Chapter 3.2. California Occupational Safety and Health Regulations (CAL/OSHA)
Subchapter 1. Regulations of the Director of Industrial Relations
Article 4. Proposed Penalty Procedure
Civil penalties for Regulatory, General, Serious, Repeat, Willful, and Failure to Abate violations shall be assessed in the following manner:
(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 $15,375 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.
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.
(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) 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.
(3) 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.
(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:
10 or fewer employees -- 40% of the Gravity-based Penalty shall be subtracted.
11-25 employees -- 30% of the Gravity-based Penalty shall be subtracted.
26-60 employees -- 20% of the Gravity-based Penalty shall be subtracted.
61-100 employees -- 10% of the Gravity-based Penalty shall be subtracted.
More than 100 employees -- No adjustment shall be made.
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.
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:
(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.
(1) The Adjusted Penalty for General 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. Violations classified as “Repeat General” or “Willful General” are not subject to an abatement credit.
(B) Submitted a statement signed under penalty of perjury, together with supporting evidence when necessary to prove abatement, that the employer has abated the Serious violation within the period fixed for abatement in the citation. The signed statement and supporting evidence must be received within 10 working days after the end of the period fixed in the citation for abatement.
(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 circ*mstances 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.
(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.
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 $153,744.
1st repeat -- $5,000
2nd repeat -- $10,000
3rd repeat -- $20,000
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.
Regulatory, General and Serious -- the Proposed Penalty is multiplied by five. However, the penalty for any willful violation shall not be less than $10,981 and shall not exceed $153,744.
(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.
(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.
Credits
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.
History
1. Amendment and new subsection (j) filed 2-28-79; effective thirtieth day thereafter (Register 79, No. 9). For prior history, see Registers 75, No. 10; 77, No. 1; 77, No. 18 and 77, No. 27.
2. Editorial correction of subsection (d)(2) (Register 82, No. 15).
3. Amendment of subsections (c), (e)-(h) filed 12-31-84; designated effective 1-1-85 pursuant to Government Code section 11346.2(d) (Register 85, No. 1).
4. Amendment of subsections (c) and (g) filed 1-15-87; effective upon filing pursuant to Government Code section 11346.2(d) (Register 87, No. 3).
5. Amendment filed 3-18-91; operative 4-17-91 (Register 91, No. 15).
6. Amendment filed 4-24-92; operative 5-25-92 (Register 92, No. 18).
7. Amendment of subsection (d)(8), new subsections (d)(10) and (d)(11), and amendment of Note filed 1-26-95; operative 2-27-95 (Register 95, No. 4).
8. Amendment of subsections (c)(1)-(c)(3) and (c)(5), new subsection (d)(12), amendment of subsections (f) and (h), and amendment of Note filed 12-16-99 as an emergency; operative 1-1-2000 pursuant to Government Code section 11343.4(c) (Register 99, No. 51). A Certificate of Compliance must be transmitted to OAL by 5-1-2000 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 12-16-99 order transmitted to OAL 4-13-2000 and filed 5-11-2000 (Register 2000, No. 19).
10. Change without regulatory effect amending subsection (a)(1), adopting new subsection (a)(6) and amending Note filed 1-30-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 5).
11. Amendment of subsections (e)-(e)(1), repealer of subsections (e)(2)-(4) and new subsections (e)(2)-(e)(3)(D) filed 2-12-2015 as an emergency; operative 2-12-2015 (Register 2015, No. 7). A Certificate of Compliance must be transmitted to OAL by 8-11-2015 or emergency language will be repealed by operation of law on the following day.
12. Amendment of subsections (e)-(e)(1), repealer of subsections (e)(2)-(4) and new subsections (e)(2)-(e)(3)(D) refiled 8-10-2015 as an emergency; operative 8-10-2015 (Register 2015, No. 33). A Certificate of Compliance must be transmitted to OAL by 11-9-2015 or emergency language will be repealed by operation of law on the following day.
13. Amendment of subsections (e)-(e)(1), repealer of subsections (e)(2)-(4) and new subsections (e)(2)-(e)(3)(D) refiled 11-5-2015 as an emergency; operative 11-5-2015 (Register 2015, No. 45). A Certificate of Compliance must be transmitted to OAL by 2-3-2016 or emergency language will be repealed by operation of law on the following day.
14. Reinstatement of section as it existed prior to 2-12-2015 emergency amendment by operation of Government Code section 11346.1(f) (Register 2016, No. 12).
15. Amendment filed 3-14-2016; operative 3-14-2016 pursuant to Government Code section 11343.4(b)(3) (Register 2016, No. 12).
16. Change without regulatory effect amending subsections (a)(1) and (b), repealing subsections (c)(2) and (c)(5), renumbering subsections and amending subsections (g)(1) and (h) filed 9-14-2017 pursuant to section 100, title 1, California Code of Regulations (Register 2017, No. 37).
17. Amendment filed 1-8-2018; operative 1-1-2018. Amendments to subsections (a)(1) and (b) are exempt from the Administrative Procedure Act pursuant to Labor Code sections 6427(b) and 6431(b). Amendments to subsections (g)(1) and (h) are exempt from the Administrative Procedure Act pursuant to Labor Code section 6429(a)(2). Submitted to OAL for filing and printing only (Register 2018, No. 2).
18. Amendment filed 1-3-2019; operative 1-1-2019. Amendments to subsections (a)(1) and (b) are exempt from the Administrative Procedure Act pursuant to Labor Code sections 6427(b) and 6431(b). Amendments to subsections (g)(1) and (h) are exempt from the Administrative Procedure Act pursuant to Labor Code section 6429(a)(2). Submitted to OAL for filing and printing only (Register 2019, No. 1).
19. Amendment filed 1-6-2020; operative 1-1-2020. Amendments to subsections (a)(1) and (b) are exempt from the Administrative Procedure Act pursuant to Labor Code sections 6427(b) and 6431(b). Amendments to subsections (g)(1) and (h) are exempt from the Administrative Procedure Act pursuant to Labor Code section 6429(a)(2). Submitted to OAL for filing and printing only (Register 2020, No. 2).
20. Amendment filed 2-8-2021; operative 1-1-2021. Amendments to subsections (a)(1) and (b) are exempt from the Administrative Procedure Act pursuant to Labor Code sections 6427(b) and 6431 (b). Amendments to subsections (g)(1) and (h) are exempt from the Administrative Procedure Act pursuant to Labor Code section 6429(a)(2). Submitted to OAL for filing and printing only (Register 2021, No. 7).
21. Amendment of subsections (a)(1), (b), (g)(1) and (h) filed 12-15-2021; operative 1-1-2022. Amendments to subsections (a)(1) and (b) are exempt from the Administrative Procedure Act pursuant to Labor Code sections 6427(b) and 6431(b). Amendment to subsections (g)(1) and (h) are exempt from the Administrative Procedure Act pursuant to Labor Code section 6429(a)(2). Submitted to OAL for filing and printing only (Register 2021, No. 51).
22. Amendment of subsections (a)(1), (b), (g)(1) and (h) filed 12-29-2022; operative 1-1-2023. Amendments to subsections (a)(1) and (b) are exempt from the Administrative Procedure Act pursuant to Labor Code sections 6427(b) and 6431(b). Amendments to subsections (g)(1) and (g) are exempt from the Administrative Procedure Act pursuant to Labor Code section 6429(a)(2). Submitted to OAL for filing and printing only (Register 2022, No. 52).
23. Editorial correction redesignating incorrectly designated subsection (l) as subsection (k)(1) (Register 2023, No. 31).
