OSHA Inspections, Citations, and Penalties

1. OSHA Inspections, Citations, and Penalties

2. Session Objectives You will be able to: • Identify how investigations are triggered • Develop an inspection action plan • Understand the steps in the inspection process • Assume an effective role in the inspection • Successfully deal with the outcome of an inspection

3. What Triggers Inspections? • Imminent danger • Fatality or catastrophe • Employee complaint • Referral or follow-up

4. Targeted Inspections • OSHA: • Has limited resources • Selects industries based on SIC codes • Profiles “high hazard” facilities • Conducts data collection initiatives • OSHA: • Has limited resources • Selects industries based on SIC codes • Profiles “high hazard” facilities • Conducts data collection initiatives

5. OSHA InspectionAction Plan • Procedures for handling the inspection process • Responsibilities of key personnel • Equipment needed for the inspection • Procedures for handling the inspection process • Responsibilities of key personnel • Equipment needed for the inspection

6. Inspection Tool Box Cameras Clipboard, paper, pens Flashlights PPE Facility map

7. Inspector Arrives • Understand and implement your OSHA inspection plan • Alert key personnel • Prepare conference room • Check inspector credentials • Understand and implement your OSHA inspection plan • Alert key personnel • Prepare conference room • Check inspector credentials

8. Level of Cooperation • Cooperating • Exercising your right to a warrant • Being completely uncooperative • Setting an adversarial tone Cooperative Uncooperative Right to Warrant Adversarial

9. Opening Conference • Employee representative • Explanation of purpose of visit • Explanation of inspection process • Trade secret protection • Use of a camera or testing instruments • No retaliation • Employee representative • Explanation of purpose of visit • Explanation of inspection process • Trade secret protection • Use of a camera or testing instruments • No retaliation

10. Opening Conference Tips • Take detailed notes • Ask questions • Answer the inspector’s questions directly • Don’t volunteer unnecessary information • Always be truthful • Take detailed notes • Ask questions • Answer the inspector’s questions directly • Don’t volunteer unnecessary information • Always be truthful

11. Documentation Requested • Injury and illness logs • Written safety programs • Training records • Documentation related to specific safety programs • Control of the flow of information • Injury and illness logs • Written safety programs • Training records • Documentation related to specific safety programs • Control of the flow of information

12. Your Safety and Health Program • Multifaceted • Employee participation and acceptance • Management commitment and leadership • Evidence of a safety culture and “good-faith” efforts • Expanded inspection not warranted • Multifaceted • Employee participation and acceptance • Management commitment and leadership • Evidence of a safety culture and “good-faith” efforts • Expanded inspection not warranted

13. Inspection Preliminaries: True or False? • If you’re in a “high hazard” industry, you’re more likely to be inspected by OSHA • Only management personnel are present at the opening conference • You could be fined or jailed for lying to an OSHA inspector • Inspectors must have subpoenas to look at your safety and health documentation

14. Inspection Preliminaries • Do you understand: • What prompts inspections? • How to prepare for an inspection? • Preliminary inspection procedures?

15. Walkaround • Wear required PPE • Follow process flow • Start at area of complaint • Inspector may note apparent violations in plain view • Wear required PPE • Follow process flow • Start at area of complaint • Inspector may note apparent violations in plain view

16. Side-by-Side Documentation • Record what OSHA records • Take pictures • Sample what OSHA samples • Make a copy of documents OSHA wants to take • Have your safety consultant there, if you use one

17. Fix Hazards and Run Equipment • Quickly fix hazards identified by inspector • Explain why an apparent violation is not an actual violation • Operate machines if inspector asks • Ensure that guards are in place and operator is trained • Quickly fix hazards identified by inspector • Explain why an apparent violation is not an actual violation • Operate machines if inspector asks • Ensure that guards are in place and operator is trained

18. Employee Interviews • Question employees privately • Determine safety knowledge and culture • Determine if employees can discuss safety concerns with management • Find out if employees have any safety concerns • Question employees privately • Determine safety knowledge and culture • Determine if employees can discuss safety concerns with management • Find out if employees have any safety concerns

19. Closing Conference • Delay of the closing conference • Discussion of all apparent violations • Discussion of relevant OSHA standard(s) • Delay of the closing conference • Discussion of all apparent violations • Discussion of relevant OSHA standard(s)

20. Closing Conference (cont.) • Abatement requirements • OSHA consultation programs • Post-conference violations and citations • Abatement requirements • OSHA consultation programs • Post-conference violations and citations

21. Your Role in the Closing Conference • Take notes and listen • Explain mitigating factors that prove why a situation is not really a violation • Provide proof of abatement efforts that are in process • Take notes and listen • Explain mitigating factors that prove why a situation is not really a violation • Provide proof of abatement efforts that are in process

22. Citations and Penalties • Format of the citation • Citation posted for 3 days or until abatement completed • Proposed penalties due, unless contested • Penalties for failure to abate and for repeated violations • Format of the citation • Citation posted for 3 days or until abatement completed • Proposed penalties due, unless contested • Penalties for failure to abate and for repeated violations

23. Abatement • Abatement deadline determined • Abatement goals provided by inspector • Successful abatement methods discussed • Progress reports may be required • Abatement dates may be modified • Abatement deadline determined • Abatement goals provided by inspector • Successful abatement methods discussed • Progress reports may be required • Abatement dates may be modified

24. Right to Appeal • 15 working days • Submitted in writing • Posting the appeal • Occupational Safety and Health Review Commission • Lawyers and consultants

25. Informal Conference and Settlement Agreement • Discuss citations and penalties • Be prepared with evidence, arguments, and contrition • Offer of expedited settlement agreement • Don’t make promises you can’t keep • Discuss citations and penalties • Be prepared with evidence, arguments, and contrition • Offer of expedited settlement agreement • Don’t make promises you can’t keep

26. What should you photograph or videotape during an investigation? Inspection Process: Multiple Choice a. Everything the inspector does b. Only when the inspector finds a citation c. The final summary of the inspection a. At the closing conference When will you find out if you are being cited for OSHA violations? b. When the inspector arrives at your facility c. When the inspector completes the final report

27. Who decides the abatement method? a. A neutral source Inspection Process: Multiple Choice (cont.) b. OSHA does c. You do Who hears an appeal of an OSHA citation? a. A lawyer b. The Occupational Safety and Health Review Commission c. The inspector who performed your walkthrough

28. Inspection Process • Do you understand: • What the inspector will do and look for? • What you should do during the inspection? • How employee interviews will be conducted? • The purpose of the closing conference? • Citation, penalty, and abatement procedures? • Settlements and appeals?

29. Key Points to Remember • An OSHA inspection will go more smoothly and produce a better result if you are prepared with an inspection action plan • During the inspection, document what the inspector sees and records • Respond to citations immediately and abate violations promptly • Exercise your right to appeal citations if you believe you are not in violation