WHAT’S INSIDE NFIB GUIDE TO OSHA INSPECTIONS Why is OSHA Inspecting You? » Should You Have an Attorney? » The Importance of Preparing » Types of OSHA Inspections Step 1: Preparing for the Inspection Step 2: Negotiating Ground Rules in the Opening Conference Step 3: Conducting the Walk-Around Tour Step 4: Gathering the Information Step 5: Communicating with OSHA Step 6: Avoiding Citations During Post- Inspection Procedures Conclusion 1. 2. 3. 4. 5. 6. 7. How to Handle an OSHA Inspection DEVELOPED BY Small Business Legal Center $12.95 DECEMBER 2010
20
Embed
OSHA Inspections - National Federation of Independent Business
This document is posted to help you gain knowledge. Please leave a comment to let me know what you think about it! Share it to your friends and learn new things together.
Transcript
Wh
at’
s In
sIde
nFIB GUIde tOOsha InsPeCtIOns
WhyisOSHAInspectingYou?» Should You Have an Attorney?» The Importance of Preparing» Types of OSHA Inspections
omissionsinitscontents.Note: This handbook is provided with the understanding that the NFIB Small Business Legal Center is not engaged in rendering legal or professional advice in this document.
aBOUt nFIBTheNationalFederationofIndependentBusinessisthenation’s
Step1:PreparingfortheInspection........................................................4» Why Prepare?» The Employer’s Inspection Goals» Questions to Consider in Preparation
Step3:ConductingtheWalk-AroundTour...............................7» The Walk-Around Is an Interview» Walk-Around Representative Should
Be Trained
Step4:GatheringtheInformation...................................................8» Photographs, Videotaping and Sampling» Responding to Requests for Documents
Step5:CommunicatingwithOSHA................................................12» Timing of Presentation» Information Presented
Step6:AvoidingCitationsDuringPost-InspectionProcedures...................................................14» Closing Conference» Citations » Informal Conference» Notice of Contest
WhyIsOSHAInspectingYou?.........2» Should You Have an Attorney?» The Importance of Preparing» Types of OSHA Inspections
Step2:NegotiatingGroundRulesintheOpeningConference.....................................................5» Scope of the Inspection» Requests for Information» Tours of the Facility» Interviews with Employees and
Company Decision-Makers» Industrial Hygiene Sampling» Trade Secret and Business
Confidential Information
COntents
2 NFIB GuIde to oSHA | www.NFIB.com
A. Should you have an attorney?Oneofthefirstdecisionsanemployerwillneedtomakewhenaninspectionoccursiswhetherornottoretainanattorney.
B. The Importance of Preparing SignificantOSHAcitations,civilliability,andevencriminalpen-altiesforfatalaccidentsmayresultfromanOSHAinspection.TheoutcomeofanOSHAinspectionmayalsoresultinliabilityarisingfromdamageorpersonalinjuryclaimsorcostsassociatedwithchangingworkpractices,policies,orequipmentinresponsetoOSHAcitations.1Asaresult,itisimportanttoprepareforaninspectionsoastominimizethesecosts.
C. Types of OSHA InspectionsAcomplaintinspectionisthemostcommontypeofinspectionthatOSHAperforms.Complaintinspectionsresultfromaformalcomplaintfiledbyacurrentemployee.Thistypeofinspectioncanalsoresultfromaninformalcomplaintmadebyacurrentorformeremployee.
An employer must report an employee fatality or hospitalization of three or more employees to OSHA within eight hours after such an event occurs. Failure to do so is a citable violation.
www.NFIB.com | NFIB GuIde to oSHA 3
1 oSHA citations require employers to abate the violations by correcting the condition that caused the violations. For example, an oSHA citation alleging that a particular machine is improperly guarded will require the employer to install a guard on that machine, which abates the hazard. In addition, an employer who accepts a citation requiring a guard on one machine will likely be required to guard similar machines to avoid potential willful citations in the future. A violation of a standard is “willful” if the employer knowingly violates a standard or is indifferent to its requirements. A citation requiring a guard on one machine could be used as evidence that the employer knew that similar machines should be guarded and therefore willfully violated a standard.
2 the LWdII rate is calculated by dividing the number of lost workday injuries and illnesses by the total number of work hours, and then multiplying by 200,000.
4 NFIB GuIde to oSHA | www.NFIB.com
one
A. Why Prepare?OSHAtypicallyarrivesunannouncedtoinspectaworksiteorwhenaseriousaccidentorfatalityhasoccurred.Asexpected,theatmosphereattheworksitemightbechaoticandanOSHAinspectorcanreceiveconflictinginformationfromdifferentsources.Consequently,anemployerandtheworksitemaynotbepresentedinthebestpossiblelight.Being prepared for an in-spection, by anticipating issues that are likely to arise, makes it easier for the employer to be pro-active in addressing OSHA’s compliance concerns, which ultimately may persuade OSHA not to issue citations.
B. The Employer’s Inspection GoalsThestepsdiscussedbelowaredesignedtohelptheemployerputitsbestfootforwardwithOSHA,tomanagetheinspectionpro-cess,andtominimizeOSHAliability.Duringanyinspection,anemployer’sgoalsshouldinclude:• Managingtheinspectionprocesstominimizeoperational
C. Questions to Consider in PreparationByansweringthefollowingtwoquestionsinadvance,theem-ployerwillhaveabetterchanceofachievingtheirinspectiongoals.
1. ShOuLD an EmPLOYEr DEmanD an inSPEctiOn warrant?AnOSHAComplianceOfficerdoesnothavetherighttoenterandinspectafacilityunlesstheemployerconsentsorOSHAobtainsawarrant.Inthevastmajorityofcases,itmakesthemostsensetoconsenttoanOSHAinspection.OSHAhasbroadinspectionpowersandwillusuallybeabletogetawarrantiftheemployerrefusesconsent.IfOSHAmustaskajudgeormagistrateforawarrant,OSHAmayaskforawarrantthatallowsittoconductabroaderinspectionthanitwouldotherwiseconduct.
2. ShOuLD an EmPLOYEr DESignatE a PrinciPaL cOntact fOr an OSha inSPEctiOn?AnemployershoulddesignateoneprincipalcontactpersontoactasOSHA’smaincontactduringeveryinspectiontocontroltheflowofinformation.Acompanydecision-makerwhofocusesonthesafetyoftheworksiteoftenservesastheprincipalcontactper-son.OSHAshouldbeinstructedtosubmitallwrittendocumentrequeststothiscontactperson.Inaddition,thecontactshouldberesponsibleforschedulingallrequestedemployeeandemployerinterviews,gatheringandproducinganyrequesteddocuments,andcoordinatingthearrangementsforOSHA’sworksitetours.
OSHAisobligatedundertheOccupationalSafetyandHealthAct(OSHAct)toconducta“reasonable”inspection. MostComplianceOfficerswillusuallyconsiderthesixrequestslistedbelow“reasonable.”Notallofthefollowingissueswillarisedur-ingtheopeningconference;however,theemployershouldbepreparedthroughouttheinspectionprocesstoinsistontheproce-duresdiscussedbelow.Perhapsmoreimportantly,theemployershoulddeterminehowtheseissuesshouldbehandledbefore an OSHA inspection ever occurs.
A. Scope of the Inspection At the opening conference, the employer should ask the Compliance Officer to:1. Identify the type of inspection to be conducted (e.g.,
complaint inspection), and
2. State the reason for the inspection and the scope of the inspection.
B. Requests for Information Theemployer’sprincipalcontactshouldbeintroducedtoOSHAduringtheopeningconference. The Compliance Officer should communicate all requests for documents, tours of the work-site, and interviews with personnel to the principal contact. The employer should also instruct OSHA to submit document requests in writing, not as a technique for delay, but to allow the employer to carefully consider what is being requested by OSHA. Written document requests also eliminate confusion because there is a record of what OSHA requested. Provided that the employer responds fully to the written requests, OSHA will not be able to argue later that evidence or documents were concealed.
3 even if the employer limits its consent, oSHA is permitted to investigate hazards that are in “plain sight” when Compliance officers inspect the worksite.
C. Tours of the FacilityThe Compliance Officer should be accompanied at all times by an employer representative during any walk-around inspec-tions. Employeerepresentativesarealsopermittedtoparticipateinthewalk-aroundinspection. Foraunionizedworkplace,anemployeerepresentative is typicallyaunionsteward. Innon-unionizedworkplaces,thereisnormallynoemployeerep-resentativetoparticipateinthewalk-aroundinspectionorotherpartsoftheinspection.Duringthewalk-around,theemployermustalsorequiretheComplianceOfficertofollowallsafetyrulesthatapplytovisitors,includingtheuseofpersonalprotectiveequipmentwhererequiredandthecompletionofanysafetyori-entationthatavisitorwouldnormallyberequiredtocomplete.
D. Interviews with Employees and Company Decision-Makers AlthoughComplianceOfficersmayhavebriefconversations(i.e.,3–5minutes)withemployeesattheirworkstationsduringthewalk-around,lengthyinterviewsaredisruptiveandmayevenbedangerousifemployeesaredistractedfromtheirjobs.Ratherthanallowingextendedimpromptuinterviews,theprincipalcon-tactshouldarrangeforascheduledmeetingwithanyemployeeOSHArequeststointerview.Thisallowstheemployertoplanforareplacementworkerduringlongerinterviews,preventsdistrac-tions,andallowsproductiontocontinue.
An employer can have a representative present for all in-terviews of company decision-makers.Allsupervisorsaswellasmanagementpersonnel,suchastheownerorpresidentofacompanyorahumanresourcesrepresentative,areconsideredcompany-decision makers. The statements of a companydecision-makerareconsideredadmissionsthatarebindingontheemployer.If,forexample,acompanydecision-makertellstheOSHAComplianceOfficerthatheorsheknewthataparticularchemicalwashazardousandrequiredcertainpersonalprotectiveequipment,thentheemployerhasessentiallyadmittedanOSHAviolation.Duringinterviewsofcompanydecision-makers,theemployerispermittedtohavearepresentativepresent.Therepresentativemaybeanattorneyoranothercompanydecision-maker.The employer is strongly recommended to exercise this right.
E. Industrial Hygiene SamplingThe employer should insist that OSHA provide sufficient advance notice of industrial hygiene sampling so competent personnel such as an industrial hygienist can perform a side-by-side sampling.4 Withoutitsownsamples,theemployerwillbehard-pressedlatertochallengeOSHA’spotentiallyflawedtech-nicalanalyses.Whereexposuretotoxicsubstancesisinvolved,samplingresultsareoftenthebasisforsignificantcitations.Suchcitationsmayrequirecostlycorrectivemeasurestoreduceimper-missibleexposures.
F. Trade Secret and Business Confidential InformationThe employer has the right to insist that the government protect any trade secret or business confidential information disclosed in an investigation. Anemployermayprotectinformationbyaffixingalabelorstatementonadocument,photoorotherevidencedeclaringthatthematerialistradesecretorbusinessconfidential.Anydocumentsthatwouldusuallynotbe sharedwithcompetitorsorthegeneralpublicaretypicallyconsideredbusinessconfidential.Uniqueformulasorprocessesmaybeconsideredtradesecrets.Theemployershouldreviewallphoto-graphsandvideotapestakenbyOSHAandalldocumentsgiventoOSHAfortradesecretorbusinessconfidentialinformation.
A. The Walk-Around Is an InterviewInadditiontounderstandingthetechnicalaspectsofequipmentandsafetypolicies,potentialemployerwalk-aroundrepresenta-tivesmustbeawareof:• Theemployer’srightsduringanOSHAinspection,
B. Walk-Around Representative Should Be TrainedTheemployer’swalk-aroundrepresentativeshouldbeselectedinadvanceoftheinspection.Therepresentativeshouldbetrainedinthefollowing:
The employer representative essentially functions as the company’s “eyes and ears,” and is vital to anticipating possible violations and providing adequate responses.
8 NFIB GuIde to oSHA | www.NFIB.com
four
After the walk-around inspection, the Compliance
Officerwilltypicallyrequestotherinformationtoas-
sistingatheringevidenceofviolations.Specifically,
theComplianceOfficermaytakephotographsormake
videotapes,conductindustrialhygienesampling,re-
questdocuments,andinterviewdecision-makersand
employees.
A. Photographs, Videotaping and SamplingOSHAhastherighttophotographorvideotapetheworksiteitinspects.Westronglyrecommendthattheemployertakeitsownphotographsandvideotapeofthesameareasandatthesametimeasthecomplianceofficer.
Sometimes,OSHAwilloffertoprovidecopiesofitsphoto-graphsandvideotapingtotheemployertodissuadetheemployerfromtakingitsownpictures.This alternative is not recommend-ed because OSHA may not follow through on these promises or can take months to provide copies.
Employers are best advised to conduct parallel and simultaneous sampling. Without its own data, an employer has little ability to challenge OSHA’s results.
www.NFIB.com | NFIB GuIde to oSHA 9
four
B. Responding to Requests for DocumentsOSHAwillrequestatleastsomedocumentsinthevastmajorityofinspections.Withsomeinspections,however,thevolumeofdocumentrequestsmaybequitelarge.WhenreviewingOSHA’swrittendocumentrequests,theprincipalcontactgatheringandproducingthedocumentsshouldconsiderthefollowing:
2. rEaSOnaBLE DOcumEnt rEquEStSOSHA must limit its document requests to relevant informa-tion for a reasonable time frame. Adocumentrequestforalloftheaccidentreportscompletedduringtheworksite’sentirehistoryislikelyanunreasonabletimeframe.Similarly,arequestforthepersonnelfilesofeveryemployeeattheworksiteisprob-ablyunreasonableandmayeveninfringeontheprivacyrightsofemployees.Toobtainindividualemployeemedicalrecords,OSHAmustpresenta“MedicalAccessOrder.”
3. PriViLEgED, traDE SEcrEt, Or BuSinESS cOnfiDEntiaL infOrmatiOnPrivileged documents such asattorney-clientcommunicationsmay be withheld from OSHA.Tradesecretorbusinessconfi-dential information, however,cannotbewithheldandshouldbemarkedassuchbeforethedocu-mentsareprovidedtoOSHA.
4. aDEquatE rESPOnSES tO DOcumEnt rEquEStSInformation or documents pro-duced should be limited to the items OSHA is actually request-ing. Forexample,arequestforthewrittenHazardCommunicationprogram should not result inproductionof training recordsorauditsoftheprogram.Atthesametime,OSHAispermittedto gather documents that giveanoverallpictureofthefacility’ssafetyprograms. Forexample,the Compliance Officer mayrequest the employer’s safetymanual.Althoughnotalloftheprogramswillbedirectlyrelevant
5. SuBStantiaL DOcumEnt rEquEStSParticularly for inspections in which a large volume of docu-ments is requested, it is worth taking a few extra steps to organize the documents produced.
The employer should desig-nate unique page numbers to the document produced so the parties can communicate more effectively during the inspection and any subsequent litigation.
Forexample,aquestionfromOSHAregardingtheprovisionsofaparticularwrittenprogramcouldbeansweredwithareferencetotheinformationorprovisionson“Page0015”. Theabilitytouse this typeof “shorthand” isparticularlyusefulduringsettle-mentdiscussionswherelettersorpositionstatementsregardingde-fensesarelikelytochangehands.
comefrominterviewswithemployees.TheOSHActgivesOSHAtherightto“questionprivately”anyemployee.Atleastonecourthasheldthatwhileemployeesmaychoosetobeinterviewedinprivate,theymayalsoelecttohaveanattorneythatrepresentstheemployerpresent.See Reich v. Muth,34F.3d240(4thCir.1994).
• Assuring the employee that nothing the employee says to OSHA will result in discipline or any adverse change in job conditions. Section11(c)oftheOSHActprohibitsemploy-ersfrom“discharg[ing]orinanymannerdiscriminat[ing]againstanemployeebecausesuchemployeehasfiledanycomplaint”or“becauseoftheexerciseof…anyrightaf-fordedbythe[OSH]Act,”includingdiscussingworkingconditionswiththeComplianceOfficer.
Before an OSHA interview, an attorney or an employer representative should meet with the employee if the employee consents.
The employer has the right to have a representative present during any OSHA interviews with company decision-makers.
Statementsmadebycompanydecision-makersaregenerallybindingonthecompany.Theyarelegallyconsideredadmissionsagainsttheemployer’sinterest.Assuch,itisworthinvestingthe time toprepare thecompanydecision-makers for theirinterviews.
SomeComplianceOfficerswilltellanemployertostopperform-ingacertainoperationormakeacorrectionbecauseaconditionisdangerousorviolatesOSHAregulations.A Compliance Officer has no authority to insist on immediate changes or to demand work to stop. UndertheOSHAct,onlyafederaldistrictcourtjudgehasthepowertostopwork.Eventhen,ajudgecanonlydemandworkstopwhenOSHAhasshownthatanimminentdangerexists.
By understanding OSHA’s concerns early in the inspection process, the employer can provide information that refutes OSHA’s factual findings or interpretation of the OSHA standard or regulation.
www.NFIB.com | NFIB GuIde to oSHA 13
five
5 this defense is known as the “unpreventable employee misconduct” defense. to prove the defense, the employer must show: (1) the employer had written safety rules that implement the substance of the applicable oSHA standard; (2) the rules were communicated to employees; (3) the employer employs methods to ascertain if employees are obeying the rules, such as inspections or audits; and (4) when violations of safety rules are discovered, employees are disciplined, typically through some type of progressive discipline policy that begins with a verbal warning for a single violation and ends with termination for certain types or numbers of safety rule violations. employers typically have difficulty in proving the fourth element because supervisors may be reluctant to impose progressive discipline and written records of discipline may not be maintained.
6 there are no Preambles for standards issued prior to 1974. the oSH Act gave oSHA a three-year window to adopt industry standards as oSHA standards, and as a result, there is no rulemaking record for these early standards.
A. Timing of PresentationTheemployer’sgoalistostopacitationfromeverbeingissuedbecauseitmaybemoredifficulttoconvinceOSHAtowithdrawacitationonceissued.Thetimingofthepresentationofinforma-tiondisputingapotentialviolationmayvary.Iftheinspectionlastsonlyoneday,theemployermaynothavetimetogatherevidencetorefuteaviolation.If,however,theinspectionlastsmorethanoneday,theemployershouldcommunicatewiththeComplianceOfficerthroughouttheinspectionprocesssoperti-nentevidencemaybepresentedneartheendoftheinspectionbeforecitationsareissued.
B. Information PresentedTheinformationpresentedbytheemployertotheComplianceOfficermayincludeadditionaldocumentsthatOSHAdidnotre-questduringtheinspectionsuchasworkrulesortrainingrecords,orOSHAguidanceonhowastandardshouldbeinterpreted.OSHApublishesseveraltypesofguidancedocuments:
• Small Entity Compliance Guides and Fact Sheets. OSHApublishesguidancedocumentsdesignedtoexplainthere-quirementsofOSHAstandardstosmallbusinesses,aswellas“factsheets”onindividualstandards.
An employer should visit http://www.osha.gov for moreinformation.
OSHA guidance documents can provide evidence that the Compliance Officer is incorrectly interpreting a standard. Forexample,theComplianceOfficermaytakethepositionthatthe
A notice of contest must be filed within 15 working days of the date the citations are received.
14 NFIB GuIde to oSHA | www.NFIB.com
six
A. Closing ConferenceAftertheinspectionisfinished,theComplianceOfficerwillholdaclosingconferencethatincludesanemployerrepresentativeandemployeerepresentative,ifany.ThepurposeoftheclosingconferenceistoinformthepartiesofpossibleOSHAviolations.
Theemployer’sroleintheclosingconferencecanvary.If the employer is ready to present defenses, then the closing confer-ence can be used for that purpose. Alternatively,theemployermaychoosetosimplylistentotheComplianceOfficer’srecitationofthepotentialviolations.Iftheemployerchoosesthisrole,theemployershouldalsoaskquestionsaboutthecharacterizationsoftheallegedviolationsandthelikelyfines.
B. CitationsThepenaltieswithOSHAcitationsdependuponthecharacter-izationoftheviolations.HowOSHAcharacterizesviolationsislistedinthechartonthenextpage.
C. Informal ConferenceAfterthecitationsareissued,OSHAwilloffertoholdaninfor-malconferencewiththeparties.The purpose of the informal conference is to reach a settlement agreement.Inasettlementagreement,OSHAmayagreetowithdrawsomeorallofthecitations,changethecharacterizationsoftheviolations,orreducethepenalty.
D. Notice of ContestIfnosettlementagreementisreachedattheinformalconference,theemployermayacceptthecitationsaswritten,remedythehaz-ardsallegedinthecitations,andpaythepenalty.
7 the employer is strongly advised to contact an attorney in the event of an employee or contractor death. In addition to substantial oSHA civil liability, a fatality is likely to result in a civil lawsuit and possibly a criminal investigation.