Symmetry breaking from Lorentz transformation

a r X i v :0806.1256v 1 [p h y s i c s .s o c -p h ] 7 J u n 2008Understanding individual human mobility patternsMarta C.Gonz´a lez,1,2C´e sar A.Hidalgo,1and Albert-L´a szl´o Barab´a si 1,2,31Center for Complex Network Research and Department of Physics and Computer Science,University of Notre Dame,Notre Dame IN 46556.2Center for Complex Network Research and Department of Physics,Biology and Computer Science,Northeastern University,Boston MA 02115.3Center for Cancer Systems Biology,Dana Farber Cancer Institute,Boston,MA 02115.(Dated:June 7,2008)Despite their importance for urban planning [1],traffic forecasting [2],and the spread of biological [3,4,5]and mobile viruses [6],our understanding of the basic laws govern-ing human motion remains limited thanks to the lack of tools to monitor the time resolved location of individuals.Here we study the trajectory of 100,000anonymized mobile phone users whose position is tracked for a six month period.We find that in contrast with the random trajectories predicted by the prevailing L´e vy flight and random walk models [7],human trajectories show a high degree of temporal and spatial regularity,each individual being characterized by a time independent characteristic length scale and a significant prob-ability to return to a few highly frequented locations.After correcting for differences in travel distances and the inherent anisotropy of each trajectory,the individual travel patterns collapse into a single spatial probability distribution,indicating that despite the diversity of their travel history,humans follow simple reproducible patterns.This inherent similarity in travel patterns could impact all phenomena driven by human mobility,from epidemic prevention to emergency response,urban planning and agent based modeling.Given the many unknown factors that influence a population’s mobility patterns,ranging from means of transportation to job and family imposed restrictions and priorities,human trajectories are often approximated with various random walk or diffusion models [7,8].Indeed,early mea-surements on albatrosses,bumblebees,deer and monkeys [9,10]and more recent ones on marine predators [11]suggested that animal trajectory is approximated by a L´e vy flight [12,13],a random walk whose step size ∆r follows a power-law distribution P (∆r )∼∆r −(1+β)with β<2.While the L´e vy statistics for some animals require further study [14],Brockmann et al.[7]generalized this finding to humans,documenting that the distribution of distances between consecutive sight-ings of nearly half-million bank notes is fat tailed.Given that money is carried by individuals, bank note dispersal is a proxy for human movement,suggesting that human trajectories are best modeled as a continuous time random walk with fat tailed displacements and waiting time dis-tributions[7].A particle following a L´e vyflight has a significant probability to travel very long distances in a single step[12,13],which appears to be consistent with human travel patterns:most of the time we travel only over short distances,between home and work,while occasionally we take longer trips.Each consecutive sightings of a bank note reflects the composite motion of two or more indi-viduals,who owned the bill between two reported sightings.Thus it is not clear if the observed distribution reflects the motion of individual users,or some hitero unknown convolution between population based heterogeneities and individual human trajectories.Contrary to bank notes,mo-bile phones are carried by the same individual during his/her daily routine,offering the best proxy to capture individual human trajectories[15,16,17,18,19].We used two data sets to explore the mobility pattern of individuals.Thefirst(D1)consists of the mobility patterns recorded over a six month period for100,000individuals selected randomly from a sample of over6million anonymized mobile phone users.Each time a user initiates or receives a call or SMS,the location of the tower routing the communication is recorded,allowing us to reconstruct the user’s time resolved trajectory(Figs.1a and b).The time between consecutive calls follows a bursty pattern[20](see Fig.S1in the SM),indicating that while most consecutive calls are placed soon after a previous call,occasionally there are long periods without any call activity.To make sure that the obtained results are not affected by the irregular call pattern,we also study a data set(D2)that captures the location of206mobile phone users,recorded every two hours for an entire week.In both datasets the spatial resolution is determined by the local density of the more than104mobile towers,registering movement only when the user moves between areas serviced by different towers.The average service area of each tower is approximately3km2 and over30%of the towers cover an area of1km2or less.To explore the statistical properties of the population’s mobility patterns we measured the dis-tance between user’s positions at consecutive calls,capturing16,264,308displacements for the D1and10,407displacements for the D2datasets.Wefind that the distribution of displacements over all users is well approximated by a truncated power-lawP(∆r)=(∆r+∆r0)−βexp(−∆r/κ),(1)withβ=1.75±0.15,∆r0=1.5km and cutoff valuesκ|D1=400km,andκ|D2=80km(Fig.1c,see the SM for statistical validation).Note that the observed scaling exponent is not far fromβB=1.59observed in Ref.[7]for bank note dispersal,suggesting that the two distributions may capture the same fundamental mechanism driving human mobility patterns.Equation(1)suggests that human motion follows a truncated L´e vyflight[7].Yet,the observed shape of P(∆r)could be explained by three distinct hypotheses:A.Each individual follows a L´e vy trajectory with jump size distribution given by(1).B.The observed distribution captures a population based heterogeneity,corresponding to the inherent differences between individuals.C.A population based heterogeneity coexists with individual L´e vy trajectories,hence(1)represents a convolution of hypothesis A and B.To distinguish between hypotheses A,B and C we calculated the radius of gyration for each user(see Methods),interpreted as the typical distance traveled by user a when observed up to time t(Fig.1b).Next,we determined the radius of gyration distribution P(r g)by calculating r g for all users in samples D1and D2,finding that they also can be approximated with a truncated power-lawP(r g)=(r g+r0g)−βr exp(−r g/κ),(2) with r0g=5.8km,βr=1.65±0.15andκ=350km(Fig.1d,see SM for statistical validation). L´e vyflights are characterized by a high degree of intrinsic heterogeneity,raising the possibility that(2)could emerge from an ensemble of identical agents,each following a L´e vy trajectory. Therefore,we determined P(r g)for an ensemble of agents following a Random Walk(RW), L´e vy-Flight(LF)or Truncated L´e vy-Flight(T LF)(Figure1d)[8,12,13].Wefind that an en-semble of L´e vy agents display a significant degree of heterogeneity in r g,yet is not sufficient to explain the truncated power law distribution P(r g)exhibited by the mobile phone users.Taken together,Figs.1c and d suggest that the difference in the range of typical mobility patterns of indi-viduals(r g)has a strong impact on the truncated L´e vy behavior seen in(1),ruling out hypothesis A.If individual trajectories are described by a LF or T LF,then the radius of gyration should increase in time as r g(t)∼t3/(2+β)[21,22]while for a RW r g(t)∼t1/2.That is,the longer we observe a user,the higher the chances that she/he will travel to areas not visited before.To check the validity of these predictions we measured the time dependence of the radius of gyration for users whose gyration radius would be considered small(r g(T)≤3km),medium(20<r g(T)≤30km)or large(r g(T)>100km)at the end of our observation period(T=6months).Theresults indicate that the time dependence of the average radius of gyration of mobile phone users is better approximated by a logarithmic increase,not only a manifestly slower dependence than the one predicted by a power law,but one that may appear similar to a saturation process(Fig.2a and Fig.S4).In Fig.2b,we have chosen users with similar asymptotic r g(T)after T=6months,and measured the jump size distribution P(∆r|r g)for each group.As the inset of Fig.2b shows,users with small r g travel mostly over small distances,whereas those with large r g tend to display a combination of many small and a few larger jump sizes.Once we rescale the distributions with r g(Fig.2b),wefind that the data collapses into a single curve,suggesting that a single jump size distribution characterizes all users,independent of their r g.This indicates that P(∆r|r g)∼r−αg F(∆r/r g),whereα≈1.2±0.1and F(x)is an r g independent function with asymptotic behavior F(x<1)∼x−αand rapidly decreasing for x≫1.Therefore the travel patterns of individual users may be approximated by a L´e vyflight up to a distance characterized by r g. Most important,however,is the fact that the individual trajectories are bounded beyond r g,thus large displacements which are the source of the distinct and anomalous nature of L´e vyflights, are statistically absent.To understand the relationship between the different exponents,we note that the measured probability distributions are related by P(∆r)= ∞0P(∆r|r g)P(r g)dr g,whichsuggests(see SM)that up to the leading order we haveβ=βr+α−1,consistent,within error bars, with the measured exponents.This indicates that the observed jump size distribution P(∆r)is in fact the convolution between the statistics of individual trajectories P(∆r g|r g)and the population heterogeneity P(r g),consistent with hypothesis C.To uncover the mechanism stabilizing r g we measured the return probability for each indi-vidual F pt(t)[22],defined as the probability that a user returns to the position where it was first observed after t hours(Fig.2c).For a two dimensional random walk F pt(t)should follow ∼1/(t ln(t)2)[22].In contrast,wefind that the return probability is characterized by several peaks at24h,48h,and72h,capturing a strong tendency of humans to return to locations they visited before,describing the recurrence and temporal periodicity inherent to human mobility[23,24].To explore if individuals return to the same location over and over,we ranked each location based on the number of times an individual was recorded in its vicinity,such that a location with L=3represents the third most visited location for the selected individual.Wefind that the probability offinding a user at a location with a given rank L is well approximated by P(L)∼1/L, independent of the number of locations visited by the user(Fig.2d).Therefore people devote mostof their time to a few locations,while spending their remaining time in5to50places,visited with diminished regularity.Therefore,the observed logarithmic saturation of r g(t)is rooted in the high degree of regularity in their daily travel patterns,captured by the high return probabilities(Fig.2b) to a few highly frequented locations(Fig.2d).An important quantity for modeling human mobility patterns is the probabilityΦa(x,y)tofind an individual a in a given position(x,y).As it is evident from Fig.1b,individuals live and travel in different regions,yet each user can be assigned to a well defined area,defined by home and workplace,where she or he can be found most of the time.We can compare the trajectories of different users by diagonalizing each trajectory’s inertia tensor,providing the probability offinding a user in a given position(see Fig.3a)in the user’s intrinsic reference frame(see SM for the details).A striking feature ofΦ(x,y)is its prominent spatial anisotropy in this intrinsic reference frame(note the different scales in Fig3a),and wefind that the larger an individual’s r g the more pronounced is this anisotropy.To quantify this effect we defined the anisotropy ratio S≡σy/σx, whereσx andσy represent the standard deviation of the trajectory measured in the user’s intrinsic reference frame(see SM).Wefind that S decreases monotonically with r g(Fig.3c),being well approximated with S∼r−ηg,forη≈0.12.Given the small value of the scaling exponent,other functional forms may offer an equally goodfit,thus mechanistic models are required to identify if this represents a true scaling law,or only a reasonable approximation to the data.To compare the trajectories of different users we remove the individual anisotropies,rescal-ing each user trajectory with its respectiveσx andσy.The rescaled˜Φ(x/σx,y/σy)distribution (Fig.3b)is similar for groups of users with considerably different r g,i.e.,after the anisotropy and the r g dependence is removed all individuals appear to follow the same universal˜Φ(˜x,˜y)prob-ability distribution.This is particularly evident in Fig.3d,where we show the cross section of ˜Φ(x/σ,0)for the three groups of users,finding that apart from the noise in the data the curves xare indistinguishable.Taken together,our results suggest that the L´e vy statistics observed in bank note measurements capture a convolution of the population heterogeneity(2)and the motion of individual users.Indi-viduals display significant regularity,as they return to a few highly frequented locations,like home or work.This regularity does not apply to the bank notes:a bill always follows the trajectory of its current owner,i.e.dollar bills diffuse,but humans do not.The fact that individual trajectories are characterized by the same r g-independent two dimen-sional probability distribution˜Φ(x/σx,y/σy)suggests that key statistical characteristics of indi-vidual trajectories are largely indistinguishable after rescaling.Therefore,our results establish the basic ingredients of realistic agent based models,requiring us to place users in number propor-tional with the population density of a given region and assign each user an r g taken from the observed P(r g)ing the predicted anisotropic rescaling,combined with the density function˜Φ(x,y),whose shape is provided as Table1in the SM,we can obtain the likelihood offinding a user in any location.Given the known correlations between spatial proximity and social links,our results could help quantify the role of space in network development and evolu-tion[25,26,27,28,29]and improve our understanding of diffusion processes[8,30].We thank D.Brockmann,T.Geisel,J.Park,S.Redner,Z.Toroczkai and P.Wang for discus-sions and comments on the manuscript.This work was supported by the James S.McDonnell Foundation21st Century Initiative in Studying Complex Systems,the National Science Founda-tion within the DDDAS(CNS-0540348),ITR(DMR-0426737)and IIS-0513650programs,and the U.S.Office of Naval Research Award N00014-07-C.Data analysis was performed on the Notre Dame Biocomplexity Cluster supported in part by NSF MRI Grant No.DBI-0420980.C.A.Hi-dalgo acknowledges support from the Kellogg Institute at Notre Dame.Supplementary Information is linked to the online version of the paper at /nature.Author Information Correspondence and requests for materials should be addressed to A.-L.B.(e-mail:alb@)[1]Horner,M.W.&O’Kelly,M.E.S Embedding economies of scale concepts for hub networks design.Journal of Transportation Geography9,255-265(2001).[2]Kitamura,R.,Chen,C.,Pendyala,R.M.&Narayaran,R.Micro-simulation of daily activity-travelpatterns for travel demand forecasting.Transportation27,25-51(2000).[3]Colizza,V.,Barrat,A.,Barth´e l´e my,M.,Valleron,A.-J.&Vespignani,A.Modeling the WorldwideSpread of Pandemic Influenza:Baseline Case and Containment Interventions.PLoS Medicine4,095-0110(2007).[4]Eubank,S.,Guclu,H.,Kumar,V.S.A.,Marathe,M.V.,Srinivasan,A.,Toroczkai,Z.&Wang,N.Controlling Epidemics in Realistic Urban Social Networks.Nature429,180(2004).[5]Hufnagel,L.,Brockmann,D.&Geisel,T.Forecast and control of epidemics in a globalized world.Proceedings of the National Academy of Sciences of the United States of America101,15124-15129 (2004).[6]Kleinberg,J.The wireless epidemic.Nature449,287-288(2007).[7] D.Brockmann,D.,Hufnagel,L.&Geisel,T.The scaling laws of human travel.Nature439,462-465(2006).[8]Havlin,S.&ben-Avraham,D.Diffusion in Disordered Media.Advances in Physics51,187-292(2002).[9]Viswanathan,G.M.,Afanasyev,V.,Buldyrev,S.V.,Murphy,E.J.,Prince,P.A.&Stanley,H.E.L´e vyFlight Search Patterns of Wandering Albatrosses.Nature381,413-415(1996).[10]Ramos-Fernandez,G.,Mateos,J.L.,Miramontes,O.,Cocho,G.,Larralde,H.&Ayala-Orozco,B.,L´e vy walk patterns in the foraging movements of spider monkeys(Ateles geoffroyi).Behavioral ecol-ogy and Sociobiology55,223-230(2004).[11]Sims D.W.et al.Scaling laws of marine predator search behaviour.Nature451,1098-1102(2008).[12]Klafter,J.,Shlesinger,M.F.&Zumofen,G.Beyond Brownian Motion.Physics Today49,33-39(1996).[13]Mantegna,R.N.&Stanley,H.E.Stochastic Process with Ultraslow Convergence to a Gaussian:TheTruncated L´e vy Flight.Physical Review Letters73,2946-2949(1994).[14]Edwards,A.M.,Phillips,R.A.,Watkins,N.W.,Freeman,M.P.,Murphy,E.J.,Afanasyev,V.,Buldyrev,S.V.,da Luz,M.G.E.,Raposo,E.P.,Stanley,H.E.&Viswanathan,G.M.Revisiting L´e vyflightsearch patterns of wandering albatrosses,bumblebees and deer.Nature449,1044-1049(2007). [15]Sohn,T.,Varshavsky,A.,LaMarca,A.,Chen,M.Y.,Choudhury,T.,Smith,I.,Consolvo,S.,High-tower,J.,Griswold,W.G.&de Lara,E.Lecture Notes in Computer Sciences:Proc.8th International Conference UbiComp2006.(Springer,Berlin,2006).[16]Onnela,J.-P.,Saram¨a ki,J.,Hyv¨o nen,J.,Szab´o,G.,Lazer,D.,Kaski,K.,Kert´e sz,K.&Barab´a si A.L.Structure and tie strengths in mobile communication networks.Proceedings of the National Academy of Sciences of the United States of America104,7332-7336(2007).[17]Gonz´a lez,M.C.&Barab´a si,plex networks:From data to models.Nature Physics3,224-225(2007).[18]Palla,G.,Barab´a si,A.-L.&Vicsek,T.Quantifying social group evolution.Nature446,664-667(2007).[19]Hidalgo C.A.&Rodriguez-Sickert C.The dynamics of a mobile phone network.Physica A387,3017-30224.[20]Barab´a si,A.-L.The origin of bursts and heavy tails in human dynamics.Nature435,207-211(2005).[21]Hughes,B.D.Random Walks and Random Environments.(Oxford University Press,USA,1995).[22]Redner,S.A Guide to First-Passage Processes.(Cambridge University Press,UK,2001).[23]Schlich,R.&Axhausen,K.W.Habitual travel behaviour:Evidence from a six-week travel diary.Transportation30,13-36(2003).[24]Eagle,N.&Pentland,A.Eigenbehaviours:Identifying Structure in Routine.submitted to BehavioralEcology and Sociobiology(2007).[25]Yook,S.-H.,Jeong,H.&Barab´a si A.L.Modeling the Internet’s large-scale topology.Proceedings ofthe Nat’l Academy of Sciences99,13382-13386(2002).[26]Caldarelli,G.Scale-Free Networks:Complex Webs in Nature and Technology.(Oxford UniversityPress,USA,2007).[27]Dorogovtsev,S.N.&Mendes,J.F.F.Evolution of Networks:From Biological Nets to the Internet andWWW.(Oxford University Press,USA,2003).[28]Song C.M.,Havlin S.&Makse H.A.Self-similarity of complex networks.Nature433,392-395(2005).[29]Gonz´a lez,M.C.,Lind,P.G.&Herrmann,H.J.A system of mobile agents to model social networks.Physical Review Letters96,088702(2006).[30]Cecconi,F.,Marsili,M.,Banavar,J.R.&Maritan,A.Diffusion,peer pressure,and tailed distributions.Physical Review Letters89,088102(2002).FIG.1:Basic human mobility patterns.a,Week-long trajectory of40mobile phone users indicate that most individuals travel only over short distances,but a few regularly move over hundreds of kilometers. Panel b,displays the detailed trajectory of a single user.The different phone towers are shown as green dots,and the V oronoi lattice in grey marks the approximate reception area of each tower.The dataset studied by us records only the identity of the closest tower to a mobile user,thus we can not identify the position of a user within a V oronoi cell.The trajectory of the user shown in b is constructed from186 two hourly reports,during which the user visited a total of12different locations(tower vicinities).Among these,the user is found96and67occasions in the two most preferred locations,the frequency of visits for each location being shown as a vertical bar.The circle represents the radius of gyration centered in the trajectory’s center of mass.c,Probability density function P(∆r)of travel distances obtained for the two studied datasets D1and D2.The solid line indicates a truncated power law whose parameters are provided in the text(see Eq.1).d,The distribution P(r g)of the radius of gyration measured for the users, where r g(T)was measured after T=6months of observation.The solid line represent a similar truncated power lawfit(see Eq.2).The dotted,dashed and dot-dashed curves show P(r g)obtained from the standard null models(RW,LF and T LF),where for the T LF we used the same step size distribution as the onemeasured for the mobile phone users.FIG.2:The bounded nature of human trajectories.a,Radius of gyration, r g(t) vs time for mobile phone users separated in three groups according to theirfinal r g(T),where T=6months.The black curves correspond to the analytical predictions for the random walk models,increasing in time as r g(t) |LF,T LF∼t3/2+β(solid),and r g(t) |RW∼t0.5(dotted).The dashed curves corresponding to a logarithmicfit of the form A+B ln(t),where A and B depend on r g.b,Probability density function of individual travel distances P(∆r|r g)for users with r g=4,10,40,100and200km.As the inset shows,each group displays a quite different P(∆r|r g)distribution.After rescaling the distance and the distribution with r g(main panel),the different curves collapse.The solid line(power law)is shown as a guide to the eye.c,Return probability distribution,F pt(t).The prominent peaks capture the tendency of humans to regularly return to the locations they visited before,in contrast with the smooth asymptotic behavior∼1/(t ln(t)2)(solid line)predicted for random walks.d,A Zipf plot showing the frequency of visiting different locations.The symbols correspond to users that have been observed to visit n L=5,10,30,and50different locations.Denoting with(L)the rank of the location listed in the order of the visit frequency,the data is well approximated by R(L)∼L−1. The inset is the same plot in linear scale,illustrating that40%of the time individuals are found at theirfirsttwo preferred locations.FIG.3:The shape of human trajectories.a,The probability density functionΦ(x,y)offinding a mobile phone user in a location(x,y)in the user’s intrinsic reference frame(see SM for details).The three plots, from left to right,were generated for10,000users with:r g≤3,20<r g≤30and r g>100km.The trajectories become more anisotropic as r g increases.b,After scaling each position withσx andσy theresulting˜Φ(x/σx,y/σy)has approximately the same shape for each group.c,The change in the shape of Φ(x,y)can be quantified calculating the isotropy ratio S≡σy/σx as a function of r g,which decreases as S∼r−0.12(solid line).Error bars represent the standard error.d,˜Φ(x/σx,0)representing the x-axis cross gsection of the rescaled distribution˜Φ(x/σx,y/σy)shown in b.。

DIRECTIVE NUMBER: CPL 02-00-150 EFFECTIVE DATE: April 22, 2011 SUBJECT: Field Operations Manual (FOM)ABSTRACTPurpose: This instruction cancels and replaces OSHA Instruction CPL 02-00-148,Field Operations Manual (FOM), issued November 9, 2009, whichreplaced the September 26, 1994 Instruction that implemented the FieldInspection Reference Manual (FIRM). The FOM is a revision of OSHA’senforcement policies and procedures manual that provides the field officesa reference document for identifying the responsibilities associated withthe majority of their inspection duties. This Instruction also cancels OSHAInstruction FAP 01-00-003 Federal Agency Safety and Health Programs,May 17, 1996 and Chapter 13 of OSHA Instruction CPL 02-00-045,Revised Field Operations Manual, June 15, 1989.Scope: OSHA-wide.References: Title 29 Code of Federal Regulations §1903.6, Advance Notice ofInspections; 29 Code of Federal Regulations §1903.14, Policy RegardingEmployee Rescue Activities; 29 Code of Federal Regulations §1903.19,Abatement Verification; 29 Code of Federal Regulations §1904.39,Reporting Fatalities and Multiple Hospitalizations to OSHA; and Housingfor Agricultural Workers: Final Rule, Federal Register, March 4, 1980 (45FR 14180).Cancellations: OSHA Instruction CPL 02-00-148, Field Operations Manual, November9, 2009.OSHA Instruction FAP 01-00-003, Federal Agency Safety and HealthPrograms, May 17, 1996.Chapter 13 of OSHA Instruction CPL 02-00-045, Revised FieldOperations Manual, June 15, 1989.State Impact: Notice of Intent and Adoption required. See paragraph VI.Action Offices: National, Regional, and Area OfficesOriginating Office: Directorate of Enforcement Programs Contact: Directorate of Enforcement ProgramsOffice of General Industry Enforcement200 Constitution Avenue, NW, N3 119Washington, DC 20210202-693-1850By and Under the Authority ofDavid Michaels, PhD, MPHAssistant SecretaryExecutive SummaryThis instruction cancels and replaces OSHA Instruction CPL 02-00-148, Field Operations Manual (FOM), issued November 9, 2009. The one remaining part of the prior Field Operations Manual, the chapter on Disclosure, will be added at a later date. This Instruction also cancels OSHA Instruction FAP 01-00-003 Federal Agency Safety and Health Programs, May 17, 1996 and Chapter 13 of OSHA Instruction CPL 02-00-045, Revised Field Operations Manual, June 15, 1989. This Instruction constitutes OSHA’s general enforcement policies and procedures manual for use by the field offices in conducting inspections, issuing citations and proposing penalties.Significant Changes∙A new Table of Contents for the entire FOM is added.∙ A new References section for the entire FOM is added∙ A new Cancellations section for the entire FOM is added.∙Adds a Maritime Industry Sector to Section III of Chapter 10, Industry Sectors.∙Revises sections referring to the Enhanced Enforcement Program (EEP) replacing the information with the Severe Violator Enforcement Program (SVEP).∙Adds Chapter 13, Federal Agency Field Activities.∙Cancels OSHA Instruction FAP 01-00-003, Federal Agency Safety and Health Programs, May 17, 1996.DisclaimerThis manual is intended to provide instruction regarding some of the internal operations of the Occupational Safety and Health Administration (OSHA), and is solely for the benefit of the Government. No duties, rights, or benefits, substantive or procedural, are created or implied by this manual. The contents of this manual are not enforceable by any person or entity against the Department of Labor or the United States. Statements which reflect current Occupational Safety and Health Review Commission or court precedents do not necessarily indicate acquiescence with those precedents.Table of ContentsCHAPTER 1INTRODUCTIONI.PURPOSE. ........................................................................................................... 1-1 II.SCOPE. ................................................................................................................ 1-1 III.REFERENCES .................................................................................................... 1-1 IV.CANCELLATIONS............................................................................................. 1-8 V. ACTION INFORMATION ................................................................................. 1-8A.R ESPONSIBLE O FFICE.......................................................................................................................................... 1-8B.A CTION O FFICES. .................................................................................................................... 1-8C. I NFORMATION O FFICES............................................................................................................ 1-8 VI. STATE IMPACT. ................................................................................................ 1-8 VII.SIGNIFICANT CHANGES. ............................................................................... 1-9 VIII.BACKGROUND. ................................................................................................. 1-9 IX. DEFINITIONS AND TERMINOLOGY. ........................................................ 1-10A.T HE A CT................................................................................................................................................................. 1-10B. C OMPLIANCE S AFETY AND H EALTH O FFICER (CSHO). ...........................................................1-10B.H E/S HE AND H IS/H ERS ..................................................................................................................................... 1-10C.P ROFESSIONAL J UDGMENT............................................................................................................................... 1-10E. W ORKPLACE AND W ORKSITE ......................................................................................................................... 1-10CHAPTER 2PROGRAM PLANNINGI.INTRODUCTION ............................................................................................... 2-1 II.AREA OFFICE RESPONSIBILITIES. .............................................................. 2-1A.P ROVIDING A SSISTANCE TO S MALL E MPLOYERS. ...................................................................................... 2-1B.A REA O FFICE O UTREACH P ROGRAM. ............................................................................................................. 2-1C. R ESPONDING TO R EQUESTS FOR A SSISTANCE. ............................................................................................ 2-2 III. OSHA COOPERATIVE PROGRAMS OVERVIEW. ...................................... 2-2A.V OLUNTARY P ROTECTION P ROGRAM (VPP). ........................................................................... 2-2B.O NSITE C ONSULTATION P ROGRAM. ................................................................................................................ 2-2C.S TRATEGIC P ARTNERSHIPS................................................................................................................................. 2-3D.A LLIANCE P ROGRAM ........................................................................................................................................... 2-3 IV. ENFORCEMENT PROGRAM SCHEDULING. ................................................ 2-4A.G ENERAL ................................................................................................................................................................. 2-4B.I NSPECTION P RIORITY C RITERIA. ..................................................................................................................... 2-4C.E FFECT OF C ONTEST ............................................................................................................................................ 2-5D.E NFORCEMENT E XEMPTIONS AND L IMITATIONS. ....................................................................................... 2-6E.P REEMPTION BY A NOTHER F EDERAL A GENCY ........................................................................................... 2-6F.U NITED S TATES P OSTAL S ERVICE. .................................................................................................................. 2-7G.H OME-B ASED W ORKSITES. ................................................................................................................................ 2-8H.I NSPECTION/I NVESTIGATION T YPES. ............................................................................................................... 2-8 V.UNPROGRAMMED ACTIVITY – HAZARD EVALUATION AND INSPECTION SCHEDULING ............................................................................ 2-9 VI.PROGRAMMED INSPECTIONS. ................................................................... 2-10A.S ITE-S PECIFIC T ARGETING (SST) P ROGRAM. ............................................................................................. 2-10B.S CHEDULING FOR C ONSTRUCTION I NSPECTIONS. ..................................................................................... 2-10C.S CHEDULING FOR M ARITIME I NSPECTIONS. ............................................................................. 2-11D.S PECIAL E MPHASIS P ROGRAMS (SEP S). ................................................................................... 2-12E.N ATIONAL E MPHASIS P ROGRAMS (NEP S) ............................................................................... 2-13F.L OCAL E MPHASIS P ROGRAMS (LEP S) AND R EGIONAL E MPHASIS P ROGRAMS (REP S) ............ 2-13G.O THER S PECIAL P ROGRAMS. ............................................................................................................................ 2-13H.I NSPECTION S CHEDULING AND I NTERFACE WITH C OOPERATIVE P ROGRAM P ARTICIPANTS ....... 2-13CHAPTER 3INSPECTION PROCEDURESI.INSPECTION PREPARATION. .......................................................................... 3-1 II.INSPECTION PLANNING. .................................................................................. 3-1A.R EVIEW OF I NSPECTION H ISTORY .................................................................................................................... 3-1B.R EVIEW OF C OOPERATIVE P ROGRAM P ARTICIPATION .............................................................................. 3-1C.OSHA D ATA I NITIATIVE (ODI) D ATA R EVIEW .......................................................................................... 3-2D.S AFETY AND H EALTH I SSUES R ELATING TO CSHO S.................................................................. 3-2E.A DVANCE N OTICE. ................................................................................................................................................ 3-3F.P RE-I NSPECTION C OMPULSORY P ROCESS ...................................................................................................... 3-5G.P ERSONAL S ECURITY C LEARANCE. ................................................................................................................. 3-5H.E XPERT A SSISTANCE. ........................................................................................................................................... 3-5 III. INSPECTION SCOPE. ......................................................................................... 3-6A.C OMPREHENSIVE ................................................................................................................................................... 3-6B.P ARTIAL. ................................................................................................................................................................... 3-6 IV. CONDUCT OF INSPECTION .............................................................................. 3-6A.T IME OF I NSPECTION............................................................................................................................................. 3-6B.P RESENTING C REDENTIALS. ............................................................................................................................... 3-6C.R EFUSAL TO P ERMIT I NSPECTION AND I NTERFERENCE ............................................................................. 3-7D.E MPLOYEE P ARTICIPATION. ............................................................................................................................... 3-9E.R ELEASE FOR E NTRY ............................................................................................................................................ 3-9F.B ANKRUPT OR O UT OF B USINESS. .................................................................................................................... 3-9G.E MPLOYEE R ESPONSIBILITIES. ................................................................................................. 3-10H.S TRIKE OR L ABOR D ISPUTE ............................................................................................................................. 3-10I. V ARIANCES. .......................................................................................................................................................... 3-11 V. OPENING CONFERENCE. ................................................................................ 3-11A.G ENERAL ................................................................................................................................................................ 3-11B.R EVIEW OF A PPROPRIATION A CT E XEMPTIONS AND L IMITATION. ..................................................... 3-13C.R EVIEW S CREENING FOR P ROCESS S AFETY M ANAGEMENT (PSM) C OVERAGE............................. 3-13D.R EVIEW OF V OLUNTARY C OMPLIANCE P ROGRAMS. ................................................................................ 3-14E.D ISRUPTIVE C ONDUCT. ...................................................................................................................................... 3-15F.C LASSIFIED A REAS ............................................................................................................................................. 3-16VI. REVIEW OF RECORDS. ................................................................................... 3-16A.I NJURY AND I LLNESS R ECORDS...................................................................................................................... 3-16B.R ECORDING C RITERIA. ...................................................................................................................................... 3-18C. R ECORDKEEPING D EFICIENCIES. .................................................................................................................. 3-18 VII. WALKAROUND INSPECTION. ....................................................................... 3-19A.W ALKAROUND R EPRESENTATIVES ............................................................................................................... 3-19B.E VALUATION OF S AFETY AND H EALTH M ANAGEMENT S YSTEM. ....................................................... 3-20C.R ECORD A LL F ACTS P ERTINENT TO A V IOLATION. ................................................................................. 3-20D.T ESTIFYING IN H EARINGS ................................................................................................................................ 3-21E.T RADE S ECRETS. ................................................................................................................................................. 3-21F.C OLLECTING S AMPLES. ..................................................................................................................................... 3-22G.P HOTOGRAPHS AND V IDEOTAPES.................................................................................................................. 3-22H.V IOLATIONS OF O THER L AWS. ....................................................................................................................... 3-23I.I NTERVIEWS OF N ON-M ANAGERIAL E MPLOYEES .................................................................................... 3-23J.M ULTI-E MPLOYER W ORKSITES ..................................................................................................................... 3-27 K.A DMINISTRATIVE S UBPOENA.......................................................................................................................... 3-27 L.E MPLOYER A BATEMENT A SSISTANCE. ........................................................................................................ 3-27 VIII. CLOSING CONFERENCE. .............................................................................. 3-28A.P ARTICIPANTS. ..................................................................................................................................................... 3-28B.D ISCUSSION I TEMS. ............................................................................................................................................ 3-28C.A DVICE TO A TTENDEES .................................................................................................................................... 3-29D.P ENALTIES............................................................................................................................................................. 3-30E.F EASIBLE A DMINISTRATIVE, W ORK P RACTICE AND E NGINEERING C ONTROLS. ............................ 3-30F.R EDUCING E MPLOYEE E XPOSURE. ................................................................................................................ 3-32G.A BATEMENT V ERIFICATION. ........................................................................................................................... 3-32H.E MPLOYEE D ISCRIMINATION .......................................................................................................................... 3-33 IX. SPECIAL INSPECTION PROCEDURES. ...................................................... 3-33A.F OLLOW-UP AND M ONITORING I NSPECTIONS............................................................................................ 3-33B.C ONSTRUCTION I NSPECTIONS ......................................................................................................................... 3-34C. F EDERAL A GENCY I NSPECTIONS. ................................................................................................................. 3-35CHAPTER 4VIOLATIONSI. BASIS OF VIOLATIONS ..................................................................................... 4-1A.S TANDARDS AND R EGULATIONS. .................................................................................................................... 4-1B.E MPLOYEE E XPOSURE. ........................................................................................................................................ 4-3C.R EGULATORY R EQUIREMENTS. ........................................................................................................................ 4-6D.H AZARD C OMMUNICATION. .............................................................................................................................. 4-6E. E MPLOYER/E MPLOYEE R ESPONSIBILITIES ................................................................................................... 4-6 II. SERIOUS VIOLATIONS. .................................................................................... 4-8A.S ECTION 17(K). ......................................................................................................................... 4-8B.E STABLISHING S ERIOUS V IOLATIONS ............................................................................................................ 4-8C. F OUR S TEPS TO BE D OCUMENTED. ................................................................................................................... 4-8 III. GENERAL DUTY REQUIREMENTS ............................................................. 4-14A.E VALUATION OF G ENERAL D UTY R EQUIREMENTS ................................................................................. 4-14B.E LEMENTS OF A G ENERAL D UTY R EQUIREMENT V IOLATION.............................................................. 4-14C. U SE OF THE G ENERAL D UTY C LAUSE ........................................................................................................ 4-23D.L IMITATIONS OF U SE OF THE G ENERAL D UTY C LAUSE. ..............................................................E.C LASSIFICATION OF V IOLATIONS C ITED U NDER THE G ENERAL D UTY C LAUSE. ..................F. P ROCEDURES FOR I MPLEMENTATION OF S ECTION 5(A)(1) E NFORCEMENT ............................ 4-25 4-27 4-27IV.OTHER-THAN-SERIOUS VIOLATIONS ............................................... 4-28 V.WILLFUL VIOLATIONS. ......................................................................... 4-28A.I NTENTIONAL D ISREGARD V IOLATIONS. ..........................................................................................4-28B.P LAIN I NDIFFERENCE V IOLATIONS. ...................................................................................................4-29 VI. CRIMINAL/WILLFUL VIOLATIONS. ................................................... 4-30A.A REA D IRECTOR C OORDINATION ....................................................................................................... 4-31B.C RITERIA FOR I NVESTIGATING P OSSIBLE C RIMINAL/W ILLFUL V IOLATIONS ........................ 4-31C. W ILLFUL V IOLATIONS R ELATED TO A F ATALITY .......................................................................... 4-32 VII. REPEATED VIOLATIONS. ...................................................................... 4-32A.F EDERAL AND S TATE P LAN V IOLATIONS. ........................................................................................4-32B.I DENTICAL S TANDARDS. .......................................................................................................................4-32C.D IFFERENT S TANDARDS. .......................................................................................................................4-33D.O BTAINING I NSPECTION H ISTORY. .....................................................................................................4-33E.T IME L IMITATIONS..................................................................................................................................4-34F.R EPEATED V. F AILURE TO A BATE....................................................................................................... 4-34G. A REA D IRECTOR R ESPONSIBILITIES. .............................................................................. 4-35 VIII. DE MINIMIS CONDITIONS. ................................................................... 4-36A.C RITERIA ................................................................................................................................................... 4-36B.P ROFESSIONAL J UDGMENT. ..................................................................................................................4-37C. A REA D IRECTOR R ESPONSIBILITIES. .............................................................................. 4-37 IX. CITING IN THE ALTERNATIVE ............................................................ 4-37 X. COMBINING AND GROUPING VIOLATIONS. ................................... 4-37A.C OMBINING. ..............................................................................................................................................4-37B.G ROUPING. ................................................................................................................................................4-38C. W HEN N OT TO G ROUP OR C OMBINE. ................................................................................................4-38 XI. HEALTH STANDARD VIOLATIONS ....................................................... 4-39A.C ITATION OF V ENTILATION S TANDARDS ......................................................................................... 4-39B.V IOLATIONS OF THE N OISE S TANDARD. ...........................................................................................4-40 XII. VIOLATIONS OF THE RESPIRATORY PROTECTION STANDARD(§1910.134). ....................................................................................................... XIII. VIOLATIONS OF AIR CONTAMINANT STANDARDS (§1910.1000) ... 4-43 4-43A.R EQUIREMENTS UNDER THE STANDARD: .................................................................................................. 4-43B.C LASSIFICATION OF V IOLATIONS OF A IR C ONTAMINANT S TANDARDS. ......................................... 4-43 XIV. CITING IMPROPER PERSONAL HYGIENE PRACTICES. ................... 4-45A.I NGESTION H AZARDS. .................................................................................................................................... 4-45B.A BSORPTION H AZARDS. ................................................................................................................................ 4-46C.W IPE S AMPLING. ............................................................................................................................................. 4-46D.C ITATION P OLICY ............................................................................................................................................ 4-46 XV. BIOLOGICAL MONITORING. ...................................................................... 4-47CHAPTER 5CASE FILE PREPARATION AND DOCUMENTATIONI.INTRODUCTION ............................................................................................... 5-1 II.INSPECTION CONDUCTED, CITATIONS BEING ISSUED. .................... 5-1A.OSHA-1 ................................................................................................................................... 5-1B.OSHA-1A. ............................................................................................................................... 5-1C. OSHA-1B. ................................................................................................................................ 5-2 III.INSPECTION CONDUCTED BUT NO CITATIONS ISSUED .................... 5-5 IV.NO INSPECTION ............................................................................................... 5-5 V. HEALTH INSPECTIONS. ................................................................................. 5-6A.D OCUMENT P OTENTIAL E XPOSURE. ............................................................................................................... 5-6B.E MPLOYER’S O CCUPATIONAL S AFETY AND H EALTH S YSTEM. ............................................................. 5-6 VI. AFFIRMATIVE DEFENSES............................................................................. 5-8A.B URDEN OF P ROOF. .............................................................................................................................................. 5-8B.E XPLANATIONS. ..................................................................................................................................................... 5-8 VII. INTERVIEW STATEMENTS. ........................................................................ 5-10A.G ENERALLY. ......................................................................................................................................................... 5-10B.CSHO S SHALL OBTAIN WRITTEN STATEMENTS WHEN: .......................................................................... 5-10C.L ANGUAGE AND W ORDING OF S TATEMENT. ............................................................................................. 5-11D.R EFUSAL TO S IGN S TATEMENT ...................................................................................................................... 5-11E.V IDEO AND A UDIOTAPED S TATEMENTS. ..................................................................................................... 5-11F.A DMINISTRATIVE D EPOSITIONS. .............................................................................................5-11 VIII. PAPERWORK AND WRITTEN PROGRAM REQUIREMENTS. .......... 5-12 IX.GUIDELINES FOR CASE FILE DOCUMENTATION FOR USE WITH VIDEOTAPES AND AUDIOTAPES .............................................................. 5-12 X.CASE FILE ACTIVITY DIARY SHEET. ..................................................... 5-12 XI. CITATIONS. ..................................................................................................... 5-12A.S TATUTE OF L IMITATIONS. .............................................................................................................................. 5-13B.I SSUING C ITATIONS. ........................................................................................................................................... 5-13C.A MENDING/W ITHDRAWING C ITATIONS AND N OTIFICATION OF P ENALTIES. .................................. 5-13D.P ROCEDURES FOR A MENDING OR W ITHDRAWING C ITATIONS ............................................................ 5-14 XII. INSPECTION RECORDS. ............................................................................... 5-15A.G ENERALLY. ......................................................................................................................................................... 5-15B.R ELEASE OF I NSPECTION I NFORMATION ..................................................................................................... 5-15C. C LASSIFIED AND T RADE S ECRET I NFORMATION ...................................................................................... 5-16。