pressure vessel is one of a battery of two or more boilers or vessels or is connected to another source of steam, the valves connecting to the steam header or other source of steam shall be closed and effectively blinded or two valves shall be installed with a bleeder between them and the valves shall be closed and bleeder open. Blow down valves and other valves on lines through which harmful material might accidentally flow back to the boiler or vessel shall be either sealed or closed and locked and the key retained by the em ployee or his supervisor while the employee is in the boiler or vessel. When lines are effectively blinded the valves need not be locked or sealed. (b) Employees shall not enter or be required to enter the fire boxes, flues or combustion chambers of fired apparatus until: (1) The pilot light, fuel and steam lines to burners entering the fire box or combustion chamber have been blinded, disconnected or effectively closed by the use of two block valves with an open bleeder between them. (2) All probability of ignition of any solid combustibles in the fire box or combustion chamber has been removed. [FN4] Reprint of General Industry Safety Order, Section 3312, Entering Combustion Chambers, Flues, Boilers or Unfired Steam Pressure Vessels, of the California Administrative Code, Title 8, Subchapter 7 (Register 72, No. 23). 3310. [FN5] Discharge Location. (a) The discharge opening from traps, drains, and blowoffs shall be located so as not to endanger the safety of employees. [FN5] Reprint of General Industry Safety Order, Section 3310(a), Discharge Location (Register 72, No. 23). 3514. [FN6] Tubular Gage Guard. (a) Tubular water gages on portable steam boilers shall be protected with a substantial guard affording protection at least equivalent to that obtained by an enclosure of one-half (1/2) inch wire mesh of No. 18 U.S.S. gage. (b)(NI) Every portable steam boiler shall be equipped with liquid level gages of the reflex type. [FN6] Reprint of General Industry Safety Order, Section 3514, Tubular Gage Guard (Register 72, No. 23). 3515. [FN7] Try Cock Discharge Receptacle. Where discharge presents hazards to employees, try cocks shall discharge into a funnel, dripper, or other similar receptacle, which in turn shall be piped to a safe place of discharge. [FN7] Reprint of General Industry Safety Order, Section 3515, Try Cock Discharge Receptacle (Register 72, No. 23). 3516. [FN8] Try Cock Manipulation. Provisions shall be made whereby each of the try cocks can be manipulated by the employee while standing on the floor or platform on which the boiler is mounted. [FN8] Reprint of General Industry Safety Order, Section 3516, Try Cock Manipulation (Register 72, No. 23). 3517. [FN9] Steam Gage and Water Gage Glass Location. The steam gage and water gage glasses shall be so located on the boiler that they can be clearly seen by the operator. [FN9] Reprint of General Industry Safety Order, Section 3517, Steam Gage and Water Gage Glass Location (Register 72, No. 23) Appendix 2. Boiler and Fired Pressure Vessel Inspection Fees Note: The following fee schedule adopted by the Division of Industrial Safety is reprinted from Chapter 3.2, Group 2, Title 8, California Administrative Code, solely for informational purposes. Should any discrepancy exist between this reprinting and the regulations of Chapter 3.2, then Chapter 3.2 will prevail. 344.3. [FN1] Boiler Shop Inspection Fees. (a) Fees shall be charged for shop inspections made by qualified safety engineers of the Division as follows: (1) Boilers and fired pressure vessels inspected in the fabricator's shop at $20.00 per hour. (2) Boilers and fired pressure vessels inspected at the jobsite during erection at $60.00 each or $20.00 per hour whichever is greater, with a minimum charge of $20.00 per visit to the jobsite. (b) Whenever a manufacturer or user of any apparatus or equipment fails to pay the fees required by this section within 60 days after notification, said manufacturer or user shall pay, in addition to the fees required by this section, a penalty fee equal to 100 percent of such fee. For the purposes of this section, the date of the invoice shall be considered the date of notification. [FN1] Reprint from Chapter 3.2, Group 2, Title 8 (Register 77, No. 49). 344.4. [FN2] Boiler Permit and Inspection Fees. (a) Fees shall be charged for field inspections made by qualified safety engineers of the Division as follows: (1) Miniature Boilers: .................. Internal Inspection at $20.00 External Inspection at $20.00 (2) Firetube Boilers not exceeding 48 inches in diameter: ................... Internal Inspection at $30.00 External Inspection at $20.00 (3) Firetube Boilers exceeding 48 inches in diameter: .......................... Internal Inspection at $50.00 External Inspection at $25.00 (4) Watertube Boilers not exceeding 500 square feet of heating surface: ....... Internal Inspection at $30.00 External Inspection at $20.00 (5) Watertube Boilers exceeding 500 square feet of heating surface to and including 2500 square feet of heating surface: .............................. Internal Inspection of $50.00 External Inspection of $25.00 (6) Watertube Boilers exceeding 2500 square feet of heating surface: ....... Internal Inspection at $60.00 External Inspection at $30.00 (7) Boilers other than firetube, watertube or miniature: ............... Internal Inspection at $20.00 per hour with $20.00 minimum per boiler External Inspection at $20.00 (8) Resale or repair inspection of all boilers and pressure vessels at $20.00 per hour: ............................. Minimum charge per boiler is at $20.00 [FN2] Reprint form Chapter 3.2, Group 2, Title 8 (Register 77, No. 49). (b) Whenever an owner or user of any apparatus or equipment fails to pay the fees required under this section within 60 days after notification, said owner or user shall pay, in addition to the fees required under this section a penalty fee equal to 100 percent of such fee. For the purposes of this section, the date of the invoice shall be considered the date of notification. ) s 1200. Application of Orders. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. ) s 1201. Permits for Variation from These Orders. ) s 1202. Posting of Application. ) s 1204. Definitions. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. ) s 1205. General Provisions. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. ) s 1210. Compression Rate. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. ) s 1215. Normal Condition. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. ) s 1216. Repetitive Exposures. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. ) s 1217. Decanting. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. ) s 1220. Air Locks. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. ) s 1225. Special Decompression Chamber. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. ) s 1230. Temperature, Illumination, Sanitation and Ventilation. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. ) s 1240. Compressor Plant, Air Supply and Telephone Communication. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. ) s 1250. Bulkheads and Screens. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. ) s 1270. Fire Prevention. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. ) s 1280. Medical Control. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. ) ) Appendix A Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. ) Appendix B <<(Subchapter Originally Printed 4-20-45)>> s 1500. Title. Note: Authority cited: Sections 142.3, 6312, 6500 and 6502, Labor Code. s 1501. Superseded Orders. s 1502. Application. (a) These Orders establish minimum safety standards whenever employment exists in connection with the construction, alteration, painting, repairing, construction maintenance, renovation, removal, or wrecking of any fixed structure or its parts. These Orders also apply to all excavations not covered by other safety orders for a specific industry or operation. (b) At construction projects, these Orders take precedence over any other general orders that are inconsistent with them, except for Tunnel Safety Orders or Compressed Air Safety Orders. (c) Machines, equipment, processes, and operations not specifically covered by these Orders shall be governed by other applicable general Safety Orders. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. s 1502.1. OSHA Standards. s 1503. Permits for Excavations, Trenches, Construction, (Building Structure, Scaffolding or Falsework), and Demolition. Note: Permit requirements of the Division of Occupational Safety and Health are contained in Chapter 3.2, Group 2, Title 8, CAC. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. s 1504. Definitions. (a) The following definitions shall apply in the application of these Orders. Access. A means of reaching a workspace or a work area. Accessible. Within reach from a workspace or work area. Adequate Ventilation. Ventilation which, under normal operating conditions, is sufficient to keep the concentration of a hazardous gas, vapor, mist, fume or dust below the amount which will produce harmful effects or below 20 percent of the lower explosive limit, whichever is lower. Anchorage. A secure point of attachment for lifelines, lanyards or deceleration devices. Approved. See section 1505. Body Belt. A simple or compound strap with means for securing it about the waist and for securing a lanyard to it. Body Harness. Straps which may be secured about the employee in a manner that will distribute the fall arrest forces over at least the thighs, pelvis, waist, chest and shoulders with means for attaching it to other components of a personal fall arrest system. Buckle. Any device for holding the body belt or body harness closed around the employee's body. Bulldozer. A tractor having a blade in front for moving earth or other materials. Bull Float. A tool used to spread out and smooth a concrete surface. Carryall. A self-loading and unloading vehicle pulled by a tractor or powered attachment, and used for movement and placing of earth or other materials. Closed Container. A container as herein defined, so sealed by means of a lid or other device that neither liquid nor vapor will escape from it at ordinary temperatures. Combustible Liquid. A liquid having a flash point at or above 100 ° F (37.8 degrees C). Combustible liquids shall be subdivided as follows: (A) Class II liquids shall include those having flash points at or above 100° F (37.8 ° C) and below 140 ° F (60 ° C). (B) Class IIIA liquids shall include those having flash points at or above 140 ° F (60 ° C) and below 200 ° F (93.4 ° C). (C) Class IIIB liquids shall include those having flash points at or above 200 ° F (93.4 ° C). Competent Person. One who is capable of identifying existing and predictable hazards in the surroundings or working conditions which are unsanitary, hazardous, or dangerous to employees, and who has authorization to take prompt corrective measures to eliminate them. Connector. A device which is used to couple (connect) parts of the personal fall arrest system and positioning device systems together. It may be an independent component of the system, such as a carabiner, or it may be an integral component of part of the system (such as a buckle or dee-ring sewn into a body belt or body harness, or a snap-hook spliced or sewn to a lanyard or self-retracting lanyard). Contaminant. A harmful, irritating or nuisance material that is foreign to the environment. Note: For definition of "harmful exposure" refer to section 5140 of General Industry Safety Orders. Controlled Access Zone (CAZ). An area in which certain work may take place without the use of guardrails, personal fall arrest systems, or safety nets and access to the zone is controlled. Coon. To straddle and move horizontally on a beam while walking on the bottom flanges. Crawling Board (Chicken Ladder). A plank with cleats spaced and secured at equal intervals and used by workers on roofs as a means of access. Dangerous Equipment. Equipment (such as pickling or galvanizing tanks, degreasing units, machinery, electrical equipment, and other construction related equipment such as hoppers and conveyors) which, as a result of form or function, may be hazardous to employees who fall onto or into such equipment. Deceleration Device. Any mechanism, such as a rope grab, rip-stitch lanyard, specially-woven lanyard, tearing or deforming lanyards, automatic self-retracting lifelines/lanyards, etc., which serves to dissipate a substantial amount of energy during a fall arrest, or otherwise limit the energy imposed on an employee during fall arrest. Deceleration Distance. The additional vertical distance a falling employee travels, excluding lifeline elongation and free fall distance, before stopping, from the point at which the deceleration device begins to operate. It is measured as the distance between the location of an employee's body belt or body harness attachment point at the moment of activation (at the onset of fall arrest forces) of the deceleration device during a fall, and the location of that attachment point after the employee comes to a full stop. Defect. Any characteristic or condition which tends to weaken or reduce the strength or the safety of the tool, machine, object, or structure of which it is a part. Division. The current Division of Occupational Safety and Health or any of its predecessors including the former Division of Industrial Safety or the Division of Occupational Safety and Health Administration. Reference to the former Division of Industrial Safety or Division of Occupational Safety and Health Administration in these Orders is meant to refer to their successor, the Division of Occupational Safety and Health, or any subsequent successor agency. Drop Line (Safety Line). A vertical line from a fixed anchorage, independent of the work surface, to which the lanyard is affixed. Elevator, Construction. Any means used to hoist persons or material of any kind on a building under course of construction, when operated within guides, by any power other than muscular power. Emergency Medical Services. (A) Appropriately Trained Person. A physician or registered nurse currently licensed in California or a person possessing a current certificate (training within the past three years or as specifically stated on the certificate) from the American National Red Cross or equivalent training that can be likewise verified. Acceptable Red Cross certificates are those from the Standard First-Aid Multimedia, Standard First Aid and Personal Safety, or Advanced First Aid and Emergency Care courses. Note: Equivalent training includes, but is not limited to, training which is equivalent to that provided by the American National Red Cross, or training required for certification as mobile intensive care paramedics as provided under chapter 2.5, article 3, sections 1480 through 1484.4 of the California Health and Safety Code; and, courses that are given by nationally recognized voluntary health organizations, official agencies, such as Mine Safety and Health Administration, or accredited teaching institutions. (B) Emergency Medical Services. The communications, transportation and medical and related services, such as first aid, rendered in response to the individual need for immediate medical care in order to reduce or prevent suffering and disability and reduce the incidence of death. (C) First Aid. The recognition of, and prompt care for injury or sudden illness prior to the availability of medical care by licensed health-care personnel. Employer. (A) The State and every State agency. (B) Each county, city, district, and all public and quasi-public corporations and public agencies therein. (C) Every person including any public service corporation which has any natural person in service. (D) The legal representative of any deceased employer. Excavation, Trenches, Earthwork. (A) Bank. A mass of soil rising above a digging level. (B) Exploration Shaft. A shaft created and used for the purpose of obtaining subsurface data. (C) Geotechnical Specialist (GTS). A person registered by the State as a Certified Engineering Geologist, or a Registered Civil Engineer trained in soil mechanics, or an engineering geologist or civil engineer with a minimum of 3 years applicable experience working under the direct supervision of either a Certified Engineering Geologist or Registered Civil Engineer. (D) Hard Compact (as it applies to section 1542). All earth material not classified as running soil. (E) Lagging. Boards which are joined, side-by-side, lining an excavation. (F) Running Soil (as it applies to section 1542). Earth material where the angle of repose is approximately zero, as in the case of soil in a nearly liquid state, or dry, unpacked sand which flows freely under slight pressure. Running material also includes loose or disturbed earth that can only be contained with solid sheeting. (G) Shaft. An excavation under the earth's surface in which the depth, is much greater than its cross-sectional dimensions such as those formed to serve as wells, cesspools, certain foundation footings, and under streets, railroads, buildings, etc. Exit. Exit is a continuous and unobstructed means of egress to a public way, and shall include intervening doors, doorways, corridors, exterior exit balconies, ramps, stairways, smoke-proof enclosures, horizontal exits, exit passageways, exit courts, and yards. Failure. Load refusal, breakage, or separation of component parts. Load refusal is the point where the ultimate strength is exceeded. Falsework and Shoring for Concrete Construction. Temporary formwork and vertical shoring, etc., to support concrete and placing operations for supported slabs of concrete structures. Fire Extinguishers, Portable. (A) Portable fire extinguishers are classified for use on certain classes of fires and rated for relative extinguishing effectiveness at a temperature of plus 70 degrees Fahrenheit by nationally recognized testing laboratories. This is based upon the classification of fires and the fire-extinguishment potentials as determined by fire tests. (B) The classification and rating system described in this standard is that used by Underwriters' Laboratories, Inc., and Underwriters' Laboratories of Canada and is based on extinguishing pre-planned fires of determined size and description as follows: 1. Class A Rating. Wood and excelsior. 2. Class B Rating. Two-inch depth n-heptane fires in square pans. 3. Class C Rating. No fire test. Agent must be a nonconductor of electricity. 4. Class D Rating. Special tests on specific combustible metal fires. Fires. (A) Class A. Fires in ordinary combustible materials, such as wood, cloth, paper, rubber, and many plastics. (B) Class B. Fires in flammable liquids, gases, and greases. (C) Class C. Fires which involve energized electrical equipment where the electrical nonconductivity of the extinguishing media is of importance. (When electrical equipment is de-energized, extinguishers for Class A or B fires may be used safely.) (D) Class D. Fires in combustible metals, such as magnesium, titanium, zirconium, sodium, and potassium. Flammable Liquid. A liquid having a flash point below 100 ° F (37.8 ° 5C) and having a vapor pressure not exceeding 40 pounds per square inch (absolute) at 100 ° F (37.8 ° C) and shall be known as a Class I liquid. Class I liquids shall be subdivided as follows: (A) Class IA shall include those having flash points below 73 ° F (22.8 ° 5C) and having a boiling point below 100 ° F (37.8 ° C). (B) Class IB shall include those having flash points below 73 ° F (22.8 ° 5C) and having a boiling point at or above 100 ° F (37.8 ° C). (C) Class IC shall include those having flash points at or above 73 ° F (22.8 ° C) and below 100 ° F (37.8 ° C). Floor Area. The area included within the surrounding exterior walls of a building or portion thereof, exclusive of vent shafts and courts. The floor area of a building, or portion thereof, not provided with surrounding exterior walls shall be the usable area under the horizontal projection of the roof or floor above. Free Fall. The act of falling before a personal fall arrest system begins to apply force to arrest the fall. Free Fall Distance. The vertical displacement of the fall arrest attachment point on the employee's body belt or body harness between onset of the fall and just before the system begins to apply force to arrest the fall. This distance excludes deceleration distance, and lifeline/lanyard elongation, but includes any deceleration device slide distance or self-retracting lifeline/lanyard extension before they operate and fall arrest forces occur. Grade (Adjacent Ground Elevation). The lowest point of elevation of the finished surface of the ground, paving or sidewalk, within the area between the building and the property line, or when the property line is more than 5 feet from the building, between the building and a line 5 feet from the building. Guardrail. (See Railing) Guy. A line that steadies a mast or structure by pulling against an off-center load. Handrail. A rail used to provide employees with a handhold for support. Haulage Vehicle, as used in these Orders. A self-propelled vehicle including its trailer, used to transport materials on construction projects. The term "haulage vehicle" includes trucks, truck and trailer combinations, and all other similar equipment used for haulage. Hazardous Substance. One which by reason of being explosive, flammable, extremely flammable, poisonous, corrosive, oxidizing, irritant, or otherwise harmful is likely to cause injury. Helicopter. A rotary wing aircraft which depends principally for its support and motion in the air upon the lift generated by one or more power-driven rotors, rotating on substantially vertical axes. It can hover, fly backward and sideways, in addition to forward flight. (The following definitions (A) through (K) apply to helicopter operations only.): (A) Automatic Release Device. A mechanism for releasing the load without deliberate action by the pilot or crewmen. (B) Dangerous Materials. Explosives, flammables, oxidizing materials, corrosive liquids, compressed gases, poisons, radioactive materials, or a combination of other materials which could produce dangerous material. (C) Dust Control. The control of dust by use of water or other materials. (D) Emergency. Human lifesaving or protective operation. (E) External Load (Helicopter). A cargo which is not contained wholly within the fuselage of the aircraft. (F) Ground Crew (Helicopter). Those employees not on board the helicopter who are directly involved with helicopter operations. (G) Heliport. An area used for regular helicopter landings and takeoffs. (H) Line Stringing Operation (Helicopter). The placing of any line (power, communication, or other line, including the pulling line) between two or more points by pulling it with an airborne helicopter. This does not include towers, poles, or coiled lines transported as a unit. (I) Passenger (Helicopter). A person to be transported who is not a member of the helicopter crew. (J) Practicable. Means capable of being accomplished by reasonably available and workable means. (K) Sling Load (Helicopter). An external load carried below or partly below the level of the landing gear. Hole. Any opening in a floor or platform, which is smaller than an opening. Jacking Operation. The task of lifting a slab (or group of slabs) vertically from one location to another (e.g., from the casting location to a temporary (parked) location, or from a temporary location to another temporary location, or to its final location in the structure), during the construction of a building/structure where the lift-slab process is being used. Ladders. (A) Ladder. A device other than a ramp or stairway, designed for use in ascending or descending at an angle with the horizontal. A ladder is intended to be stationary while in service and consists of two side pieces called siderails, joined at short intervals by crosspieces called steps, rungs or cleats. (B) Ladder, Extension. A ladder consisting of two or more sections, with guides or brackets so arranged that the ladder may be adjusted to different lengths by sliding and locking the movable section or sections. (C) Ladder, Fixed. A ladder permanently fastened to a structure. (D) Ladder, Job-built. A ladder that is fabricated by employees, typically at the construction site, and is not commercially manufactured. (E) Ladder, Single-rail. A portable ladder with rungs, cleats, or steps mounted on a single rail instead of the normal two rails used on most other ladders. (F) Ladder, Portable. A ladder, not permanently fixed in place, which may be used at various locations. (G) Ladder, Stepladder. A ladder having treads and so constructed as to be self-supporting. (H) Ladder, Steps. Either rungs, treads, or cleats. (I) Ladder, Step stool. A self-supporting, collapsible, portable ladder, nonadjustable in length, 32 inches or less in overall size, with flat steps and without a pail shelf, designed to be climbed on the ladder top cap as well as all steps. The rails may continue above the top cap. (J) Ladder, Trestle or "A." A ladder consisting of two special, single ladders hinged together at the top to form equal angles with the surface on which they stand. (K) Ladder, Extension Trestle. A ladder consisting of an "A" or trestle ladder with an additional single ladder, which is supported in a vertical position by the "A" ladder. Ladder, Double Cleat. A ladder that is similar to a single cleat ladder, but is wider, with an additional center rail which will allow for two-way traffic for workers in ascending and descending. Lanyard. A flexible line to secure a wearer of a safety belt or harness to a drop line, lifeline, or fixed anchorage. Leading Edge. The edge of a floor, roof, or formwork for a floor or other walking/working surface (such as the deck) which changes location as additional floor, roof, decking, or formwork sections are placed, formed, or constructed. A leading edge is considered to be an "unprotected side and edge" during periods when it is not actively and continuously under construction. Lifeline. A horizontal line (i.e. catenary line) between two fixed anchorages, independent of the work surface, to which the lanyard is secured either by tying off or by means of a suitable sliding connection. For the purposes of these orders, lifelines may be vertical as well as horizontal (i.e. when used with a body harness). Lift-Slab. An operation whereby a concrete slab is lifted into an elevated position by means of jacks located above the slab on columns or other supporting members. Limited Access Zone. An area alongside a masonry wall which is under construction and which is clearly demarcated to limit access by employees. Linemen's Body Belt. A leather or web (cotton or nylon) belt designed specifically for employees working on poles. It consists of a waist belt, generally cushioned, with a front buckle, two D rings for attaching safety straps and a multiple-looped strap for holding, rings, snaphooks, holsters and other tool holding devices. Liquid. As applied to flammable and combustible liquids means any material which has a fluidity greater than that of 300 penetration asphalt when tested in accordance with ASTM Test for Penetration for Bituminous Materials, D-5-7.1. Loading Device. A mobile mechanical-powered machine of the skip loader type used for picking up materials and loading or dumping them into haulage vehicles, bins, or hoppers, excluding boom-type excavators and endless belt or chain conveyors. Lower Levels. Those areas or surfaces to which an employee can fall. Such areas or surfaces include, but are not limited to, ground levels, floors, platforms, ramps, runways, excavations, pits, tanks, material, water, equipment, structures, or portions thereof. Lumber. (A) Douglas Fir or Equivalent. "Selected lumber" or other suitable material of proper size, having strength at least equal to the specified Douglas fir members. (B) "Selected Lumber." Douglas fir that has been graded under standards as high as those followed by the West Coast Lumber Inspection Bureau or by the Western Wood Products Association as suitable for a bending stress of 1,500 psi. (C) "Structural Plank." Douglas fir graded for scaffold plank use and which has an allowable bending stress of at least 2,200 pounds per square inch (psi). Select structural scaffold plank, as described in Paragraph 171-b of the January 1, 2000 Standard Grading Rules No. 17, published by the West Coast Lumber Inspection Bureau and Scaffold No. 2 as described in Paragraph 58.12 of the 1998 Edition of the Western Lumber Grading Rules published by the Western Wood Products Association, satisfy this definition. (D) Size. Unless otherwise stated, the lumber sizes referred to in these Orders mean nominal sizes and thus include both the rough and dressed members of those nominal sizes. Mast Tower. A single vertical member on which a cantilevered platform, suitable for carrying material, may be moved up and down. Material Hoist. A hoist for raising and lowering materials only, with the hoisting of persons being prohibited. (A) Cage. The load-carrying unit, consisting of a platform and enclosure, and including a top as well as walls. (B) Cantilevered Hoist Tower. A hoist tower in which the platform, cage, or bucket travels on guide rails that are generally an integral part of the vertical tower member(s) and in a vertical plane, outboard from the tower member. (C) Equivalent. An alternate design, feature, device, or protective action which provides an equal degree of safety. (D) Hoistway. A shaft way for the travel of one or more platforms, cages, or buckets. It includes the pit and terminates at the underside of the beam at the top of the tower or structure. (E) Inside Hoists. Hoistways contained entirely within the building being served, which sometimes use the building structure itself for the support of the top beams, guide rails, and appurtenant parts necessary for the proper functioning of the platform. (F) Load. The total superimposed weight on the hoist platform or bucket. (G) Platform. The load-carrying unit, including the frame, which directly supports the load. (H) Rated Load. The maximum load for which the material hoist is designed and built by the manufacturer and which is shown on the equipment nameplate(s). (I) Rated Speed. The speed at which the platform, cage, or bucket is designed to operate in the up direction with a rated load in or on the load-carrying unit. (J) Rope. Refers to wire rope only. (K) Tower. The primary structure which forms the hoistway for the travel of the platform, cage, or bucket, and which provides the support for the top beams, guide rails, and other appurtenant parts necessary for the operation of such units. Mechanical Equipment. All motor or human propelled wheeled equipment used for roofing work, except wheelbarrows and mopcarts. Midrail. A rail approximately midway between the top rail and platform, that is secured to the uprights erected along the exposed sides and ends of platforms. Nationally Recognized Testing Laboratory (NRTL). A laboratory which has been recognized by the Department of Labor, Occupational Safety and Health Administration (OSHA) as meeting the requirements of 29 CFR 1910.7. O.D. O.D. means optical density and refers to the light refractive characteristics of a lens. Opening. An opening in any floor or platform, 12 inches or more in the least horizontal dimension. It includes: stairway floor openings, ladderway floor openings, hatchways and chute floor openings. Personal Fall Arrest System. A system used to arrest an employee in a fall from a working level. It consists of an anchorage, connectors, a body belt or body harness and may include a lanyard, deceleration device, lifeline, or suitable combinations of these. As of January 1, 1998, the use of a body belt for fall arrest is prohibited. Personal Fall Restraint System. A system used to prevent an employee from falling. It consists of anchorages, connectors, body belt/harness. It may include, lanyards, lifelines, and rope grabs designed for that purpose. Personal Fall Protection System. A personal fall protection system includes personal fall arrest systems, positioning device systems, fall restraint systems, safety nets and guardrails. Personal Protective Equipment. Protection where modified by the words head, eye, body, hand, and foot, as required by the Orders in Subchapter 4, means the safeguarding obtained by means of safety devices and safeguards of the proper type for the exposure, and of such design, strength, and quality as to eliminate, preclude, or mitigate the hazard. Note: See "approved." Personnel Hoist. A mechanism for use in connection with the construction, alteration, maintenance, or demolition of a building structure, or other work. It is used for hoisting and lowering workers or materials, or both, is equipped with a car that moves on guide members during its vertical movement, and includes its hoistway. (A) Buffer. A device used on construction elevators designed to stop a descending car or counterweight beyond its normal limit of travel by storing or by absorbing and dissipating the kinetic energy of the car or counterweight. 1. Buffer, Hydraulic. A buffer using fluid as a medium which absorbs and dissipates the kinetic energy of the descending car or counterweight. 2. Buffer Stroke, Hydraulic. The fluid-displacing movement of the buffer plunger or piston, excluding the travel of the buffer-plunger accelerating device. 3. Spring Buffer. A buffer which stores in a spring the kinetic energy of the descending car or counterweight. 4. Spring-Buffer Load Rating. The load required to compress the spring an amount equal to its stroke. 5. Spring-Buffer Stroke. The distance the contact end of the spring can move under a compressive load until all coils are essentially in contact. (B) Car (Cage). 1. Hoist Car. The load-carrying unit including its platform, car frame, enclosure, and car door or gate. 2. Car Door or Gate Electric Contact. An electrical device, the function of which is to prevent operation of the driving machine by the normal operating device unless the car door or gate is in the closed position. 3. Car Enclosure. The top and the walls of the car resting on, and attached to, the car platform. 4. Car Frame (Sling). The supporting frame to which the car platform, upper and lower sets of guide shoes, car safety, and the hoisting ropes or hoisting rope sheaves or other lifting mechanism are attached. 5. Car Platform. The structure which forms the floor of the car and which directly supports the load. (C) Clearance. 1. Bottom Car Clearance. The clear vertical distance from the pit floor (ground or foundation) to the lowest structural or mechanical part, equipment, or device installed beneath the car platform, except guide shoes or rollers, safety-jaw assemblies, and platform aprons or guards, when the car rests on its fully compressed buffers. 2. Top Car Clearance. The shortest vertical distance between the top of the car crosshead, or between the top of the car where no crosshead is provided, and the nearest part of the overhead structure, or any other obstruction, when the car floor is level with the top terminal landing. 3. Top Counterweight Clearance. The shortest vertical distance between any part of the counterweight structure and the nearest part of the overhead structure, or any other obstruction, when the car floor is level with the bottom terminal landing. (D) Door or Gate. 1. Car or Hoistway Door Gate. The sliding portion of the car or the hinged or sliding portion in the hoistway enclosure which closes the opening, giving access to the car or to the landing. 2. Biparting Door. A vertically or horizontally sliding door consisting of two or more sections so arranged that the sections or groups of sections open away from each other and so interconnected that all sections operate simultaneously. 3. Manually Operated Door or Gate. A door or gate which is opened and closed by hand. (E) Emergency Stop Switch. A device located in the car which, when manually operated, causes the power to be removed from the driving-machine motor, thereby causing the brake to be applied. (F) Guide Members. Fixed vertical steel sections designed to prevent lateral movement of the car. Guide members may be standard elevator T-rails or other suitable sections. (G) Guide Shoes or Rollers. Devices attached to the car frame or counterweight which cause the car to be guided by the guide members. (H) Hoistway. A temporary shaftway; the space traveled by the car. 1. Hoistway Enclosure. The structure which isolates the hoistway from all other parts of the building and on which the hoistway doors or gates, and door or gate assemblies, are installed. 2. Hoistway-Door or Gate Interlock. A device having the following two related and interdependent functions which are: a. Preventing the operation of the driving machine by the normal operating device unless the hoistway door or gate is locked in the closed position and, b. Preventing the opening of the hoistway door or gate from the landing side unless the car is within the landing zone and is either stopped or being stopped. 3. Car Door or Gate Separate Mechanical Lock. A mechanical device, the function of which is to lock a car door or gate in the closed position as the car leaves the receiving landing and to prevent the door or gate from being opened unless the car is within the landing zone. 4. Hoistway Unit System. A series of hoistway-door or gate interlocks, the function of which is to prevent operation of the driving machine by the normal operating device unless all hoistway doors or gates are in the closed position and locked. (I) Landing. 1. Hoist Landing. That portion of a floor, balcony, or platform used to receive and discharge passengers or material. 2. Electric Driving Machine. A machine whose energy is applied by an electric motor. 3. Geared-Drive Machine. A direct-drive machine in which the energy is transmitted from the motor to the driving sheave, drum, or shaft through gearing. 4. Gearless Traction Machine. A traction machine without intermediate gearing, which has the traction sheave and the brake drum mounted directly on the motor shaft. 5. Rack and Pinion Machine. A machine in which the motion of a car is obtained by a power-driven rotating pinion, or pinions, mounted on the car, traveling on a stationary rack mounted on the supporting mast (tower). 6. Traction Machine. A machine in which the motion of a car is obtained through friction between the suspension ropes and a traction sheave. 7. Winding-Drum Machine. A geared-drive machine in which the hoisting ropes are fastened to, and wind on, a drum. 8. Worm-Geared Machine. A direct-drive machine in which the energy from the motor is transmitted to the driving sheave or drum through worm gearing. (K) Mast (Tower). A vertical structure which supports and guides the cart (and the counterweight and overhead when used) outside of the mast structure. (L) Operating Device. The car switch, push button, lever, or other manual device used to actuate the control. (M) Operation. The method of actuating the control. 1. Car-Switch Operation. An operation wherein the movement and direction of travel of the car are directly and solely under the control of the operator by means of a manually operated car switch in the car. (N) Overhead Structure (Cathead). All of the structural members or platforms supporting the hoist machinery, sheaves, or equipment at the top of the hoistway. (O) Oxygen Deficient Atmosphere. An atmosphere containing oxygen at a concentration of less than 19.5 percent by volume. (P) Pit. That portion of a hoistway extending from the threshold level of the lowest landing door to the floor (ground or foundation) at the bottom of the hoistway. (Q) Rated Load. The load for which the hoist is designed and installed to lift at the rated speed. (R) Rated Speed. The speed in the up direction, with rated load in the car, at which a hoist is designed to operate. (S) Rope. Hoist wire ropes, governor wire ropes, and compensating wire ropes. (T) Runby. 1. Bottom Hoist-Car Runby. The distance between the car-buffer striker plate and the striking surface of the car buffer when the car floor is level with the bottom terminal landing. 2. Bottom Hoist-Counterweight Runby. The distance between the counterweight-buffer striker plate and the striking surface of the counterweight buffer when the car floor is level with the top terminal landing. (U) Safety, Car or Counterweight. A mechanical device attached to the car frame or to an auxiliary frame, or to the counterweight frame, to stop and hold the car or counterweight in case of predetermined over-speed or free fall, or if the hoisting ropes slacken. (V) Slack-Rope Switch. A device which automatically causes the power to be removed from the hoist driving-machine motor and applies the brake when the hoisting ropes of a winding-drum machine become slack. (W) Stopping Device. 1. Terminal Speed-Limiting Device. A device which automatically reduces the speed as a car approaches a terminal landing, independently of the functioning of the operating device and the normal-terminal stopping device, if these devices fail to slow down the car as intended. 2. Final-Terminal Stopping Device. A device which automatically causes the power to be removed from a hoist driving-machine motor and applies the brake independent of the functioning of the normal-terminal stopping device, the operating device, or an emergency terminal stopping device, after the car has passed terminal landings. 3. Normal-Terminal Stopping Device. A device or devices to slow down and stop a hoist car automatically at or near a terminal landing, independently of the functioning of the operating device. (X) Tower. A vertical structure which supports and guides the car (and the counterweight and overhead when used) within the tower structure. (Y) Travel (Rise). The vertical distance between the bottom terminal landing and the top terminal landing of a hoist. Platform. An elevated working area or surface used for supporting workers, materials and equipment. Powder-Actual Tools. (A) Cased Power Load. A power load with the propellant contained in a closed case. (B) Caseless Power Load. A power load with the propellant in solid form not requiring containment. (C) To Chamber. To fit the chamber exactly without force. (D) Fasteners. Any pins (unthreaded heads) or studs (threaded heads) driven by powder-actuated tools. (E) Fixture. A special shield which provides equivalent protection where the standard shield cannot be used. (F) Head. That portion of a fastener which extends above the work surface after being properly driven. (G) High-Velocity Tool. A tool whose velocity has been measured 10 times while utilizing the combination of: (1) The lightest commercially available fastener designed for the tool. (2) The strongest commercially available power load that will properly chamber in the tool that will produce an average velocity from the 10 tests in excess of 492 feet per second (150m/s). (H) Medium-Velocity Tool. A tool whose test velocity has been measured 10 times while utilizing the highest velocity combination of: (1) The lightest commercially available fastener designed for the tool. (2) The strongest commercially available power load that will properly chamber in the tool. (3) The piston designed for that tool and appropriate for that fastener that will produce an average test velocity from 10 tests in excess of 328 feet per second (100m/s) but not in excess of 492 feet per second (150m/s) with no single test having a velocity of 525 feet per second (160m/s). (I) Low-Velocity Tool. A tool whose test velocity has been measured 10 times while utilizing the highest velocity combination of: (1) The lightest commercially available fastener designed for the specific tool. (2) The strongest commercially available power load that will properly chamber in the tool. (3) The piston designed for that tool and appropriate for that fastener that will produce an average test velocity from the 10 tests not in excess of 328 feet per second (100m/s) with no single test having a velocity of over 354 feet per second (108m/s). (J) Misfire. A condition in which the power load fails to ignite after the tool has been operated. (K) Pole Tool Assembly. An attachment to a powder-actuated tool to facilitate remote operation. (L) Powder-Actuated Fastening System. A fastening system using a powder-actuated tool, a power load and a fastener. (M) Powder-Actuated Tool, also known as Tool. A tool that utilizes the expanding gases from a power load to drive a fastener. (N) Power Load. The energy source used in powder-actuated tools. (O) Shield. A device, attached to the muzzle end of a tool, which is designed to confine flying particles. (P) Spalled Area. A damaged and nonuniform concrete or masonry surface, such as one damaged by a blow or a previously unsuccessful fastening. (Q) Valid Operator's Card. A card issued by a qualified and authorized instructor which certifies the holder of the card has been trained in the proper operation of and is currently authorized to use the tool or tools specified on such card. Precast Concrete. Concrete members (such as walls, panels, slabs, columns, and beams) which have been formed, cast, and cured prior to final placement in a structure. Positioning Device System. A body belt or body harness system rigged to allow an employee to be supported on an elevated surface, such as a wall, and work with both hands free while leaning. Qualified Person, Attendant or Operator. A person designated by the employer who by reason of training, experience or instruction has demonstrated the ability to safely perform all assigned duties and, when required, is properly licensed in accordance with federal, state, or local laws and regulations. Radiant Energy. Energy that travels outward in all directions from its source. Railing. A barrier consisting of a top rail and a midrail secured to uprights and erected along the exposed sides and ends of platforms. Ramp. A surfaced sloping passageway connecting two different levels. Readily Available. Means in a location with no obstacles to prevent immediate acquisition for use. Reeving. A rope system in which the rope travels around drums and sheaves. Reshoring. The construction operation in which shoring equipment (also called reshores or reshoring equipment) is placed, as the original forms and shores are removed, in order to support partially cured concrete and construction loads. Roofing (or Bearer) Bracket. A bracket used in slope roof construction, having provisions for fastening over the ridge and secured to some suitable object. Rope. Refers to wire rope unless otherwise specified. Rope Grab. A deceleration device which travels on a lifeline and automatically, by friction, engages the lifeline and locks so as to arrest the fall of an employee. A rope grab usually employs the principle of inertial locking, cam/level locking, or both. ROPS. ROPS means roll-over protective structure. Runway. An elevated passageway. S.A.E. S.A.E. means Society of Automotive Engineers. Safety Belt or Harness. A device specifically for the purpose of securing, suspending, or retrieving a worker in or from a hazardous work area. Safety Factor. Ratio of the ultimate breaking strength of a member or piece of material or equipment to the actual working stress or safe load when in use. Safety Line. One that is provided to protect a worker from falls caused by failure of scaffolds, working platforms, or loss of balance, and shall extend to within 4 feet of ground or other stable surface. Safety-Monitoring System. A safety system in which a competent person is responsible for recognizing and warning employees of fall hazards. Self-Retracting Lifeline/Lanyard. A deceleration device containing a drum-wound line which can be slowly extracted from, or retracted onto, the drum under slight tension during normal employee movement, and which, after onset of a fall, automatically locks the drum and arrests the fall. Safety Strap. A web strap designed specifically for use in conjunction with a linemen's belt as an aid in climbing poles and to secure the employee to the pole in a manner that permits work with both hands. Scaffolds and Staging. (A) Scaffold. Any temporary, elevated structure used for the support of a platform. Note: The term "scaffold" is used with inclusion of the platform and all supporting members when reference is made to loading factors. (B) Scaffold, Engineered. Scaffold designed by a Civil Engineer currently registered in the State of California and experienced in scaffold design. (C) Scaffold, Light-Duty. A scaffold designed and constructed to carry a working load of 25 pounds per square foot of scaffold platform, including weight of materials and workers on the platform. Note: Load requirements for light-duty interior scaffolds are contained in Section 1640(c)(1). (D) Scaffold, Medium-Duty. A scaffold designed and constructed to carry a working load of 50 pounds per square foot of scaffold platform, including weight of materials and workers on the platform. (E) Scaffold, Heavy-Duty. A scaffold designed and constructed to carry a working load of 75 pounds per square foot of scaffold platform, including weight of materials and workers on the platform. (F) Scaffold, Special-Duty. A scaffold designed and constructed to carry a working load that exceeds 75 pounds per square foot of scaffold platform, including weight of materials and workers on the platform. (G) Ledger. The horizontal member of a scaffold that runs at right angles to the wall and directly supports the planking of the platform. (H) Ribbon. The horizontal member in a scaffold which runs from upright to upright parallel to the building and is normally placed directly under the ledger. (I) Uprights. The vertical members of a pole scaffold, such as posts, poles, or columns. (J) Scaffold, Outrigger. A scaffold not suspended by ropes, that is supported by outrigger beams cantilevered out from the structure to which they are anchored. (K) Scaffold, Suspended. A scaffold suspended from above by ropes or cables and rigged with pulley blocks, winches, or equivalent, so that the scaffold elevation is easily adjustable. (L) Scaffold, Suspended, Power-Driven. Any suspended scaffold equipped with 1 or more power units for raising or lowering that are a part of and travel with the scaffold. (M) Thrust-Out. The beam extending out from a structure to support a suspended scaffold. (N) Stud Jack. A scaffold device of metal with saw-like teeth that grip the stud when the load is applied, and having a cantilevered ledger for the support of a working platform. (O) Catenary or Stretch Cables. Cables for the support of staging, that are secured at each end and extend in a nearly horizontal plane. The staging is placed on and supported by these cables. (P) Boatswain's Chair. A seat which may be raised or lowered by means of attached rigging which suspends it and the seated worker from above. (Q) Working Load. Load imposed by workers, materials and equipment. (R) Brace. A tie that holds one scaffold member in a fixed position with respect to another. (S) Coupler. A device for locking together the component parts of a tubular metal scaffold. (The material used for the couplers shall be of a structural type, such as drop-forged steel, malleable iron, or structural grade aluminum.) (T) Maximum Rated Load. The total of all loads including the working load, the weight of the scaffold, and such other loads that may be reasonably anticipated. (U) Scaffold, Bricklayer's Square. A scaffold composed of framed wood squares which support a platform. (V) Scaffold, Carpenter's Bracket. A scaffold consisting of wood or metal brackets that support a platform. (W) Scaffold, Float. A scaffold hung from overhead supports by means of ropes and usually consisting of a3/4-inch plywood platform supported by 2 securely fastened bearers. (X) Scaffold, Horse. A scaffold composed of horses supporting a work platform. (Y) Scaffold, Interior Hung. A scaffold suspended from the ceiling or roof structure. (Z) Scaffold, Ladder Jack. A light trade scaffold supported by brackets attached to ladders. (AA) Scaffold, Manually Propelled Mobile. (See Rolling Scaffold.) (BB) Scaffold, Needle Beam. (See Outrigger Scaffold.) (CC) Scaffold, Pole. A scaffold built of one or two rows of vertical members, horizontal ledgers, platform planks, ribbons and braces. (DD) Scaffold, Rolling. A portable rolling scaffold supported by caster wheels. (EE) Scaffold, Tube and Coupler. An assembly consisting of tubing which serves as posts, ledgers, ribbons, ties and braces, a base supporting the posts, and special couplers which serve to connect the uprights and to join the various members. (FF) Scaffold, Tubular Welded Frame. A sectional panel or frame metal scaffold substantially built-up of prefabricated, welded sections which consist of posts and horizontal ledgers with intermediate members. (GG) Scaffold, Window Jack. A scaffold, the platform of which is supported by a bracket or jack which projects through a window opening. (HH) Scaffold, Wooden Pole. A scaffold built of one or two rows of vertical members (uprights), horizontal ledgers, platform planks, ribbons and braces. A single pole scaffold consists of one row of uprights and a double pole scaffold consists of two rows of uprights. Shall. Mandatory. Sheet Pile. A pile, or sheeting, that may form one of a continuous interlocking line, or a row of timber, concrete, or steel piles, driven in close contact to provide a tight wall to resist the lateral pressure of water, adjacent earth, or other materials. Shore. A supporting member that resists a compressive force imposed by a load. Should. Recommended. Side Pull or Side Loading. A load applied at any angle to the vertical plane of the boom. Skip. A container with sides in which materials are hoisted. Snaphook. A connector comprised of a hook-shaped member with a normally closed keeper, or similar arrangement, which may be opened to permit the hook to receive an object and, when released, automatically closes to retain the object. Stairs, Stairways. A series of steps and landings having 2 or more risers leading from one level or floor to another. Standard. Standard as referred to ladders, ROPS, railings, etc., means as described elsewhere in the Orders, ultimately based upon standards established by ANSI, SAE, engineers competent in specialized fields, equipment manufacturers and other duly recognized authorities. Standing Rope (Guy). A supporting rope which maintains a constant distance between the points of attachment to the two components connected by the rope. Story. That portion of a building included between the upper surface of any floor and the upper surface of the floor next above, except that the topmost story shall be that portion of a building included between the upper surface of the topmost floor and the ceiling or roof above. If the finished floor level directly above a basement, cellar or unused underfloor space is more than 6 feet above grade as defined herein for more than 50 percent of the total perimeter or is more than 12 feet above grade as defined herein at any point, such basement, cellar or unused underfloor space shall be considered as a story. Structural Competence. The ability of the machine and its components to withstand the stresses imposed by applied loads. Structure. That which is built or constructed, an edifice or building of any kind, or any piece of work artificially built up or composed of parts joined together in some definite manner. Toeboard. A barrier secured along the sides and ends of a platform at the platform level used to guard against the falling of material. Trench Jack. Screw, pneumatic or hydraulic type jacks used as cross bracing in a trench shoring system. Trench Shield. A shoring system composed of plates and bracing, welded or bolted together, which can safely support the walls of a trench from the ground level to the trench bottom and which can be moved along as work progresses. Unprotected Sides and Edges. Any side or edge (except at entrances to points of access) of a walking/working surface, e.g., floor, roof, ramp, or runway where there is no wall or standard guardrail or protection provided. Vertical Slip Forms. Forms which are jacked vertically during placement of concrete. Wall opening. A gap or void 30 inches or more high and 18 inches or more wide, in a wall or partition, through which employees can fall to a lower level. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. s 1505. Approvals. (a) Approvals. (1) When the term "approved" is used in these orders, it shall refer to products, materials, devices, systems, or installations that have been approved, listed, labeled, or certified as conforming to applicable governmental or other nationally recognized standards, or applicable scientific principles. The approval, listing, labeling, or certification of conformity, shall be based upon an evaluation performed by a person, firm, or entity with appropriate registered engineering competence or by a person, firm, or entity, independent of the manufacturer or supplier of the product, with demonstrated competence in the field of such evaluation. EXCEPTION: Where written approval by the Division is required in these orders. (2) The term "approved" shall also refer to products, materials, devices, systems, or installations that have been approved, listed, labeled, or certified by a Nationally Recognized Testing Laboratory (NRTL). (b) The division may require proof in addition to that under (a) that the products, materials, devices, systems, or installations will provide reasonable safety under the conditions of use. (c) When these orders require an approval of products, materials, devices, systems, or installations and that approval is not available under (a), it will be necessary to submit to the division engineering calculations, stress analyses, and other data for each design, model, or make for which an approval is requested. The division will then approve or disapprove the product, material, device, system, or installation as submitted or under specified conditions. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. s 1508. Permits. Note: Authority cited: Section 142.3, Labor Code. s 1509. Injury and Illness Prevention Program. (a) Every employer shall establish, implement and maintain an effective Injury and Illness Prevention Program in accordance with section 3203 of the General Industry Safety Orders. (b) Every employer shall adopt a written Code of Safe Practices which relates to the employer's operations. The Code shall contain language equivalent to the relevant parts of Plate A-3 of the Appendix. (c) The Code of Safe Practices shall be posted at a conspicuous location at each job site office or be provided to each supervisory employee who shall have it readily available. (d) Periodic meetings of supervisory employees shall be held under the direction of management for the discussion of safety problems and accidents that have occurred. (e) Supervisory employees shall conduct "toolbox" or "tailgate" safety meetings, or equivalent, with their crews at least every 10 working days to emphasize safety. Note: Authority cited: Sections 142.3 and 6401.7, Labor Code. Reference: Sections 142.3 and 6401.7, Labor Code. s 1510. Safety Instructions for Employees. (a) When workers are first employed they shall be given instructions regarding the hazards and safety precautions applicable to the type of work in question and directed to read the Code of Safe Practices. (b) The employer shall permit only qualified persons to operate equipment and machinery. (c) Where employees are subject to known job site hazards, such as, flammable liquids and gases, poisons, caustics, harmful plants and animals, toxic materials, confined spaces, etc., they shall be instructed in the recognition of the hazard, in the procedures for protecting themselves from injury, and in the first aid procedure in the event of injury. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. s 1511. General Safety Precautions. (a) No worker shall be required or knowingly permitted to work in an unsafe place, unless for the purpose of making it safe and then only after proper precautions have been taken to protect the employee while doing such work. (b) Prior to the presence of its employees, the employer shall make a thorough survey of the conditions of the site to determine, so far as practicable, the predictable hazards to employees and the kind and extent of safeguards necessary to prosecute the work in a safe manner in accordance with the relevant parts of Plate A-2-a and b of the Appendix. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. s 1512. Emergency Medical Services. (a) Provision of Services. Where more than one employer is involved in a single construction project on a given construction site, each employer is responsible to ensure the availability of emergency medical services for its employees. The employers on the project may agree to ensure employee access to emergency medical services for the combined work force present at the job site. Such an emergency medical service program shall be adequate to service the combined work force present, but only one emergency medical program need be established at such site. (b) Appropriately Trained Person. Each employer shall ensure the availability of a suitable number of appropriately trained persons to render first aid. Where more than one employer is involved in a single construction project on a given construction site, the employers may form a pool of appropriately trained persons. However, such pool shall be large enough to service the combined work forces of such employers. Exception: Engineering contractors or service providers on a job site not engaged in construction activity (e.g., operation of tools, equipment or machinery directly associated with construction) that are in compliance with the requirements of Section 3400(b) of the General Industry Safety Orders. (c) First-Aid Kit. (1) Every employer working on or furnishing personnel on a construction project, on line crews and on other short duration or transient jobs shall provide at least one first-aid kit in a weatherproof container. The contents of the first-aid kit shall be inspected regularly to ensure that the expended items are promptly replaced. The contents of the first-aid kit shall be arranged to be quickly found and remain sanitary. First-aid dressings shall be sterile in individually sealed packages for each item. The minimum first-aid supplies shall be determined by an employer-authorized, licensed physician or in accordance with the following Table: Type of Supply Required by Number of Employees Supplies for First Aid ................................................. over Dressings in adequate quantities consisting of: ......................................... 1-5 .. 6-15 .. 16-200 .. 200 1. Adhesive dressings ........................ X .... X ..... X ....... X 2. Adhesive tape rolls, 1-inch wide .......... X .... X ..... X ....... X 3. Eye dressing packet ....................... X .... X ..... X ....... X 4. 1-inch gauze bandage roll or compress ..... X .... X ..... X 5. 2-inch gauze bandage roll or compress ..... X .... X ..... X ....... X 6. 4-inch gauze bandage roll or compress ..... X .... X ..... X 7. Sterile gauze pads, 2-inch square ......... X .... X ..... X ....... X 8. Sterile gauze pads, 4-inch square ......... X .... X ..... X ....... X 9. Sterile surgical pads suitable for pressure dressings ........................ X .... X 10. Triangular bandages ....................... X .... X ..... X ....... X 11. Safety pins ............................... X .... X ..... X ....... X 12. Tweezers and scissors ..................... X .... X ..... X ....... X [FNa1] Additional equipment in adequate quantities consisting of: 13. Cotton-tipped applicators ................................ X ....... X 14. Forceps .................................................. X ....... X 15. Emesis basin ............................................. X ....... X 16. Flashlight ............................................... X ....... X 17. Magnifying glass ......................................... X ....... X 18. Portable oxygen and its breathing equipment ................................................ X 19. Tongue depressors ......................... X Appropriate record forms ...................... X .... X ..... X ....... X Up-to-date 'standard' or 'advanced' first-aid textbook, manual or equivalent ................................... X .... X ..... X ....... X [FNa1] To be readily available but not necessarily within the first-aid kit. (2) Other supplies and equipment, when provided, shall be in accordance with the documented recommendations of an employer-authorized, licensed physician upon consideration of the extent and type of emergency care to be given based upon the anticipated incidence and nature of injuries and illnesses and availability of transportation to medical care. (3) Drugs, antiseptics, eye irrigation solutions, inhalants, medicines, or proprietary preparations shall not be included in first-aid kits unless specifically approved, in writing, by an employer-authorized, licensed physician. (d) Informing Employees of Emergency Procedures. Each employer shall inform all of his employees of the procedure to follow in case of injury or illness. (e) Provision for Obtaining Emergency Medical Services. Proper equipment for the prompt transportation of the injured or ill person to a physician or hospital where emergency care is provided, or an effective communication system for contacting hospitals or other emergency medical facilities, physicians, ambulance and fire services, shall be provided. The telephone numbers of the following emergency services in the area shall be posted near the job telephone, telephone switchboard, or otherwise made available to the employees where no job site telephone exists: (1) A physician and at least one alternate if available. (2) Hospitals. (3) Ambulance services. (4) Fire-protection services. (f) Emergency Washing Facilities. Where the eyes or body of any person may be exposed to injurious or corrosive materials, suitable facilities for drenching the body or flushing the eyes with clean water shall be conspicuously and readily accessible. (g) Emergency Call Systems. A two-way voice emergency communication system shall be installed, for buildings and structures five or more floors or 48 feet or more above or below ground level, to notify persons designated in the emergency medical services plan. The location and condition of the employee shall be able to be communicated over the system. The use of the construction passenger elevators for medical emergencies shall take precedence over all other use. Exception: Where jobsite conditions prevent or impair the communication of the required information over the system, an alternative system acceptable to the Division shall be used. (h) Basket Litter. At least one basket or equally appropriate litter equipped with straps and two blankets, or other similar warm covering, shall be provided for each building or structure five or more floors or 48 feet or more either above or below ground level. (i) Written Plan. The employer shall have a written plan to provide emergency medical services. The plan shall specify the means of implementing all applicable requirements in this section. When employers form a combined emergency medical services program with appropriately trained persons, one written plan will be considered acceptable to comply with the intent of this subsection. Note: The provisions of Section 1512 are not intended to exclude immediate treatment of minor injuries which do not require the services of a physician. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. s 1513. Housekeeping. (a) During the course of construction, alteration, or repairs, form and scrap lumber with protruding nails and all other debris shall be kept reasonably cleared from work areas, passageways, and stairs in and around buildings or other structures. (b) The ground area within 6 feet of a building under construction shall be reasonable free from irregularities wherever it is practicable to attain this condition by grading or similar methods, and open ditches shall be bridged to provide passageways at convenient places. (c) Material storage areas and walkways on the construction site shall be maintained reasonably free of dangerous depressions, obstructions, and debris. (d) Combustible debris accumulated within the building or structure shall be removed promptly during the course of construction. Safe means shall be provided to expedite such removal. (e) Flammable or hazardous wastes shall be placed in covered containers separate from the normal debris. (f) All waste shall be disposed of at intervals determined by the rate of accumulation and capacity of the job site container. (g) Waste, materials, or tools shall not be thrown from buildings or structures to areas where employee(s) may be located, unless the area where the material falls is guarded by fences, barricades, or other methods/means to prevent employee(s) from entering and being struck by falling objects. Signs shall be posted to warn employees of the hazard. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. s 1514. Personal Protective Devices. (a) The employer shall require employees to use the required personal protective equipment. (b) Personal protective equipment required by these orders shall be approved and distinctly marked so as to facilitate identification. EXCEPTION: Employer manufactured shields, barriers, etc. (c) Personal protective equipment shall be used in accordance with the manufacturer's instructions. (d) The employer shall assure that employee-owned personal protective equipment complies with these regulations and that this equipment is maintained in a safe, sanitary condition. (e) Protectors shall be of such design, fit and durability as to provide adequate protection against the hazards for which they are designed. They shall be reasonably comfortable and shall not unduly encumber the employee's movements. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. s 1515. Head Protection. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. s 1516. Eye and Face Protection. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. s 1517. Foot Protection. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. s 1518. Protection from Electric Shock. (a) Suitable protective equipment or devices shall be provided and used on or near energized equipment for the protection of employees where there is a recognized hazard of electrical shock or burns. (b) When protective insulating equipment is used, it shall comply with the Electrical Safety Orders. (c) In lieu of other protective equipment, barricades shall be used to provide protection from exposed, energized equipment. (d) Before work is begun, the employer shall ascertain by inquiry, direct observation, or by instruments, whether any part of an energized electric power circuit, exposed or concealed, is so located that the performance of the work may bring any person, tool or machine into physical or electrical contact with the electric power circuit. (1) Where such circuits exist, a legible marking shall be made indicating the presence and location of the energized circuit(s), or warning signs shall be posted in accordance with Section 3340 of the General Industry Safety Orders. (2) The employer shall advise the employee of the location of such energized circuits, the hazards involved, and the protective measures to be taken in accordance with Section 1509 of these Orders. Note:Section 1518(d) applies to electrical installations present on the jobsite which do not involve excavations. For electrical installations involving excavations as defined in Section 1540, see Section 1541. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. s 1519. Sanitation. Personal protective equipment shall be kept clean and in good repair. Safety devices, including protective clothing worn by the employee, shall not be interchanged among the employees until properly cleaned. EXCEPTION: Safety devices worn over shoes or outer clothing, no part of which contacts the skin of the wearer, such as metal footguards. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. s 1520. Hand Protection. Hand protection shall be required for employees whose work involves unusual and excessive exposure to cuts, burns, harmful physical or chemical agents or radioactive materials which are encountered and capable of causing injury or impairments. EXCEPTION: Hand protection shall not be required where there is a danger of the hand protection becoming caught in moving machinery or materials. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. s 1521. Ear Protection. Where required by Section 5096(b) of the General Industry Safety Orders, ear protection shall be provided by the employer and the employer shall require employees to wear the ear protection. Note: Authority and reference cited: Section 142.3, Labor Code. s 1522. Body Protection. (a) Appropriate body protection shall be required for those employees whose work exposes them to injurious materials. Note: Employees should be cautioned to wash promptly and thoroughly after exposure to injurious substances. (b) Clothing appropriate for the work being done shall be worn. Loose sleeves, tails, ties, frills, lapels, cuffs, or other loose clothing shall not be worn around machinery in which it might become entangled. (c) Clothing saturated or impregnated with flammable liquids, corrosive substances, irritants, or oxidizing agents shall be promptly removed, and shall not be worn until cleaned. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. s 1523. Illumination. (a) Construction areas, ramps, corridors, offices, shops and storage areas, etc., shall be lighted to not less than the minimum illumination intensities in the following Table while work is in progress. Minimum Illumination Intensities In Foot-Candles Foot-Candles .. Area or Operation 3............ General construction area lighting low activity. 5............ Outdoor active construction areas, concrete placement, excavation and waste areas, accessways, active storage areas, loading platforms, refueling, and field maintenance areas. 5............ Indoors: warehouses, corridors, hallways, stairways, and exit-ways. 10............. General construction plant and shops (e.g., batch plants, screening plants, mechanical and electrical equipment rooms, carpenter shops, rigging lofts and active storerooms, barracks or living quarters, locker or dressing rooms, mess halls and indoor toilets and workrooms). 10............. Nighttime highway construction work. 30............. First-aid stations, infirmaries, and offices. Note:For areas or operations not covered above, refer to the recommended illumination values contained in the Illuminating Engineering Society (IES) of North America, Committee on Industrial Lighting, American National Standard, (ANSI/IES) Practice for Industrial Lighting, Publication RP-7-1991. (b) Nighttime highway construction work lighting shall be provided within the work zone to illuminate the task(s) in a manner that will minimize glare to work crews and not interfere with the vision of oncoming motorists (e.g. providing screens, mounting lamps below the top edge of the barrier wall, varying the beam angle, etc.) Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. s 1524. Water Supply. (a) Potable Water. (1) An adequate supply of potable water shall be provided in all places of employment. (2) Portable containers used to dispense drinking water shall be equipped with a faucet or drinking fountain, shall be capable of being tightly closed and shall be otherwise designed, constructed and serviced so that sanitary conditions are maintained. Water shall not be dipped from containers. (3) Any container used to store or dispense drinking water shall be clearly marked as to the nature of its contents and shall not be used for any other purpose. (4) Where drinking fountains are not provided, single-service cups (to be used but once) shall be supplied. Where single-service cups are supplied, a sanitary container for the unused cups and a receptacle for disposing of the used cups shall be provided. (b) Nonpotable Water. (1) Nonpotable water shall not be used for the purposes of drinking, washing, or food preparation. (2) Outlets for nonpotable water, such as water for industrial or firefighting purposes, shall be posted in a manner understandable to all employees to indicate that the water is unsafe and is not to be used for drinking, washing or cooking purposes. (3) Nonpotable water systems or systems carrying any other nonpotable substance shall be maintained so as to prevent backflow or backsiphonage into a potable water system. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. s 1525. Glass. (a) Employees shall be protected against the hazard of walking through glass by barriers or by conspicuous durable markings. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. s 1526. Toilets at Construction Jobsites. (a) A minimum of one separate toilet facility shall be provided for each 20 employees or fraction thereof of each sex. Such facilities may include both toilets and urinals provided that the number of toilets shall not be less than one half of the minimum required number of facilities. EXCEPTION: Where there are less than 5 employees, separate toilet facilities for each sex are not required provided the toilet facilities can be locked from the inside and contain at least one toilet. (b) Under temporary field conditions, not less than one toilet shall be available. (c) Where the provision of water closets is not feasible due to the absence of a sanitary sewer or the lack of an adequate water supply, nonwater carriage disposal facilities shall be provided. Unless prohibited by applicable local regulations, these facilities may include privies (where their use will not contaminate either surface or underground waters), chemical toilets, recirculating toilets, or combustion toilets. (d) Toilet facilities shall be kept clean, maintained in good working order, designed and maintained in a manner which will assure privacy and provided with an adequate supply of toilet paper. (e) The requirements of this section shall not apply to mobile crews having readily available transportation to nearby toilet facilities. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. s 1527. Washing Facilities, Food Handling, and Temporary Sleeping Quarters. (a) Washing Facilities. (1) General. Washing facilities shall be provided as follows: A minimum of one washing station shall be provided for each twenty employees or fraction thereof. Washing stations provided to comply with this requirement shall at all times: (A) Be maintained in a clean and sanitary condition; (B) Have an adequate supply of water for effective washing; (C) Have a readily available supply of soap or other suitable cleansing agent; (D) Have a readily available supply of single-use towels or a warm-air blower; (E) Be located and arranged so that any time a toilet is used, the user can readily wash; and (F) When provided in association with a nonwater carriage toilet facility in accordance with Section 1526(c), 1. Provide a sign or equivalent method of notice indicating that the water is intended for washing; and 2. Be located outside of the toilet facility and not attached to it. Exception to subsection (a)(1)(F)(2.): Where there are less than 5 employees, and only one toilet facility is provided, the required washing facility may be located inside of the toilet facility. Exception to subsection (a)(1): Mobile crews having readily available transportation to a nearby toilet and washing facility. (2) Washing facilities for hazardous substances. Where employees are engaging in the application of paints or coatings, or in other operations involving substances which may be harmful to the employees, washing facilities shall be provided in near proximity to the worksite and shall be so equipped as to enable employees to remove such substances. Facilities provided to comply with this requirement shall at all times: (A) Be maintained in a clean and sanitary condition; (B) Have an adequate supply of water sufficient for effective removal of the hazardous substance from skin surfaces; and (C) Have a readily available supply of soap, and where necessary to effect removal, special cleansing compounds designed specifically for removal of the hazardous substance from skin surfaces; and (D) Have a readily available supply of single use towels or a warm-air blower. (3) Showers. When showering is required by the employer or these orders, the shower shall meet the requirements of Section 3366(f). (b) Food Handling. All food service facilities and operations shall meet the applicable laws, ordinances, and regulations of the jurisdictions in which they are located (c) Temporary Sleeping Quarters. When temporary sleeping quarters are provided, they shall be heated, ventilated, and lighted and shall meet the applicable laws, ordinances and regulations of the jurisdictions in which they are located. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 142.3, Labor Code. s 1528. General. (a) Whenever an oxygen deficient atmosphere or harmful dusts, fumes, mists, vapors, or gases exist or are produced in the course of employment in quantities giving rise to harmful exposure of employees, such hazards shall be controlled by removing the employees from exposure to the hazard, by limiting the daily exposure of employees to the hazard, or by application of engineering controls. Whenever such controls are not practicable or fail to achieve full compliance, respiratory protective equipment shall be provided as prescribed in Section 1531. (b) Employees exposed to hazardous substances shall be protected as required by Group 16 of the General Industry Safety Orders. (c) When ventilation is used as an engineering control method, the system shall be installed and operated according to the requirements of this Article. (d) The spraying of any substance containing any amount of asbestos in or upon a building or other structure during its construction, alteration or repair is prohibited. EXCEPTIONS: 1. Exterior and interior coatings and laminating resins containing encapsulated asbestos fibers bound within the finished product from manufacture through application. 2. Cold process asphalt roof coatings. 3. Substances containing less than one-quarter of 1 percent asbestos solely as a result of naturally occurring impurities in the substance or its components. Note: Authority cited: Section 142.3, Labor Code. Reference: Section 25910, Health and Safety Code; and Section 142.3, Labor Code. s 1529. Asbestos. (a) Scope and application. (1) This section regulates asbestos exposure in all construction work as defined in Section 1502 including but not limited to the following: (A) Demolition or salvage of structures where asbestos is present; (B) Removal or encapsulation of materials containing asbestos; (C) Construction, alteration, repair, maintenance, or renovation of structures, substrates, or portions thereof, that contain asbestos; (D) Installation of products containing asbestos; (E) Asbestos spill/emergency cleanup; (F) Transportation, disposal, storage, containment of and housekeeping activities involving asbestos or products containing asbestos, on the site or location at which construction activities are performed; (G) Excavation which may involve exposure to asbestos as a natural constituent which is not related to asbestos mining and milling activities; (H) Routine facility maintenance; and (I) Erection of new electric transmission and distribution lines and equipment, and alteration, conversion and improvement of the existing transmission and distribution lines and equipment. (2) Whenever employee exposures to asbestos, as defined in subsection (b) of this section consist only of exposure to tremolite, anthophyllite, and actinolite in the nonasbestiform mineral habit, the provisions of Section 5208.1 shall apply. (3) The provisions of this section are subject to the requirements of the Occupational Carcinogen Control Act of 1976 (Labor Code, Division 5, Part 10). (4) Coverage under this Section shall be based on the nature of the work operation involving asbestos exposure. (b) Definitions. "Aggressive-method" means removal or disturbance of building material by sanding, abrading, grinding or other method that breaks, crumbles, or disintegrates intact ACM. "Amended water" means water to which surfactant (wetting agent) has been added to increase the ability of the liquid to penetrate ACM. "Asbestos" includes chrysotile, amosite, crocidolite, tremolite asbestos, anthophyllite asbestos, actinolite asbestos, and any of these minerals that has been chemically treated and/or altered. For purposes of this standard, "asbestos" includes PACM, as defined below. "Asbestos-containing material (ACM)", means any material containing more than one percent asbestos. "Assistant Secretary" means the Assistant Secretary of Labor for Occupational Safety and Health, U.S. Department of Labor, or designee. "Authorized person" means any person authorized by the employer and required by work duties to be present in regulated areas. "Building/facility owner" is the legal entity, including a lessee, which exercises control over management and record keeping functions relating to a building and/or facility in which activities covered by this standard take place. "Certified Industrial Hygienist (CIH)" means one certified in the practice of industrial hygiene by the American Board of Industrial Hygiene. "Chief" means the Chief of the Division of Occupational Safety and Health, P.O. Box 420603, San Francisco, CA 94142. "Class I asbestos work" means activities involving the removal of TSI and surfacing ACM and PACM. "Class II asbestos work" means activities involving the removal of ACM which is not thermal system insulation or surfacing material. This includes, but is not limited to, the removal of asbestos-containing wallboard, floor tile and sheeting, roofing and siding shingles, and construction mastics. "Class III asbestos work" means repair and maintenance operations, where "ACM", including TSI and surfacing ACM and PACM, is likely to be disturbed. "Class IV asbestos work" means maintenance and custodial activities during which employees contact but do not disturb ACM or PACM and activities to clean up dust, waste and debris resulting from Class I, II, and III activities. "Clean room" means an uncontaminated room having facilities for the storage of employees' street clothing and uncontaminated materials and equipment. "Closely resemble" means that the major workplace conditions which have contributed to the levels of historic asbestos exposure, are no more protective than conditions of the current workplace. "Competent person" means, in addition to one who is capable of identifying existing and predictable hazards in the surroundings or working conditions which are unsanitary, hazardous, or dangerous to employees, and who has authorization to take prompt corrective measures to eliminate them, one who is capable of identifying existing asbestos hazards in the workplace and selecting the appropriate control strategy for asbestos exposure, who has the authority to take prompt corrective measures to eliminate them: in addition, for Class I and Class II work who is specially trained in a training course which meets the criteria of EPA's Model Accreditation Plan (40 CFR part 763) for supervisor, or its equivalent and, for Class III and Class IV work, who is trained in a manner consistent with EPA requirements for training of local education agency maintenance and custodial staff as set forth at 40 CFR 763.92 (a)(2). Note: For operations involving more than 100 square feet of asbestos containing construction material as defined in subsection (r) of this section the competent person may fulfill the requirement contained in Section 341.9 to specify a certified supervisor for asbestos related work. "Critical barrier" means one or more layers of plastic sealed over all openings into a work area or any other similarly placed physical barrier sufficient to prevent airborne asbestos in a work area from migrating to an adjacent area. "Decontamination area" means an enclosed area adjacent and connected to the regulated area and consisting of an equipment room, shower area, and clean room, which is used for the decontamination of workers, materials, and equipment that are contaminated with asbestos. "Demolition" means the wrecking or taking out of any load- supporting structural member and any related razing, removing, or stripping of asbestos products. "Director" means the Director, National Institute for Occupational Safety and Health, U.S. Department of Health and Human Services, or designee. "Disturbance" means activities that disrupt the matrix of ACM or PACM, crumble or pulverize ACM or PACM, or generate visible debris from ACM or PACM. Disturbance includes cutting away small amounts of ACM and PACM, no greater than the amount which can be contained in one standard sized glove bag or waste bag in order to access a building component. In no event shall the amount of ACM or PACM so disturbed exceed that which can be contained in one glove bag or waste bag which shall not exceed 60 inches in length and width. "Employee exposure" means that exposure to airborne asbestos that would occur if the employee were not using respiratory protective equipment. "Equipment room (change room)" means a contaminated room located within the decontamination area that is supplied with impermeable bags or containers for the disposal of contaminated protective clothing and equipment. "Fiber" means a particulate form of asbestos, 5 micrometers or longer, with a length-to-diameter ratio of at least 3 to 1. "Glovebag" means an impervious plastic bag-like enclosure affixed around not more than a 60 x 60 inch asbestos-containing material, with glove-like appendages through which material and tools may be handled. "High-efficiency particulate air (HEPA) filter" means a filter capable of trapping and retaining at least 99.97 percent of all mono-dispersed particles of 0.3 micrometers in diameter. "Homogeneous area" means an area of surfacing material or thermal system insulation that is uniform in color and texture. "Industrial hygienist" means a professional qualified by education, training, and experience to anticipate, recognize, evaluate and develop controls for occupational health hazards. "Intact" means that the ACM has not crumbled, been pulverized, or otherwise deteriorated so that the asbestos is no longer likely to be bound with its matrix. "Modification" for purposes of subsection (g)(6), means a changed or altered procedure, material or component of a control system, which replaces a procedure, material or component of a required system. Omitting a procedure or component, or reducing or diminishing the stringency or strength of a material or component of the control system is not a "modification" for purposes of subsection (g)(6) of this section. "Negative Initial Exposure Assessment" means a demonstration by the employer, which complies with the criteria in subsection (f)(2)(C) of this section, that employee exposure during an operation is expected to be consistently below the PELs. "PACM" means "presumed asbestos-containing material". "Presumed Asbestos Containing Material" means thermal system insulation and surfacing material found in buildings constructed no later than 1980. The designation of a material as "PACM" may be rebutted pursuant to subsection (k)(5) of this section. "Project Designer" means a person who has successfully completed the training requirements for an abatement project designer established by 40 U.S.C. Sec. 763.90(g). "Regulated area" means: an area established by the employer to demarcate areas where Class I, II, and III asbestos work is conducted, and any adjoining area where debris and waste from such asbestos work accumulate; and a work area within which airborne concentrations of asbestos, exceed or there is a reasonable possibility they may exceed the permissible exposure limit. Requirements for regulated areas are set out in subsection (e) of this section. "Removal" means all operations where ACM and/or PACM is taken out or stripped from structures or substrates, and includes demolition operations. "Renovation" means the modifying of any existing structure, or portion thereof. "Repair" means overhauling, rebuilding, reconstructing, or reconditioning of structures or substrates, including encapsulation or other repair of ACM or PACM attached to structures or substrates. "Surfacing material" means material that is sprayed, troweled-on or otherwise applied to surfaces (such as acoustical plaster on ceilings and fireproofing materials on structural members, or other materials on surfaces for acoustical, fireproofing, and other purposes). "Surfacing ACM" means surfacing material which contains more than 1% asbestos. "Thermal system insulation (TSI)" means ACM applied to pipes, fittings, boilers, breeching, tanks, ducts or other structural components to prevent heat loss or gain. "Thermal system insulation ACM" is thermal system insulation which contains more than 1% asbestos. (c) Permissible exposure limits (PELS). (1) Time-weighted average limit (TWA). The employer shall ensure that no employee is exposed to an airborne concentration of asbestos in excess of 0.1 fiber per cubic centimeter of air as an eight (8) hour time-weighted average (TWA), as determined by the method prescribed in Appendix A to this section, or by an equivalent method. (2) Excursion limit. The employer shall ensure that no employee is exposed to an airborne concentration of asbestos in excess of 1.0 fiber per cubic centimeter of air (1 f/cc) as averaged over a sampling period of thirty (30) minutes, as determined by the method prescribed in Appendix A to this section, or by an equivalent method. (d) Multi-employer worksites. (1) On multi-employer worksites, an employer performing work requiring the establishment of a regulated area shall inform other employers on the site of the nature of the employer's work with asbestos and/or PACM, of the existence of and requirements pertaining to regulated areas, and the measures taken to ensure that employees of such other employers are not exposed to asbestos. (2) Asbestos hazards at a multi-employer work site shall be abated by the contractor who created or controls the source of asbestos contamination. For example, if there is a significant breach of an enclosure containing Class I work, the employer responsible for erecting the enclosure shall repair the breach immediately. (3) In addition, all employers of employees exposed to asbestos hazards shall comply with applicable protective provisions to protect their employees. For example, if employees working immediately adjacent to a Class I asbestos job are exposed to asbestos due to the inadequate containment of such job, their employer shall either remove the employees from the area until the enclosure breach is repaired; or perform an initial exposure assessment pursuant to subsection (f) of this section. (4) All employers of employees working adjacent to regulated areas established by another employer on a multi-employer work-site, shall take steps on a daily basis to ascertain the integrity of the enclosure and/or the effectiveness of the control method relied on by the primary asbestos contractor to assure that asbestos fibers do not migrate to such adjacent areas. (5) All general contractors on a construction project which includes work covered by this standard shall be deemed to exercise general supervisory authority over the work covered by this standard, even though the general contractor is not qualified to serve as the asbestos "competent person" as defined by subsection (b) of this section. As supervisor of the entire project, the general contractor shall ascertain whether the asbestos contractor is in compliance with this standard, and shall require such contractor to come into compliance with this standard when necessary. (e) Regulated areas. (1) All Class I, II and III asbestos work shall be conducted within regulated areas. All other operations covered by this standard shall be conducted within a regulated area where airborne concentrations of asbestos exceed, or there is a reasonable possibility they may exceed a PEL. Regulated areas shall comply with the requirements of subsections (2), (3), (4), and (5) of this subsection. (2) Demarcation. The regulated area shall be demarcated in any manner that minimizes the number of persons within the area and protects persons outside the area from exposure to airborne asbestos. Where critical barriers or negative pressure enclosures are used, they may demarcate the regulated area. Signs shall be provided and displayed pursuant to the requirements of subsection (k)(7) of this section. (3) Access. Access to regulated areas shall be limited to authorized persons and to persons authorized by the Chief or Director. (4) Respirators. All persons entering a regulated area where employees are required pursuant to subsection (h)(1) of this section to wear respirators shall be supplied with a respirator selected in accordance with subsection (h)(2) of this section. (5) Prohibited activities. The employer shall ensure that employees do not eat, drink, smoke, chew tobacco or gum, or apply cosmetics in the regulated area. (6) Competent Persons. The employer shall ensure that all asbestos work performed within regulated areas is supervised by a competent person, as defined in subsection (b) of this section. The duties of the competent person are set out in subsection (o) of this section. (f) Exposure assessments and monitoring. (1) General monitoring criteria. (A) Each employer who has a workplace or work operation where exposure monitoring is required under this section shall perform monitoring to determine accurately the airborne concentrations of asbestos to which employees may be exposed. (B) Determinations of employee exposure shall be made from breathing zone air samples that are representative of the 8-hour TWA and 30-minute short-term exposures of each employee. (C) Representative 8-hour TWA employee exposure shall be determined on the basis of one or more samples representing full-shift exposure for employees in each work area. Representative 30-minute short-term employee exposures shall be determined on the basis of one or more samples representing 30 minute exposures associated with operations that are most likely to produce exposures above the excursion limit for employees in each work area. (2) Initial Exposure Assessment. (A) Each employer who has a workplace or work operation covered by this standard shall ensure that a "competent person" conducts an exposure assessment immediately before or at the initiation of the operation to ascertain expected exposures during that operation or workplace. The assessment must be completed in time to comply with requirements which are triggered by exposure data or the lack of a "negative exposure assessment," and to provide information necessary to assure that all control systems planned are appropriate for that operation and will work properly. (B) Basis of Initial Exposure Assessment: Unless a negative exposure assessment has been made pursuant to subsection (f)(2)(C) of this section, the initial exposure assessment shall, if feasible, be based on monitoring conducted pursuant to subsection (f)(1)(C) of this section. The assessment shall take into consideration both the monitoring results and all observations, information or calculations which indicate employee exposure to asbestos, including any previous monitoring conducted in the workplace, or of the operations of the employer which indicate the levels of airborne asbestos likely to be encountered on the job. For Class I asbestos work, until the employer conducts exposure monitoring and documents that employees on that job will not be exposed in excess of the PELs, or otherwise makes a negative exposure assessment pursuant to subsection (f)(2)(C) of this section, the employer shall presume that employees are exposed in excess of the TWA and excursion limit. (C) Negative Exposure Assessment: For any one specific asbestos job which will be performed by employees who have been trained in compliance with the standard, the employer may demonstrate that employee exposures will be below the PELs by data which conform to the following criteria; 1. Objective data demonstrating that the product or material containing asbestos minerals or the activity involving such product or material cannot release airborne fibers in concentrations exceeding the TWA and excursion limit under those work conditions having the greatest potential for releasing asbestos; or 2. Where the employer has monitored prior asbestos jobs for the PEL and the excursion limit within 12 months of the current or projected job, the monitoring and analysis were performed in compliance with the asbestos standard in effect; and the data were obtained during work operations conducted under workplace conditions "closely resembling" the processes, type of material, control methods, work practices, and environmental conditions used and prevailing in the employer's current operations, the operations were conducted by employees whose training and experience are no more extensive than that of employees performing the current job, and these data show that under the conditions prevailing and which will prevail in the current workplace there is a high degree of certainty that employee exposures will not exceed the TWA and excursion limit; or 3. The results of initial exposure monitoring of the current job made from breathing zone air samples that are representative of the 8-hour TWA and 30- minute short-term exposures of each employee covering operations which are most likely during the performance of the entire asbestos job to result in exposures over the PELs. (3) Periodic monitoring. (A) Class I and II operations. The employer shall conduct daily monitoring that is representative of the exposure of each employee who is assigned to work within a regulated area who is performing Class I or II work, unless the employer pursuant to subsection (f)(2)(C) of this section, has made a negative exposure assessment for the entire operation. (B) All operations under the standard other than Class I and II operations. The employer shall conduct periodic monitoring of all work where exposures are expected to exceed a PEL, at intervals sufficient to document the validity of the exposure prediction. (C) Exception: When all employees required to be monitored daily are equipped with supplied-air respirators operated in the pressure demand mode, or other positive pressure mode respirator, the employer may dispense with the daily monitoring required by this subsection. However, employees performing class I work using a control method which is not listed in subsection (g)(4)(A), (B), or (C) of this section or using a modification of a listed control method, shall continue to be monitored daily even if they are equipped with supplied-air respirators. (4) Termination of monitoring. (A) If the periodic monitoring required by subsection (f)(3) of this section reveals that employee exposures, as indicated by statistically reliable measurements, are below the permissible exposure limit and excursion limit the employer may discontinue monitoring for those employees whose exposures are represented by such monitoring. (B) Additional monitoring. Notwithstanding the provisions of subsections (f)(2), (f)(3), and (f)(4) of this section, the employer shall institute the exposure monitoring required under subsection (f)(3) of this section whenever there has been a change in process, control equipment, personnel or work practices that may result in new or additional exposures above the permissible exposure limit and/or excursion limit or when the employer has any reason to suspect that a change may result in new or additional exposures above the permissible exposure limit and/or excursion limit. Such additional monitoring is required regardless of whether a "negative exposure assessment" was previously produced for a specific job. (5) Employee Notification of Monitoring Results. (A) As soon as possible but not later than 5 working days following receipt of monitoring results required by this section, the employer shall notify affected employees of the monitoring results. (B) The employer shall notify affected employees of the results of monitoring representing the employee's exposure in writing either individually or by posting at a centrally located place that is accessible to affected employees. (C) The written notification required by subsection (f)(5)(A) of this section shall include the corrective action being taken by the employer to reduce employee exposure to or below the PEL and/or excursion limit wherever monitoring results have indicated that the PEL and/or excursion limit has been exceeded. (6) Observation of monitoring. (A) The employer shall provide affected employees and their designated representatives an opportunity to observe any monitoring of employee exposure to asbestos conducted in accordance with this section. (B) When observation of the monitoring of employee exposure to asbestos requires entry into an area where the use of protective clothing or equipment is required, the observer shall be provided with and be required to use such clothing and equipment and shall comply with all other applicable safety and health procedures. (g) Methods of compliance (1) Engineering controls and work practices for all operations covered by this section. The employer shall use the following engineering controls and work practices in all operations covered by this section, regardless of the levels of exposure: (A) Vacuum cleaners equipped with HEPA filters to collect all debris and dust containing ACM and PACM, except as provided in subsection (g)(8)(B) of this section in the case of roofing material. (B) Wet methods, or wetting agents, to control employee exposures during asbestos handling, mixing, removal, cutting, application, and cleanup, except where employers demonstrate that the use of wet methods is infeasible due to for example, the creation of electrical hazards, equipment malfunction, and, in roofing, except as provided in subsection (g)(8)(B) of this section; and (C) Prompt clean-up and disposal of wastes and debris contaminated with asbestos in leak-tight containers except in roofing operations, where the procedures specified in subsection (g)(8)(B) of this section apply. (2) In addition to the requirements of subsection (g)(1) of this section, the employer shall use the following control methods to achieve compliance with the TWA permissible exposure limit and excursion limit prescribed by subsection (c) of this section; (A) Local exhaust ventilation equipped with HEPA filter dust collection systems; (B) Enclosure or isolation of processes producing asbestos dust; (C) Ventilation of the regulated area to move contaminated air away from the breathing zone of employees and toward a filtration or collection device equipped with a HEPA filter; (D) Use of other work practices and engineering controls that the Assistant Secretary can show to be feasible. (E) Wherever the feasible engineering and work practice controls described above are not sufficient to reduce employee exposure to or below the permissible exposure limit and/or excursion limit prescribed in subsection (c) of this section, the employer shall use them to reduce employee exposure to the lowest levels attainable by these controls and shall supplement them by the use of respiratory protection that complies with the requirements of subsection (h) of this section. (3) Prohibitions. The following work practices and engineering controls shall not be used for work related to asbestos or for work which disturbs ACM or PACM, regardless of measured levels of asbestos exposure or the results of initial exposure assessments: (A) High-speed abrasive disc saws that are not equipped with point of cut ventilator or enclosures with HEPA filtered exhaust air. (B) Compressed air used to remove asbestos, or materials containing asbestos, unless the compressed air is used in conjunction with an enclosed ventilation system designed to capture the dust cloud created by the compressed air. (C) Dry sweeping, shoveling or other dry clean-up of dust and debris containing ACM and PACM. (D) Employee rotation as a means of reducing employee exposure to asbestos. (4) Class I Requirements. In addition to the provisions of subsections (g)(1) and (2) of this section, the following engineering controls and work practices and procedures shall be used. (A) All Class I work, including the installation and operation of the control system shall be supervised by a competent person as defined in subsection (b) of this section; (B) For all Class I jobs involving the removal of more than 25 linear or 10 square feet of thermal system insulation or surfacing material; for all other Class I jobs, where the employer cannot produce a negative exposure assessment pursuant to subsection (f)(2)(C) of this section, or where employees are working in areas adjacent to the regulated area, while the Class I work is or being performed, the employer shall use one of the following methods to ensure that airborne asbestos does not migrate from the regulated area: 1. Critical barriers shall be placed over all the openings to the regulated area, except where activities are performed outdoors; or 2. The employer shall use another barrier or isolation method which prevents the migration of airborne asbestos from the regulated area, as verified by perimeter area surveillance during each work shift at each boundary of the regulated area, showing no visible asbestos dust; and perimeter area monitoring showing that clearance levels contained in 40 CFR Part 763, Subpart E, of the EPA Asbestos in Schools Rule are met, or that perimeter area levels, measured by Phase Contrast M