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OCCUPATIONAL SAFETY AND HEALTH LAWA Basic Introduction

Workplace Safety Practice Group Littler Mendelson, P.C.

OCCUPATIONAL SAFETY AND HEALTH LAWA Basic Introduction

Workplace Safety Practice Group Littler Mendelson, P.C.

As seen in the Texas Association of Business/SHRM Texas State Council Texas Employment Law Handbook

Updated 02.2015

OCCUPATIONAL SAFETY AND HEALTH LAW

Workplace Safety GroupLittler Mendelson, P.C.

Summary• Applicabletoemployerswhosebusinessesaffectinterstatecommerce

(virtually every employer).• Complexanddetailedregulationofworkplacesafetyandhealthby

specificstandardsandrequirements,includingsuchthingsasdetailedsupervisionandtrainingobligations.

• Significantrecordkeepingandpostingrequirements.• Reportingrequirementswithineighthoursforanyaccidentsinvolving

one or more fatalities or hospitalization of three or more employees.• AdministeredandenforcedbytheOccupationalSafetyandHealth

Administrationthroughasystemofadministrativeinspectionsandcivil and criminal penalties.

• Providesahearingandappealproceduretoemployerstocontest OSHAcitations.

• Prohibitsretaliationagainstemployeesforexercisingprotectedrights.• Doesnotpreemptcriminalprosecutionofemployersandmanagement

personnel by state and local authorities.

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OCCUPATIONAL SAFETY AND HEALTH LAW

Workplace Safety GroupLittler Mendelson, P.C.

A. BackgroundTheOccupational Safety and HealthAct of 1970 (“theAct”)1 became effective on April28,1971.Thislegislationresultedfromover20yearsofCongressionaldebate.TheAct’s stated purpose is to “assure so far as possible every working man andwoman in the Nation safe and healthful working conditions and to preserve our humanresources.”

With the exception of overlapping jurisdiction in certain pervasively regulatedindustries, theAct, through its implementing agency, the Occupational Safety andHealth Administration (OSHA), has exclusive jurisdiction over employers whosebusiness operations affect interstate commerce.

Safetyandhealth regulationof theworkplace isgenerallyvested inOSHA.Variouslegislation dealing with workplace safety and health has been deemed to havebeen preempted by the Act2 where OSHA has exercised its authority to regulate the workplace.

B. Administrative OrganizationUndertheAct,OSHAhastheauthorityto(1)promulgatesafetyandhealthstandards;(2)conductinspectionsandinvestigations;(3)issuecitationsandproposepenalties;(4) setabatement times for correctingunsafeorunhealthful conditions; (5) requireemployerstokeeprecordsofjob-relatedinjuriesandillnesses;(6)petitionthecourtsto restrain imminent danger situations; (7) approve or reject state plans (currentlyexisting in26states) foradministeringandenforcingstateoccupationalsafetyandhealthprogramsundertheAct;(8)provideinformationandadvicetoemployersandemployees concerning compliance and effectivemeans of preventing occupationalinjuries and illnesses; and (9) provide evaluative, consultative, and promotionalprogramstoassistfederalagenciesinimplementingjobsafetyandhealthprogramsfor federal workers.

OSHAisorganizedwithanationaloffice,10regionaloffices,andover50areaoffices.Each region also may contain district and field offices. Each area office covers aspecificgeographicalareainaregion.Areaofficesarestaffedwithsafetyandhealthcompliance officers and may include support personnel for such areas as industrial hygiene,toxicsubstances,andeducationalandtechnicalassistance.

Formostemployers,themostimportantlocalOSHAofficialistheAreaDirector.TheArea Director answers local information requests, handles employee complaints,schedules and conducts inspections, issues citations and proposed penalties, and conductsinformalsettlementconferences.Subjecttoagencyandotheradministrative

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internalregulationsandoversightprocedures,theAreaDirectorhasdiscretioninmanyareas that involve safety and health issues in the workplace.

TheSecretaryofLaborrepresentsOSHAinlitigationbeforetheOccupationalSafetyandHealthReviewCommission(OSHRC),appellatecourts,districtcourts,andinothercivillitigation.TheSecretary’slegalcounselistheOfficeoftheSolicitor,UnitedStatesDepartmentofLabor.TheSolicitor’sofficealsoadvisesOSHAonlegalissues.

OSHA’s website, http://www.osha.gov, contains many useful resources for safetyandhealthtrainingandeducationandcompliancewiththeAct.OSHAalsoactivelypromotes voluntary cooperative programs for employers, such as its VoluntaryProtection Program (VPP). These programs result in the recognition by OSHA ofsuperiorsafetyandhealthprograms.

C. Employer Responsibilities

1. General Duty ClauseTheAct,initsgeneraldutyclause,providesthat:

Each employer shall furnish to each of his employees employment and a place ofemploymentwhicharefreefromrecognizedhazardsthatarecausingorare likely to cause death or serious physical harm to his employees.3

Thegeneralduty clause,alsoknownas the“catchall” clauseof theAct,applies incircumstances where no specific standard has been promulgated by the Secretaryof Labor or where no standard applies to a specific situation. This clause has been interpreted to requireanemployer to familiarize itselfwith industryand recognizedsafetyandhealthstandards,disseminateinformationaboutemployeerightsandduties,andensurethatemployeeshaveandusesafe,well-maintainedtoolsandequipment.

Anemployerhasviolatedthegeneraldutyclausewhenthefollowingfactsarefoundtoexist:(1)theemployerfailedtorenderitsworkplacefreefromarecognizedhazardthatwas(2)causingorlikelytocausedeathorseriousphysicalharmand(3)afeasiblemeasure existed which, if undertaken, would have materially reduced the likelihood of the existence of the hazard.

Keytotheestablishmentofageneraldutyclauseviolationisproofthatthehazardisgenerally recognizedby the involved industry (employeror safetyandhealthexpertconsensus) and that a feasible method existed to perform the work that would eliminate the hazard.

2. Specific Safety and Health StandardsTheActgrantstotheSecretaryofLabortheauthoritytopromulgateregulationsandstandards for the promotion of safety and health.4 Literally thousands of standards havebeenpromulgatedor incorporatedbyreference intotheAct.5 These standards andregulationshavetheforceoflaw.

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To establish a violation of a specific safety or health standard, it must be shown that (1) a standard applied to the situation at hand and the employer did not comply (the “hazard”beingdefinedbythestandard),(2)anemployeewasexposedtothehazard(generally defined as some reasonable access to the alleged hazard), and (3) theemployerknew,orshouldhaveknown,ofthehazardouscondition.Anemployer“shouldhave known”of an allegedhazard if the employerwould have foreseen the hazardwiththeexerciseofreasonablediligence.Generally,thecourtshaverefusedtoimputeknowledgeofahazardousconditionunlesstheemployerfailedtoinstituteanadequatesafetytrainingandsupervisingprogram.However,anemployerviolatesastandardif,throughreasonableactionsorprocedures,itcouldhavediscoveredthehazard.

Employers shouldbeknowledgeableofall safetyandhealth standards thatapply totheiroperationsandbeawareofmodificationsandchanges.

3. VariancesEmployers who are either unable to comply with a standard or who have implemented othermeansofensuringsafetyequaltoorbetterthanthoseprovidedbytheotherwiseapplicable standard may request a variance from the Secretary of Labor.6 A variance, when approved, excuses prospective compliance with the involved standard.

TheAct refers to four typesofvariances: (1) temporary, (2)permanent, (3)nationaldefense, and (4) research or experimental.

The variance process requires a detailed application, notice to involved parties and employees,ahearingtoestablisharecordconcerningthevarianceapplication,andanultimateorderapprovingordenying(withorwithoutmodification)theapplication.Ordersgrantingvariancescanbemodified,revoked,orrenewed.

4. Supervision and TrainingThe Act requires training and supervision of employees, including the training ofemployees to enable them to dealwith and recognize hazards in theirworkplace.The establishment of a comprehensive safety and health program, effectivelycommunicated and enforced, is critical to compliance with the Act and often affords anaffirmativedefensetoallegationsofviolationsoftheAct.7

5. Recordkeeping, Reporting, and PostingThe Act requires employers to maintain certain records and reports of occupational safetyandhealthrelatedinformation.Copiesofthecurrentversionsofthefollowingrecords,reports,andnoticescanbeobtainedfromOSHAAreaOfficesorfromOSHA’swebsite,http://www.osha.gov.8

a. OSHAForm300and300A-OSHAInjuryandIllnessLogandSummaryAn employer must keep OSHA Form 300 in each work establishment or worksiteexpectedtobeinoperationforoneyearorlonger.AnemployermustenteronForm300 all recordable occupational injuries and illnesses no later than seven calendardays after their occurrence.

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Injuriesandillnessesarerecordableifaneventorexposureintheworkenvironmentcausedorcontributedtoaninjuryorillnessorsignificantlyaggravatedapre-existinginjuryorillness.Examplesofinjuriesarebrokenbonesandcuts.Examplesofillnessesare reactions resulting from exposure to toxic substances and chemicals in theworkplace.Generally,allinjuriesandillnessesthatresultinfatalitiesorlostworkdaysare reportable. Employers must also record when employees are diagnosed withsignificant illnesses,suchascancerorsomeotherchronic irreversibledisease,evenwhen they do not result in lost workdays.9

b.OSHAForm301-OSHAInjuryandIllnessIncidentRecordSimultaneouslywithForm300,employersarerequiredtomaintainOSHAForm301IncidentRecord.TheIncidentRecordcontainsmoredetailedinformationconcerningthe injury and illness recorded in the log. If other reports (workers’ compensation,insurance, etc.) contain the same information required in the Incident Record, these reports are satisfactory substitutes.

c.PostingsOSHA requires employers to post numerous documents, such as all reports andsummaries(Form300,etc.),theOSHAposter,citations,noticesofhearings,varianceapplications, specific hazard signs (e.g., lead exposure signs), imminent dangersituations, etc. All postings must be in a conspicuous place or places in eachestablishment where employee notices are usually posted.

d. Retention of Records and Forms — Location of RecordsGenerally,anemployermustretainallOSHAformsandrecordsineachestablishmentforfiveyearsfollowingtheendofthecalendaryeartowhichtheyrelate.10Certainemployee medical, physical exam, and exposure records may be required to be kept for longerperiodsof time. For example, certain employeemedical recordsmustbemaintainedfor30years.11 An employer should refer to the health standard involved to ascertain the required retention time.

e. Access to RecordsEmployers are required to make records available to any representative of the Secretary of Labor or Secretary of Health and Human Services.12 Additionally, the Bureau of Labor Statistics and relevant state and local inspecting authoritiesmusthaveaccesstoemployers’OSHArecords.

Present and former employees and their designated representatives (e.g., labororganizations)musthaveaccess tocertainOSHArecordsmaintainedbyemployers.Additionally, employees must have access to medical and exposure records required to be maintained under various health standards.

f. Hazard CommunicationThe Act and several state laws13 require employers to conduct hazardous material determinations, maintain appropriate information on hazardous substances (e.g.,

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material safety data sheets), label hazardous substances, train employees in the safe use of hazardous substances in the workplace, develop a written hazard communicationprogram,andperformotherduties.Althoughinitiallyapplicableonlytothe manufacturers and importers of chemicals, the Act’s hazard communication standard hasbeenextendedtoallotheremployers,includingthoseintheconstructionindustry.However in some states, the hazard communication law applies only to employers not covered by the OSHA Standard and to chemical manufacturers, importers, anddistributorswithrespecttotherequirementsregardingmaterialsafetydatasheets.

g.ReportingFatalitiesandAccidentsTheActrequiresemployerstoreportaccidentstoOSHAasfollows:

• Allwork-relatedfatalitieswithineight(8)hours.

• Allwork-related inpatienthospitalizations,allamputationsandall lossesofaneyewithintwenty-four(24)hours.14

Generally, these time periods will run from the time the employer knew or should have knownoftheeventthattriggersthereportingrequirement.Currently,reportingcanbedonebycallingthelocalOSHAAreaOfficeduringbusinesshoursorcallingOSHA’stollfreenumberat1-800-321-OSHA(6742).Employersmaywishtoobtaintheadviceof an attorney to coordinate an immediate response in such situations, due to the possibility of prosecution by federal or local authorities for criminal matters that may beraisedbytheincidentorduetosubsequentcivillitigation.

Currently,OSHAAreaDirectors are sendinga form request for informationonall non-fatality reportings.The formrequest,whichapparentlyhasno regulatoryor legalbasis,requestsdetailedinformation,documentation,aroot-causeanalysis,etc.TherequeststatesthatOSHAmayconductaninspectioniftherequestedinformationisnotprovidedbytheemployer.Appropriatelegalcounselissuggestedbeforerespondingtotheserequests.

h.OtherResponsibilitiesManystandardsrequireadditionalrecordkeeping,posting,andotherduties.Workplacehealthexposures to toxicsubstances,asbestos,cottondust, carcinogens,cokeovenemissions, lead, and numerous other substances engender additional employerresponsibilities.Additionally,regulationssuchastheBloodbornePathogensStandardand the fall protection and excavation standards in the construction industry require employers to take affirmative steps to prevent hazards that may exist in the workplace. Counsel should be consulted to ensure compliance with these additional employer responsibilities.

D. Employee ResponsibilitiesTheActspecificallystatesthat:

Each employee shall comply with occupational safety and health standards andallrules,regulations,andordersissuedpursuanttothisChapterwhichare applicable to his own actions and conduct.15

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Despitethislanguage,employeesarenotsubjecttolegalsanctionsfornoncompliancewith theAct.The Secretaryof Laborhasnot promulgated standardsor regulationsinvolvingemployee sanctions.Additionally, since theActdoesnot imposevicariousliability on employers for acts of employees, employee misconduct may not, under certain circumstances, result in employer liability under the Act.

E. Inspections

1. Reasons for InspectionsGenerally, theAct requires OSHAArea Directors to inspect places of employmentand assure that they are safe and healthful for employees.Most OSHAworkplaceinspectionsoccurunderthefollowingcircumstances:16

Imminent Danger—WhereOSHAhasinformationtobelievethataconditionexiststhat can be expected to cause death or serious harm immediately.

Accidents and Fatalities—Duetorequiredemployerreports,media information,and other sources.

Complaints—By employees or the public. OSHA now accepts complaints via itswebsiteatwww.osha.gov.

National Emphasis Programs — Inspections based upon OSHA-determinedpriorities(usuallyindustrieswithhighhazards).

Routine or General Schedule — Random, generally due to a formalizedadministrativetargetingplan.

Follow-up — Confirm abatement from previous inspection.

2. The InspectionInspections are conducted by OSHA compliance officers who generally arriveunannounced and, after showing appropriate identification, request permission toenter a workplace to conduct an inspection.17Afteranopeningconferencewiththeemployer representative(s), the inspectionbegins.The inspectionmay takeanhouror soor several days, dependingupon the sizeof theoperationand thenatureofthematterbeinginvestigated.Photos,videos,andsamplesmaybetaken,employeesinterviewed, and machines, equipment, worksites, practices, and records are reviewed for compliance with the Act.

Attheconclusionoftheinspection,thecomplianceofficerholdsaclosingconferencewith the company representatives and indicates at that time whether there have been any violationsof theAct.Commentsmadeby companyofficialsduring inspectionsmay later be admissible into evidence should the employer decide to contest an allegedviolationoftheAct.Accordingly,anemployershouldexercisesomejudgmentin making remarks in the presence of OSHA compliance officers.A company alsoshould establish a philosophy toward and procedure for inspections. See Appendix B as an example of a company policy and procedure for inspections.

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UndertheAct,bothemployersandemployeeshavetherighttohaverepresentativesaccompany the inspector during the inspection. An employer’s walk-aroundrepresentative should be knowledgeable about the employer’s operations andapplicable standards and be someone who will not only carry out the employer’s inspection policies and procedures, but also develop a good working relationshipwiththecomplianceofficer.Thisgoodworkingrelationshipmayfacilitatesatisfactoryresolutionofissuesthatdevelopduringtheinspection.

3. Search WarrantsUpon the company’s request, OSHA must obtain a warrant before conducting aninspection on private property.18Generally,forcingOSHAtoobtainawarrantresultsonlyinadelayoftheinspection,assumingOSHAcanestablishadministrativecausefortheinspectionbeforethewarrant-issuingauthority.

If collateral matters, company philosophy, or particular circumstances dictate, a warrant should be required. Otherwise, if OSHA is pursuing proper purposes andobjectives,allthatmaybegainedbyrequiringawarrantwillbedelayand,potentially,somehostilityfromOSHA.

If a warrant is sought by OSHA, an employer should seek to limit the scope andpurposeoftheinspection.Anyefforttopreventcomplianceofficersfromenteringthepropertyorinspectingrecordsshouldbecarefullyevaluatedinlightoftheattendantrisks and benefits. A copy of a search warrant is found in Appendix C.

F. Sanctions for Violations

1. GeneralInspectionsthatresultinthediscoverybyOSHAofallegedviolationsoftheActgenerallyresult in one or more of a series of civil or criminal sanctions. Administrative citations are issued,usuallybytheAreaDirector,allegingaviolationofanapplicablestandardorthegeneraldutyclauseandcontainingproposedabatementdatesandpenalties.Citationsmustbeissuedwithinsixmonthsfollowingtheoccurrenceofaviolation.

2. Categories of Citations

a.SeriousViolationsViolationsoftheActareseriousif:

[T]here is a substantial probability that death or serious physical harm could result from a condition which exists, or from one or more practices, means, methods, operations, or processes which have been adopted or are in use, in such place of employment unless the employer did not, and could not with theexerciseofreasonablediligence,knowofthepresenceoftheviolation.19

Seriousviolationsarepunishablewithfinesupto$7,000perviolation.20 An example of a serious violation would be the failure to provide fall protection to a worksite over 50feetabovetheground.

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b.Other-Than-SeriousViolationsAlthoughnotdefinedintheAct,thistypeofviolationissimilartoaseriousviolationexcept the condition carries with it no substantial probability of death or serious harm. Other-than-seriousviolationsoftenbearnopenalty,althoughtheActallowspenaltiesupto$7,000foreachviolation.21 An example of this type of violation would be the failuretoprovidefallprotectionforaworksiteonlyfivefeetabovetheground.

c.RepeatViolationsEmployersthatrepeatedlycommitviolationsoftheActcanbefinedupto$70,000.22 Solongasthesamestandardisinvolvedorsimilarconditionsexist,theActmakesnodistinction between violations at different establishments, under different supervisors, different timeperiods, or different circumstances.Theagency’s compliancemanual,however,indicatesthatrepeatviolationsareappropriatewhen“substantiallysimilarconditions” exist. When the violations are alleged to be “high gravity serious”violations, OSHA may use an employer’s compliance history across the country indeterminingwhethertoissuerepeatviolations.

d.WillfulViolationsWillful violations are those violations of the Act that are voluntarily committed with intentionaldisregardoforplainindifferencetotheAct.Employersmaybefinedupto$70,000forwillfulviolationswithamandatoryminimumpenaltyof$5,000foreachwillful violation.23

e. DeMinimusViolationsViolations of theAct that have no immediate relationship to safety and health areclassified as de minimus. Generally, de minimus violations are found if there is no evidence of hazard, no effective safety or health protection is available, protective devices used are equal to or better than required by the standard, or a substantial record ofaccident-freeoperationexists.Nopenaltyisissuedforde minimus violations.

f. Failure to Abate, Failure to PostFailure to correct in a timely fashion a violation of the Act that has become final asamatteroflawcanresultinanassessmentofapenaltyupto$7,000perdayiftheemployerfailstoactingoodfaithinachievingabatementofaviolation.24 Similarly, failure to complywith posting requirementsmay result in fines up to$7,000perviolation.25

g.ImminentDangerViolationsUsuallyasaresultofacomplaint,OSHAmayinspectandissueanimminentdangercitation if conditions could reasonably be expected to cause death or serious physical injuryimmediatelyorbeforethedangercanbecorrectedthroughnormalenforcementproceedings. IfOSHA isunable toobtainan immediateandvoluntary resolutionoftheimminentdanger,itmaybringsuitinaUnitedStatesdistrictcourttorestrainthedangerousconditionorpractice.

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h. Criminal PenaltiesWillful violations which lead to a death may be criminally punished by a fine up to $10,000 and/or six months’ imprisonment in the first instance and $20,000 or one year’s imprisonment for subsequent instances.26 Falsification of records may be criminally punished by a fine up to $10,000 and/or six months’ imprisonment.27 There isalsoapenaltyofa$1,000fineand/orsixmonths’imprisonmentforgivingadvancenotice of an inspection without proper authority.28 Maximum criminal penalties may beincreasedbytheSentencingReformActof1984,18U.S.C.3551,etseq.

i.“Egregious”ViolationsOSHA issues citations on a violation-by-violation basis when the violations areclearlywillfulandappropriateconditionsexisttojustifytheimpositionofmaximumpenaltiesforeachindividualoccurrenceofemployeeexposureratherthangroupingexposure instances intoa singleviolation, so longas the cited regulationprohibitsindividualactsorconditions.Forexample,aworksitecatastropheresultinginworkerfatalitiesoralargenumberofseriousinjuriesorillnessesmayyield,underappropriatecircumstances,proposedpenaltiesinexcessofseveralmilliondollars.OSHAInstructionCPL 2.80,“Handling of Cases to be Proposed forViolation-by-Violation Penalties,”outlinesthevarioussituationsthatmayresultinanegregiouspenaltyassessment.29

j.SevereViolatorEnforcementProgram(SVEP)ByenforcementDirective,OSHAhasdeterminedthatcertainemployerswillbeplacedintotheSVEP.CriteriaforbeingplacedintheSVEPincludefatality/catastrophiceventswhere willful and repeat citations are issued, where there is a failure to abate previous citationsornon-fatality/catastrophichighemphasishazardsresultinginwillful/repeatcitations. The consequences of being placed in the SVEP include, among others,nationwideinspections,follow-upinspectionsandenhancedsettlementterms.

k.MitigatingFactorsThe Act provides for the consideration of certain mitigating factors to reduce anemployer’scivilpenaltyorfine.Suchfactorsincludethegravityoftheviolation,thesizeoftheemployer’sbusiness,theemployer’sgoodfaith,andtheemployer’shistoryof violations.30

G. The Contest ProcessEmployershavetherighttocontestacitation.Anemployermayfile(within15workingdaysofreceivingthecitation)anoticeofcontesttothecitationwiththeOSHAAreaDirector.Thenoticeshouldstatewhethertheemployeriscontestingthecitation,thepenalty, the abatement date, or all three. An employer also has the option to discuss settlementorwithdrawalofthecitationwiththeAreaDirector(orhisrepresentatives)inaninformalconference.Anysettlementresultingfromaninformalconferencemustbeexecutedwithinthe15-dayperiodallowedtofileanoticeofcontest.

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H. Employer DefensesNumerous defenses are available to an employer if it is issued a citation. These defenses, bothlegalandfactual,ifestablishedmayresultinthecitationbeingdismissed.

One of the most common defenses asserted by employers is the defense ofunpreventable employee misconduct. To establish this defense, the employer must prove that (1) ithasanestablishedwork rule thatwouldprevent theviolation;(2)therulewasadequatelycommunicatedtoitsemployees;(3)procedureswerein place tomonitor the rule (if applicable); and (4) violations of the rulewereuniformly enforced.31

Examples of other defenses include failure to issue the citation within the six months statute of limitations contained in the Act32,lackofjurisdiction33, and compliance with the cited standard is infeasible34,orwouldcreateagreaterhazard.35

There are other defenses and counsel should be contacted to ensure that all available defensesareevaluatedandproperlypresentedtoOSHAor,ifapplicable,provedwithrelevantevidenceduringanadministrativehearingbeforetheOSHRC.

I. Hearing and AppealOnceacitationiscontested,theSecretaryofLabormustthenfileacomplaintwiththeOSHRCseekingaffirmationofthecitation;i.e.,afindingthattheviolationoccurred.The employer then files an answer to the complaint, and limited discovery takes place.TheOSHRCisanindependentagencycreatedtograntadministrativehearingsto those employerswhowish to contest citations. OSHA hearings are held beforeanadministrative law judgeandareconductedunder theAdministrativeProcedureAct3636 and the Federal Rules of Civil Procedure and Evidence,37 as modified by the RulesoftheOSHRC.38Forsomecases,theOSHRChasaSimplifiedProceedingssystemthat provides for an expedited resolution of a contested citation.39 Employers should becautiousoftheSimplifiedProceedingsbecauseofthelimiteddiscoveryprovidedundertheOSHRCRules.

Partieshavetherighttosubmitevidenceandpost-hearingbriefs.Attheconclusionof the hearing, the administrative law judge issues his decision, findings of fact,and conclusions of law.40EitherpartymaypetitiontheOSHRCtoreviewadecisionbyanadministrativelawjudge.TheOSHRCmayeithergrantordenyapetitionforreview.IftheReviewCommissionfailstoactonthepetitionwithin30daysafterthedocketingoftheadministrativelawjudge’sdecision,thepetitionisdeemeddenied.Beforeseekingfurtherappellatereview,anemployermustfileapetitionforreviewwiththeOSHRC.

OnceadecisionbecomesfinaleitherbyfailureoftheOSHRCtograntapetitionforrevieworbyrenditionof itsdecision,anaggrievedpartymay,within60days,seekreview of the decision in the Court of Appeals. In theory, a party may obtain further reviewintheSupremeCourt;however,theSupremeCourthasrarelygrantedreviewin such cases.

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J. Costs and Fees of PartiesUnder the Equal Access to Justice Act, a federal agency, such as OSHA, may berequiredtopayanemployeritsdefensecostsincurredincontestingOSHAcitationsinsome circumstances.41First,anOSHRCadministrativelawjudgemustfindthatOSHA’spositionwasnotsubstantiallyjustified.42 Second, the employer’s net worth must not exceed$7,000,000anditsworkforceconsistofnomorethan500employees.43 Finally, theadministrativelawjudgemaydenyanemployeritsdefensecostswhenitwouldsimplybeunjusttodoso.44

K. OSHA and Civil LiabilityTheActspecificallyprovidesthat:

Nothing in this chapter shallbeconstrued tosupersedeor inanymanneraffectanyworkers’compensationlawortoenlargeordiminishoraffectinanyothermannerthecommonlaworstatutoryrights,duties,orliabilitiesofemployersandemployeesunderanylawwithrespecttoinjuries,diseases,ordeathofemployeesarisingoutof,orinthecourseofemployment.45

AlthoughviolationsoftheActhavebeenheldtobeadmissibleinlawsuitsraisingtort,negligence,andproductsliabilityclaims,noprivate,independentcauseofactionhasbeen found to exist for violations of the Act. Moreover, a violation of the Act alone is notsufficienttoestablishnegligenceasamatteroflaw.46

Additionally,OSHAfollowsaninternalpolicyofinformingfamiliesofworkerskilledonthejobofOSHA’sinvestigation,citationsissued,employercontests,andclosingoftheinvestigation. InformationobtainedduringOSHA’s investigationcanbesharedwiththefamilyaftertheOSHAcaseisclosed.

L. OSHA Discrimination OSHA protects employees against discharge or other discriminatory treatment forexercisinganyrightstheymayhaveundertheAct.47 Employers are prohibited from taking adverse action against employees who have filed complaints on health orsafetymattersorwhohaveparticipatedinOSHAproceedings.Additionally,employeesareprotectedfromretaliationforrefusingtoworkundercertainhazardousconditions.ThepertinentOSHAregulationprovides:

If the employee, with no reasonable alternative, refuses in good faithto expose himself to the dangerous condition, he would be protectedagainst subsequent discrimination. The condition causing the employee’sapprehensionofdeathorinjurymustbeofsuchanaturethatareasonableperson, under the circumstances then confronting the employee, wouldconclude that there is a real danger of death or serious injury and thatthere is insufficient time,due to theurgencyof thesituation, toeliminatethe danger through resort to regular statutory enforcement channels. Inaddition, in such circumstances, the employee, where possible, must also

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havesoughtfromhisemployer,andbeenunabletoobtain,acorrectionofthedangerouscondition.48

Employees who refuse to comply with occupational safety and health standards or valid safety rules implemented by the employer in furtherance of the Act are not exercisinganyrightsaffordedbytheAct.Disciplinarymeasurestakenbyemployerssolely in response to employee refusal to comply with appropriate safety rules and regulationswillnotordinarilyberegardedasdisciplinaryactionprohibitedbytheAct.Thissituationisdistinguishablefromlegitimaterefusalstoworkdiscussedabove.49

M. Applicability of Other LawsOSHA is not and was never intended to be the only source of safety and healthregulation. Employers should be aware that in many areas unregulated by OSHA,numerous federal, state, and local statutes and regulations may apply to theworkplace. For example, the Federal Aviation Administration (safety in air commerce), theDepartmentofTransportation throughtheNationalTransportationSafetyBoard(safe and efficient transportation), Motor Carrier Act,50 pipeline regulation, federalrailway safety regulations, environmental matters such as the Toxic SubstancesControl Act,51 child labor laws, mine safety and health, and even discrimination lawsall impactandregulateworkplacesafetyandhealth.Laborcounselshouldbeconsultedtoensurecompliancewiththesemanylawsandregulationswhichimpactworkplace safety and health.

N. State Criminal LiabilityCourts in several states52 have concluded that the Act does not preempt state criminal prosecutions based upon workplace conditions. Thus, employers and managementpersonnel canbe subject to criminal prosecutionby stateand localauthoritiesdespitethefactthatOSHAmayhavealsobeeninvolvedinaworkplacesafetyorhealthinvestigation.

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1 The Occupational Safety & Health Act of 1970, 29 U.S.C. § 651 et seq.

2 See, e.g., Ben Robinson v. Workers’ Comp. Comm’n, 934 S.W. 2d 149 (Tex. Ct.App.-Austin 1996, writ denied) finding that the Extra-Hazardous Employer Program under the Texas Workers’ Compensation Act, Tex. Labor Code § 411.041 et seq., is preempted by the Act.

3 29 U.S.C. § 654(a)(1).4 29 U.S.C. § 655.5 See, e.g., 29 C.F.R. § 1910.1-441, 29 C.F.R. §

1926.1-1152, 29 C.F.R. §1915.1-1450.6 29 U.S.C. § 655(d).7 See, e.g., H.B. Zachry Co., 7 OSHC 2202 (Rev.

Comm’n 1980), aff ’d, 638 F. 2d 812 (5th Cir. 1981).

8 See 29 C.F.R. § 1904.9 29 C.F.R. § 1904.7(a),(b)(7)10 29 C.F.R. § 1904.6; 29 C.F.R. § 1960.73.11 29 C.F.R. § 1910.1020(d)(1).12 29 U.S.C. § 657(c)(1).13 For example, in Texas see, e.g. TEX.

HEALTH AND SAFETY CODE ANN. art. 502.001 (Vernon Supp. 1996).

14 29 C.F.R. § 1904.39.15 29 U.S.C. § 654(b).16 29 U.S.C. § 657.17 See generally, 29 C.F.R. § 1903, et seq.18 29 U.S.C. § 657(a); Marshall v. Barlow’s Inc.,

436 U.S. 307 (1978) (recognizing right of business to be free from unreasonable, official entries).

19 29 U.S.C. § 666(k).20 29 U.S.C. § 666(b).21 29 U.S.C. § 666(c).22 29 U.S.C. § 666(a).23 29 U.S.C. § 666(a).24 29 U.S.C. § 666(d).25 29 U.S.C. § 666(i).26 29 U.S.C. § 666(e).27 29 U.S.C. § 666(g).28 29 U.S.C. § 666(f).29 In Secretary of Labor v. Arcadian Corp., 110

F. 3d 1192 (5th Cir. 1997), the United States Court of Appeals for the Fifth Circuit ruled that OSHA did not have authority to issue egregious citations based on the general duty clause. Whether OSHA has the authority to issue egregious citations based on specific standards is still a contested issue and may be limited to “those standards which are capable of such interpretation.” Chao v. Occupational

Safety and Health Review, 403 F.3d 355, 368 (5th Cir. 2005).

30 29 U.S.C. § 666(j).31 See L. E. Myers Co., 16 OSHC 1037 (Rev.

Comm’n 1993); L.R. Willson & Sons, Inc. v. OSHRC, 134 F. 3d 1235 (4th Cir. 1998) cert. denied 142 L. Ed. 2d 328 (1998); contrast with New York State Electric and Gas Corp. v. Secretary of Labor, 88 F.3d 98, 107 (2d Cir. 1996).

32 29 U.S.C. § 658(c).33 See Chao v. Mallard Bay Drilling, 534 U.S. 235

(2002).34 See Bratton Furniture Mfg. Co., 11 OSHC 1433

(Rev. Comm’n 1983).35 See Spancrete Northeast, Inc., 15 OSHC 1020

(Rev. Comm’n 1991).36 The Administrative Procedure Act, 5 U.S.C.

§ 551 et seq. (1994).37 See, e.g., 29 U.S.C. § 661(g).38 29 C.F.R. §§ 2200, et seq.39 29 C.F.R. §§ 2200.200 et seq.40 29 U.S.C. § 661(j).41 5 U.S.C. § 504.42 5 U.S.C. § 504(a)(1).43 5 U.S.C. § 504(b)(1)(B).44 5 U.S.C. § 504(a)(4).45 29 U.S.C. § 653(b)(4).46 Supreme Beef Processing, Inc. v. Maddox, 67

S.W. 3d 453, 458 (Tex.App. — Texarkana 2002, pet. denied).

47 29 U.S.C. § 660(c)(1) and (2).48 29 C.F.R. § 1977.12.49 29 C.F.R. § 1977.22.50 Motor Carrier Act, 49 U.S.C. § 10101 et seq.

(1995).51 Toxic Substances Control Act, 15 U.S.C.

§ 2601.52 For example, in Texas see Sabine Consolidated,

Inc. v. Texas, 806 S.W.2d 553 (Tex. Crim. App. 1991).

15

ENDNOTES

16

APPENDIX A

Region VI (NM, TX, OK, AR, LA)

ActingRegionalAdministrator:John Hermanson 525GriffinStreet,Suite602Dallas,Texas75202972.850.4145972.850.4149(fax)

DeputyRegionalAdministrator:Eric Harbin525GriffinStreet,Suite602Griffin&YoungStreetsDallas,Texas75202972.850.4145 Area Offices:

AustinAreaOfficeCaseyPerkins,AreaDir.1033LaPosadaDriveSuite375Austin,TX78752-3832512.374.0271512.374.0086(fax)

CorpusChristiAreaOfficeMichael Rivera, Area Dir.WilsonPlaza,Suite700606N.CarancahuaCorpusChristi,TX78476-1702361.888.3420361.888.3424(fax)

DallasAreaOfficeStephen Boyd, Area Dir.8344E.R.L.ThorntonFreewaySuite 420Dallas,TX75228214.320.2400214.320.2598(fax)

ElPasoDistrictOfficeJoanne J. Figueroa, Asst. Area Dir.4849N.MesaSt.,Suite200ElPaso,TX79912-5936915.534.6251(6252)915.534.6259(fax)

FortWorthAreaOfficeJack Rector, Area Dir.8713AirportFreeway, Suite302FortWorth,TX76180-7610817.428.2470817.581.7723(fax)

HoustonNorthAreaOfficeDavid A. Doucet, Area Dir.507NorthSamHoustonParkway East, Suite 400Houston,TX77060281.591.2438281.999.7457(fax)

HoustonSouthAreaOfficeMark Briggs, Area Dir.17625ElCaminoRealSuite 400Houston,Texas77058281.286.0583(0584)281.286.6352(fax)

LubbockAreaOffice (also covers New Mexico)Joanne J. Figueroa, Area Dir.FederalOfficeBuilding1205TexasAvenue,Room806Lubbock,Texas79401806.472.7681(7685)806.472.7686(fax)

SanAntonioAreaOfficeKelly Knighton, Area Dir.800DolorosaStreet,Suite203SanAntonio,TX78207-4559210.472.5040210.472.5045(fax)

LittleRockAreaOfficeCarlos M. Reynolds, Area Dir.10810ExecutiveCenterDriveDanvilleBldg#2;Suite206LittleRock,AR72211501.224.1841501.224.4431(fax)

BatonRougeAreaOfficeDorinda Folse, Area Dir.9100BluebonnetCentreBlvdSuite 201BatonRouge,LA70809225.298.5458225.298.5457(fax)

OklahomaCityAreaOfficeDavid Bates, Area Dir.55NorthRobinson,Suite315OklahomaCity,Oklahoma73102-9237405.278.9560405.278.9572(fax)

OSHA maintains a comprehensive website — www.osha.gov — that provides additional informationandcomplianceassistance.OSHAalsohasan800telephonenumber for reporting fatality or accidents that are required to be reported 1-800-321-OSHA(6742).

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APPENDIX B

XYZ Industries OSHA Inspection Procedures

I. REASONS FOR INSPECTION.A. ImminentDanger—WhereOSHAhas information tobelieve thata condition

exists that can be expected to cause death or serious harm immediately.

B. Accidents and Fatalities—WhereOSHAhasinformationconcerningaccidentsorfatalities (OSHAregulationsrequirenotificationof theOSHAareaofficewithineighthoursofafatalityoraccidentthatresultsinthehospitalizationofthreeormore — call corporate personnel if such a situation occurs).

C. Complaints—EmployeesorthepublicmaycallorwriteOSHAandreportunsafeor unhealthful conditions.

D. SpecialInspectionPrograms—InspectionsbasedonOSHA-determinedpriorities(usuallyindustrieswithhighhazards).

E. Routine or General Schedule — Random, generally due to a formalizedadministrativetargetingplan.

F. Follow-up — Confirm abatement from previous inspection.

II. PREPARATION.A. Be in compliance with safety and health rules and procedures.

B. Recordkeeping—thefollowingshouldbekeptuptodate:

1. OSHA300logs2. OSHAForm301—SupplementaryRecords/IncidentRecords3. AnnualSummary4. HazardCommunicationProgram5. CompanySafetyandHealthPrograms,includingsafetymeetingminutes,

recordsofdisseminationandenforcementofprogram,training,etc.6. AssuredEquipmentGroundingProgram(ifGFCInotused)7. OSHAPoster

C. Bepreparedfor inspectionsatanytime,maintainhousekeeping,continueself-inspections,andknowOSHAregulationsthatapplytoCompany’sactivities.

III. ARRIVAL OF OSHA INSPECTOR.

A. Immediately notify corporate personnel.

B. Ask to see credentials — write down name.

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C. Escort into office — have OSHA stay in office until decision made how to proceed.

D. Askwhyinspectiontakingplace—obtaincopyofcomplaintifapplicable.

E. Ifmanagerisnotatplant,askOSHAtoreturnwhenmanagerwillreturn(atleastfollowingday).IfOSHAobjects,putthemintouchwithcorporatepersonnel.

F. Ifmanagerisatplant:

1. Allow routine record checks.2. Determineifinspectionistobeallowedorifdelayofinspectionorsearch

warrant will be requested — discuss with corporate personnel.3. Ifdelayistoberequested,tellOSHAschedule(yours,production,etc.)

will not allow inspection — ask to come back in two days (one day is also acceptable).

4. IfOSHArefuses,conferwithcorporatepersonneltodetermineifsearchwarrant will be required.

5. Conferwithcorporatepersonneltodiscussinspectionstrategy.

G. Notify all appropriate managers, foremen and subcontractors, if applicable, ofimpendingOSHAinspection.

IV. THE INSPECTION.A. OpeningConference.

1. Recordnamesofallpresent;takenotesofallsaid.2. Ifbysearchwarrant,obtaincopyandreaditcarefully—OSHAinspection

cannotexceedwordingofwarrant.3. Ifnotbysearchwarrant,determinewhichworkareaswillbeinspected.4. IfOSHAseekstoinspectareasoutsideworkareasidentified,donotallow

— confer with corporate personnel.5. Donotvolunteeranyinformation;becooperative,butdonotspeculate.

B. The Walkaround.

1. Corporatepersonnelwilldesignatethemanageroraresponsibleperson toaccompanyOSHA.Thispersonisonewho:

a. Is completely familiar with federal safety standards. b. Is completely familiar with the operation. c. Is completely familiar with the company policy on federal

safety inspections.2. Attitudetowardtheinspection: a. Useyourownexpertiseduringaninspection. b. Emphasizeaprofessionalattitudeduringinspection. i. Take a calm and rational (reasonable) approach. ii. Avoidinvolvingyourselfemotionally.

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3. Recommendedtechniquesduringtheinspection: a. EstablishacooperativeattitudewithOSHA. b. AnswerOSHAquestionsconcerningfactsofyouroperation.Ifyou

donotknowtheanswer,donotguess. c. MakecertainthatOSHAunderstandstheanswers. d. Donotadmitviolations.Normallyyouwillnothaveenoughinformation

tomakethatfinaljudgment.Remember,mostOSHAviolationsareproved by admissions voluntarily made by employer representatives duringinspections.

e. Befamiliarenoughwiththeregulationstotactfullyrepresentthecompany’spositionifyoufeelOSHAismakingamistakeinciting aviolation.(Youcandisagreewithoutbeingdisagreeable.)

i. Present the company’s position at the time of the inspection. ii. TellOSHAanymitigatingcircumstances. iii. Tell why there is no safety risk or exposure if there is none. iv. Give reasons why correction has not occurred (if there are any

legitimatereasons). v. Explainwhythereisnoimminentdangertolifeorlimb. f. Donotoverreact. g. Whennecessary,seekassistanceand/orexpertisefromforemen,

safety personnel, etc. h. Play an active role in the inspection. i. Takenotesofeachlocationvisited,equipmentchecked(including

serial numbers), personnel talked to, pictures taken, noteworthy commentsbyOSHA.

j. TakeapictureorhaveasampletakenofeverythingOSHAdoes. k. AlwaysaccompanyOSHA—neverleaveOSHAalone. l. Donotperformdemonstrations. m. Itisthecompany’sdecisionwhethertoallowOSHAtointerview,

onsite, company personnel. Contact corporate personnel. Prepare potentialintervieweesanddirectOSHAtothemifOSHAasksto speaktoemployees.OSHAalwaysrequestsprivateemployeeinterviews. Have employees request your presence at interviews. OSHAcannotrequireprivateinterviewswithsupervisors.Contactcorporate personnel if questions occur.

n. Statements. i. Supervisorypersonnel—nevergivewrittenstatementswithoutprior

approvalofcorporatepersonnel.Ifastatementisgivenaskforacopy. ii. Non-supervisorypersonnel—encourageemployeetorequestyour

presenceandabilitytoreviewstatementbeforesigning.OSHAwilltry to influence statements to the detriment of the company.

20

Ifprivateinterviewsandstatementsaregiven,encourageemployeetobecarefulandbeabsolutelycertainstatementisaccurate.Debriefinvolved employee immediately, have employee request a copy of statement, and obtain a copy from employee for company.

o. Abatement. i. Iftheallegedviolationcanbereasonablycorrectedgoaheadand

make the correction, even if you feel you will later contest the allegedviolation.Donotadmitaviolation.

ii. Wheretheallegedviolationcannotbecorrectedonthespot,becertaintoaskforsufficienttimetoabatetheallegedviolationproperlysothatOSHA’sreportshows“abatedatoperator’srequest.”Donotadmitaviolation.

iii.Ifyouhaveanyquestionsonanallegedviolation,contactcorporatepersonnel for advice and direction.

p. ClosingConference. i. Makenoteofallpresentandwhatissaid,includingOSHA,especially

thedetailsofallegedviolations. ii. Donotvolunteerinformation.Donotadmitviolations. iii.IfOSHAaskshowlongitwilltaketoabate,theansweris“no

comment.”Thecompanywillrespondwithinthetimeperiod allowed by law.

q. The Citation — when received, notify corporate personnel immediately.

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APPENDIX C

UNITED STATES DISTRICT COURT NORTHERN DISTRICT OF TEXAS DALLAS DIVISION

In the matter of InspectionWarrantDocketNo.

ConstructionWorksiteInspectionOf DocketNo.

Dallas,Texas

INSPECTION WARRANTTO:KFrankGravittAND/ORANYOTHERDULYAPPOINTEDCOMPLIANCEOFFICERS

OFTHEOCCUPATIONALSAFETYANDHEALTHADMINISTRATION,UNITEDSTATESDEPARTMENTOFLABOR(OSHA).

RequesthavingbeenmadeandsufficientfactshavingbeenpresentedtotheCourt,the Court, based on these facts hereby finds probable cause exists to believe that the workplace hereinafter described was selected for a programmed constructioninspection pursuant to an administrative enforcement plan based upon objectiveselection criteria. The Court further finds, based on the facts presented, that the proposed scope of the warrant is reasonable. Therefore,

IT IS HEREBY ORDERED that, pursuant to Section 8(a), 29 U.S.C. 657(a), of theOccupational Safety and Health Act of 1970 (29 U.S.C. 651 et seq.), hereinafterreferredtoas“theAct,”youoryourdulydesignatedrepresentative(s)areauthorizedto enter the workplace hereinafter described within 10 days for the purpose of conductingaprogrammedconstructioninspection.

Said inspection shall be within 10 days and shall be conducted and finished within a reasonabletime.Saidinspectionshallbeconductedduringregularhoursandatotherreasonable times, within reasonable limits and in a reasonable manner.

Said inspection shall extend to all pertinent conditions, structures, machines, apparatus, devices, equipment, and materials necessary to effectuate its purpose. The compliance personnel shall be permitted to question privately any employer, owner, operator, agent, or employee.The compliance personnel also shall be permitted toreview records, (excludingemployeemedical records) requiredbyU.S.C.657(c)andregulationspromulgatedpursuantthereto,whicharedirectlyrelatedtothepurposeoftheinspectionandtotakephotographsrelatedtothepurposeoftheinspection.

SCOPE OF THE INSPECTION:

Theinspectionshallcoverallareasofthebelow-describedconstructionworksiteunderthe control of __________________________________________________ and shall extend to and include any and all subcontractors located on the construction site.

DESCRIPTION OF WORKPLACE:No return of this warrant need be made.

DATEDthis_______________dayof___________________________________

UNITED STATES MAGISTRATE

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APPENDIX D

U.S. Department of LaborOccupationalSafetyandHealthAdministration ForthWorthAreaOffice 8713AirportFreeway,Suite302 FortWorth,TX76180-7610 Phone:(817)581-7303Fax:(817)581-7723

Citation and Notification of Penalty

To: S.J. Louis Construction of Texas, Ltd. and its successors P.0.Box834Mansfield,TX76063

Inspection Number: 316045335 Inspection Date(s): 02/16/2012–02/16/2012 Issuance Date: 08/06/2012

Inspection Site:860W.AirportFrwy. Hurst,TX76054

The violation(s) described in this Citation and NotificationofPenaltyis(are)allegedtohaveoccurred on or about the day(s) the inspection was made unless otherwise indicated within the descriptiongivenbelow.

ThisCitationandNotificationofPenalty(thisCitation)describesviolationsoftheOccupationalSafetyandHealthActof1970.Thepenalty(ies)listedhereinis(are)basedontheseviolations.You must abate the violations referred to in this Citation by the dates listed and pay the penaltiesproposed,unlesswithin15workingdays(excludingweekendsandFederalholidays)from your receipt of this Citation and Notification of Penalty you mail a notice of contest to the U.S.DepartmentofLaborAreaOfficeattheaddressshownabove.Pleaserefertotheenclosedbooklet(OSHA3000)whichoutlinesyourrightsandresponsibilitiesandwhichshouldbereadin conjunctionwith this form. Issuance of this Citation does not constitute a finding that aviolation of the Act has occurred unless there is a failure to contest as provided for in the Act or, if contested, unless this Citation is affirmed by the Review Commission or a court.

Posting — The law requires that a copy of this Citation and Notification of Penalty be posted immediately in a prominent place at or near the location of the violation(s) cited herein, or, if it is not practicable because of the nature of the employer’s operations, where it will be readily observable by all affected employees. This Citation must remain posted until the violation(s) citedhereinhas(have)beenabated,orfor3workingdays(excludingweekendsandFederalholidays),whicheverislonger.

Informal Conference — An informal conference is not required. However, if you wish to have such a conference youmay request onewith theArea Director during the 15working daycontest period.During such an informal conference youmay present any evidence or viewswhichyoubelievewouldsupportanadjustmenttothecitation(s)and/orpenalty(ies).

IfyouareconsideringarequestforaninformalconferencetodiscussanyissuesrelatedtothisCitationandNotificationofPenalty,youmusttakecaretoschedule itearlyenoughtoallowtime to contest after the informal conference, should you decide to do so. Please keep in mind that awritten letter of intent to contestmust be submitted to theArea Directorwithin 15workingdaysofyourreceiptofthisCitation.Therunningofthiscontestperiodisnotinterruptedby an informal conference.

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24

Ifyoudecidetorequestaninformalconference,pleasecomplete,removeandpostthepage4Notice to Employees next to this Citation and Notification of Penalty as soon as the time, date andplaceoftheinformalconferencehavebeendetermined.Besuretobringtotheconferenceanyandallsupportingdocumentationofexistingconditionsaswellasanyabatementstepstakenthusfar.Ifconditionswarrant,wecanenterintoaninformalsettlementagreementwhichamicablyresolvesthismatterwithoutlitigationorcontest.

Right to Contest—YouhavetherighttocontestthisCitationandNotificationofPenalty.Youmay contest all citation items or only individual items. You may also contest proposed penalties and/orabatementdateswithoutcontestingtheunderlyingviolations.Unless you inform the Area Director in writing that you intend to contest the citation(s) and/or proposed penalty(ies) within 15 working days after receipt, the citation(s) and the proposed penalty(ies) will become a final order of the Occupational Safety and Health Review Commission and may not be reviewed by any court or agency.

Penalty Payment—Penaltiesareduewithin15workingdaysofreceiptofthisnotificationunless contested. (See the enclosed booklet and the additional information provided related to theDebtCollectionActof1982.)Makeyourcheckormoneyorderpayable to“DOL-OSHA”.Please indicate the Inspection Number on the remittance.

OSHAdoes not agree to any restrictionor conditions or endorsements put on any checkormoney order for less than the full amount due, and will cash the check or money order as if these restrictions, conditions, or endorsements do not exist.

Notification of Corrective Action — For each violation which you do not contest, you are requiredby29CFR1903.19tosubmitanAbatementCertificationtotheAreaDirectorofOSHAoffice issuing thecitationand identifiedabove.Thecertificationmust be sent by you within 10 calendar days of the abatement date indicated on the citation. For Willful and Repeat violations,documents(examples:photos,copiesofreceipts,trainingrecords,etc.)demonstrationthat abatement is complete must accompany the certification. Where the citation is classified as Serious and the citations states that abatement documentation is required, documents such as thosedescribedabovearerequiredtobesubmittedalongwiththeabatementcertificate.Ifthecitationindicatesthattheviolationwascorrectedduringinspection,noabatementcertificationis required for that item.

Allabatementverificationdocumentsmustcontainthefollowinginformation:1)Yournameandaddress;2)theinspectionnumber(foundonthefrontpage);3)thecitationandcitationitemnumber(s)towhichthesubmissionrelates;4)astatementthattheinformationisaccurate;5)thesignatureoftheemployeroremployer’sauthorizedrepresentative;6)thedatethehazardwascorrected;7)abriefstatementofhowthehazardwascorrected;and8)astatementthataffected employees and their representatives have been informed of the abatement.

The law also requires a copy of all abatement verification documents, required by 29 CFR1903.19tobesenttoOSHA,alsobepostedatthelocationwheretheviolationappearedandthe corrective action took place.

Employer Discrimination Unlawful — The law prohibits discrimination by an employer against an employee for filing a complaint or for exercising any rights under this Act. Anemployeewhobelievesthathe/shehasbeendiscriminatedagainstmayfileacomplaintnolaterthan30daysafterthediscriminationoccurredwiththeU.S.DepartmentofLaborAreaOfficeat the address shown above.

Employer Rights and Responsibilities — The enclosed booklet (OSHA 3000) outlinesadditional employer rights and responsibilities and should be read in conjunction with this notification.

Notice to Employees—Thelawgivesanemployeeorhis/herrepresentativetheopportunitytoobjecttoanyabatementdatesetforaviolationifhe/shebelievesthedatetobeunreasonable.ThecontestmustbemailedtotheU.S.DepartmentofLaborAreaOfficeattheaddressshown

aboveandpostmarkedwithin15workingdays(excludingweekendsandFederalholidays)ofthe receipt by the employer of this Citation and Notification of Penalty.

Inspection Activity Data—You should be aware thatOSHApublishes information on itsinspection and citation activity on the Internet under the provision of the Electronic Freedom of InformationAct. The information related to these alleged violation will be posted whenour system indicates that youhave received this citation.Youareencouraged to review theinformationconcerningyourestablishmentatWWW.OSHA.GOV. If you have any dispute with the accuracy of the information displayed, please contact this office.

U.S. Department of LaborOccupationalSafetyandHealthAdministration

NOTICE TO EMPLOYEES OF INFORMAL CONFERENCE

An informal conferencehasbeen scheduledwithOSHA todiscuss the citation(s)issuedon08/06/2012.TheconferencewillbeheldattheOSHAofficelocatedatFortWorthAreaOffice,8713AirportFreeway,Suite302,FortWorth,TX76180-7610on at . Employees and/or representatives ofemployeeshavearighttoattendaninformalconference.

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26

Fort Worth Area Office

InspectionNumber:316045335 InspectionDates:02/16/2012-02/16/2012 IssuanceDate:08/06/2012

Citation and Notification of Penalty

CompanyName: S.J.LouisConstructionofTexas,Ltd. InspectionSite: 860W.AirportFrwy.,Hurst,TX76054

Citation 1 Item 1 TypeofViolation:Serious

29CFR1926.651(j)(2): Protectionwasnotprovidedbyplacingandkeepingexcavatedorothermaterialsorequipmentatleast2feet(0.61m)fromtheedgeofexcavations,orbytheuseofretainingdevicesthatweresufficienttopreventmaterialsorequipmentfromfallingorrollingintoexcavations,orbyacombinationofbothifnecessary:

Onorabout2/16/12,on thewestsideof the trench,employeesworking in the trenchwereexposedtothehazardofbeingstruckbyfallingmaterials thatwerenotkeptat least2 feetfromtheedgeofthetrench.

Date By Which Violation Must be Abated: 08/10/2012 Proposed Penalty: $7000.00

2727

Fort Worth Area Office

InspectionNumber:316045335 InspectionDates:02/16/2012-02/16/2012 IssuanceDate:08/06/2012

Citation and Notification of Penalty

CompanyName: S.J.LouisConstructionofTexas,Ltd. InspectionSite: 860W.AirportFrwy.,Hurst,TX76054

Citation 1 Item 1 TypeofViolation:Repeat

29CFR1926.652(a)(1): Eachemployeeinanexcavationwasnotprotectedfromcave-insbyanadequateprotectivesystemdesignedinaccordancewithparagraph(b)or(c)ofthissection:

Onorabout2/16/12onthesouthendofthetrench,employeeswereexposedtocave-inhazardswhileworkinginanopentrenchapproximately10feetdeepwithinadequatesloping,benchingorshoringconfigurations.

S. J. Louis Construction of Texas Ltd. Was previously cited for violation of this occupational safety andhealthstandardoritsequivalentstandard29CFR1926.652(a)(1)whichwascontainedinOSHAInspection310447495,Citation1,Item2,andwasaffirmedasafinalorderon06/26/08withafinalabatementdateof06/16/08,withrespecttoaworkplacelocatedat4750BlockofJoseyLane,Carrollton,TX75010.

Date By Which Violation Must be Abated: 08/10/2012 Proposed Penalty: $38500.00

Jack A. Rector AreaDirector

APPENDIX E

UNITED STATES OF AMERICA OCCUPATIONAL SAFETY AND HEALTH REVIEW COMMISSION

HILDAL.SOLIS,SecretaryofLabor, ) UnitedStatesDepartmentofLabor ) ) Complainant, ) OSHRCDocket ) No.12-1620 v. ) ) S.J.LOUISCONSTRUCTIONOFTEXAS,LTD. ) OSHAInspectionAndItsSuccessors, ) No.316045335 ) Respondent. )

COMPLAINT

An inspection has disclosed that, at the time and in the manner hereinafter stated, the provisionsofSection5(a)oftheOccupationalSafetyandHealthActof1970(29U.S.C.§651,et. seq.), hereinafter referred to as theAct, have been violated. It is, therefore, alleged and chargedthat:

I.

Jurisdiction of this proceeding is conferred upon the Occupational Safety and HealthReviewCommission,hereinafterreferredtoastheCommission,bySection10(c)oftheAct,29U.S.C.§659(c).

II.

RespondentisanemployerengagedinabusinessaffectingcommercewithinthemeaningofSection3(5)oftheAct,29U.S.C.§652(5).

III.

As a result of an inspection at respondent’s workplace by an authorized representative of complainant, respondent was issued two citations for serious and repeat violations pursuant to Section9(a)oftheAct.TherepeatviolationisalsoseriouswithinthemeaningofSection17(k)of the Act. The violations is set forth in the attached citation marked as Exhibit A and adopted byreferencepursuantto29C.P.R.§2200.30(d).

IV.

Exhibit A states with particularity the time, location, place and circumstances of such allegedviolations.

V.

OnAugust6,2012,complainantreceivedfromrespondentanoticeofintenttocontesttheaforesaidcitationpursuanttotheprovisionsof§10(c)oftheAct.

VI.

The penalty proposed for the violations set forth in Exhibit A is appropriate within the meaningof§170(j)oftheAct,givingdueconsiderationtothesizeofthebusiness,thegravityoftheviolation,thegoodfaithoftherespondent,andthehistoryofpreviousviolations.

VII.

Theperiodforabatementoftheallegedviolationisbaseduponaconsiderationofallknownpertinentfacts.Considerationsusefultoarrivingatanabatementdateinclude(1)thegravityof

28

allegedviolation,(2)theavailabilityofneededequipment,material,and/orpersonnel,(3)thetimerequiredfordelivery,installation,modificationofconstruction,and(4)trainingofpersonnel.

WHEREFORE PREMISES CONSIDERED, Complainant demands the Commission issue anorderpursuanttoSection10(c)oftheAct,29U.S.C.§659(c),affirmingthecitation.

Respectfully Submitted,

M. PATRICIA SMITH

Solicitor of Labor

JAMES E. CULP

RegionalSolicitorr

U.S.DepartmentofLabor MADELEINET.LE OfficeoftheSolicitor CounselforOccupationalSafety&Health 525 Griffin Street, Suite 501 Dallas,TX75202 By: Telephone(972)850-3100 Facsimile(972)850-3101 ______________________________ MIA F. TERRELL

Trial Attorney

RSOLCaseNo.94-01513 AttorneysforComplainant.

CERTIFICATE OF SERVICE

Theundersigned certifies that a true and correct copyof the foregoingComplaintwasserved upon the attorney of record of all parties, as shown by the letter of transmittal

incorporated herein by reference, by depositing the same in the United States mail in anenvelopeaddressedtosuchparties’orattorney’slastknownaddress:

Steven R. McCown Littler Mendelson, P.C. 2001 Ross Avenue, Suite 1500 Dallas,TX75201-2931

Signedthis27th day of August , 2012.

______________________________ MIA F. TERRELL Trial Attorney

NOTICE TO RESPONDENT/EMPLOYERYouareherebynotifiedthatyoumustfileananswertothiscomplaintproposingpenalty,inwhichyouinclude a plain and concise statement of the reasons you have contested each of the violations cited in thecomplaintproposingpenalty,whetheryouadmitthataviolationoccurred,andwhetheryourequesta hearing. Such answermust be filedwith theOccupational Safety andHealthReviewCommission,within 20 days from the date of service of this complaint proposing penalty. See the Commission’srulesat29CFR2200.34(b)(l).AcopyofyouranswermustbesenttotheOfficeoftheSolicitor,attheaddressappearingabove.Failuretofileananswermayresultindefaultbeingenteredagainstyouonthispetition,under29CFR§2200.101(a).

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30

APPENDIX F

UNITED STATES OF AMERICA OCCUPATIONAL SAFETY AND HEALTH REVIEW COMMISSION

SecretaryofLabor § § Complainant, § § § OSHRCDocket v. § § No._________________________ § Respondent. §

ANSWER OF RESPONDENT

RespondentanswerstheComplaintasfollows:

I.

Respondent denies the conclusions and statements of Complainant made in the introductoryparagraphoftheComplaint.RespondentadmitstheallegationsofParagraphIofthe Complaint.

II.

RespondentadmitstheallegationsofParagraphIIoftheComplaint.

III.

RespondingtotheallegationsofParagraphIIIoftheComplaint,Respondentadmitsthatit was issued citations and notifications of proposed penalties. Respondent is without sufficient information or belief to admit or deny whether the inspection was conducted by an authorized representative of Complainant or whether the citations were issued pursuant to the Act, and the allegationstothateffect,therefore,aredenied.RespondentdeniestheremainingallegationsofparagraphIIIoftheComplaint.

IV.

RespondentdeniestheallegationsofparagraphIVoftheComplaintandExhibitAreferredto therein.

V.

RespondingtoparagraphVof theComplaint,Respondentadmits that itmadea timelycontest of the involved citation pursuant to Section 10(c) of the Act and that the Review Commissionhasjurisdictionofthisproceeding.

VI.

RespondentdeniestheallegationsofparagraphVI,andExhibitAreferredtotherein.

VII.

RespondentdeniestheallegationsofparagraphVIIoftheComplaint.

VIII.

RespondentdeniesallallegationsoftheComplaintnotspecificallyadmittedorotherwisequalified herein.

3131

IX.

Respondent denies that it violated any valid provision of the Act and would show the Administrative Law Judge and the Review Commission that it has not violated theAct asallegedintheComplaint.

X.

Inthealternativeandasanaffirmativedefense,theallegedviolationsoftheActweretheresult of an unforeseeable employee misconduct that directly violated a clearly communicated and enforced Company rule.

WHEREFORE,RESPONDENTPRAYSthatreliefrequestedinthecomplaintbedenied,thatthe Complaint and Citation be dismissed, and that Respondent have such further relief as it may be entitled.

Respectfully submitted,

Steven R. McCown

LITTLERMENDELSON,P.C. 2001 Ross Avenue, Suite 1500 Dallas,Texas75201 (214)880-8100,(214)880-0181(Fax)

Attorneys for Respondent

CERTIFICATE OF SERVICE

I hereby certify that a true and correct copy of the foregoing has been served on______________________, Attorney, Office of the Solicitor, U.S. Department of Labor, 525S.GriffinStreet,Suite501,Dallas,Texas75202,byplacingsameintheUnitedStatesMail,postageprepaid,this_____dayof__________________,2007.

Steven R. McCown

APPENDIX G

UNITED STATES OF AMERICA OCCUPATIONAL SAFETY AND HEALTH REVIEW COMMISSION

SecretaryofLabor § § Complainant, § § OSHRCDocket v. § No._________________________ § Respondent. §

RESPONDENT’S REQUEST FOR PRODUCTION OF DOCUMENTS

TO: _____________,Attorney,Office of the Solicitor, U.S. Department of Labor, 525 SouthGriffinStreet,Suite501,Dallas,Texas75202.

Respondent__________________________,pursuanttoRule53,RulesofProcedure,Occupational Safety andHealthReviewCommission, requests that the followingdocumentspertaining to this case be produced for inspection and copying by Respondent at LittlerMendelson,aProfessionalCorporation,2001RossAvenue,Suite1500,Dallas,Texas75201,oratsomeothermutuallyagreeablelocation,withinthirty(30)daysafterreceiptofthisrequest:

1. SafetyandHealthReport—OSHAForm1;

2. Narrative—OSHAForm1A;

3. Worksheet—OSHAForm1B;

4. Worksheet—OSHAForm1B(1H);

5. All reports, notes, records, documents, citations, final orders of the Commission, or anyotherwrittenmaterialsthatsupportthepropositionthattheallegedviolationsin the cause were violations under the Act.

6. All affidavits, videotapes, or written statements taken from Respondent’s employees(ifaclaimof informers’privilege ismade,producesaidstatementswithnecessarydeletionstoprotecttheidentitiesoftheinformers);

7. All other notes, forms, reports, recommendations, or memoranda made by theCompliance Safety and Health Officer and other Department of Labor employees,consultants,andexpertsinconnectionwiththiscase;

8. AllphotographsandvideotapestakenatorofRespondent’spremisesandworkplaceinvolved in this matter.

9. Allinterpretations,memoranda,orotherinternaldocumentsthatinterpretorexplaintheOSHAstandardsinvolvedinthismatter.

10. All citations given to other employers involved in the work place in issue inthis proceeding as a result of this inspection or any previous inspections and alldocumentsrequestedinitems1-9aboveinconnectionwithsuchcitation.

Respectfully submitted,

Steven R. McCown

LITTLERMENDELSON,P.C. 2001 Ross Avenue, Suite 1500 Dallas,Texas75201 (214)880-8100,(214)880-0181(Fax)

Attorneys for Respondent32

ABOUT LITTLER

Littleristhelargestglobalemploymentandlaborlawpracticewithmorethan1,000attorneysinover60officesworldwide.Littlerrepresentsmanagementinallaspectsofemploymentandlabor lawandservesasasinglesourcesolutionprovidertotheglobalemployercommunity.Consistentlyrecognizedintheindustryasaleadingandinnovativelawpractice,Littlerhasbeenlitigating,mediatingandnegotiatingsomeofthemostinfluentialemploymentlawcasesandlaborcontractsonrecordforover70years.Littleristhecollectivetradenameforaninternationallegalpractice,thepracticingentitiesofwhichareseparateanddistinctprofessionalfirms.

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2015