osha inspections. backgroundbackground –need for legislation –osha act of 1970 –osha’s...

OSHA INSPECTIONSOSHA INSPECTIONS


• BackgroundBackground– Need for Need for

LegislationLegislation

– OSHA Act of 1970OSHA Act of 1970

– OSHA’s PurposeOSHA’s Purpose

– The Act’s CoverageThe Act’s Coverage

Need for LegislationNeed for Legislation

• In 1970, Congress considered these In 1970, Congress considered these annual figures:annual figures:

• Job-related accidents accounted for Job-related accidents accounted for more than 14,000 worker deathsmore than 14,000 worker deaths

• Nearly 2-1/2 million workers were Nearly 2-1/2 million workers were disableddisabled

• Estimated new cases of occupational Estimated new cases of occupational diseases totaled 300,000diseases totaled 300,000

OSH Act of 1970OSH Act of 1970

• PURPOSE:PURPOSE:

• " . . . to assure so far as possible " . . . to assure so far as possible every working man and woman in every working man and woman in the Nation safe and healthful the Nation safe and healthful working conditions and to preserve working conditions and to preserve our human resources."our human resources."

OSHA's PurposeOSHA's Purpose

• Encourage employers and employees to Encourage employers and employees to reduce workplace hazards and reduce workplace hazards and implement new or improve existing S&H implement new or improve existing S&H programsprograms

• Provide for research in occupational S&HProvide for research in occupational S&H

• Maintain a reporting and record keeping Maintain a reporting and record keeping system to monitor job-related injuries system to monitor job-related injuries and illnessesand illnesses

OSHA's PurposeOSHA's Purpose

• Establish occupational S&H training Establish occupational S&H training programsprograms

• Develop and enforce mandatory job Develop and enforce mandatory job S&H standardsS&H standards

• Provide for development and approval Provide for development and approval of state occupational S&H programsof state occupational S&H programs

The Act's CoverageThe Act's Coverage

• Extends to all employers and their Extends to all employers and their employees in the 50 states, District employees in the 50 states, District of Columbia, Puerto Rico, and all of Columbia, Puerto Rico, and all other territories under Federal other territories under Federal Government jurisdictionGovernment jurisdiction

• Coverage provided either directly by Coverage provided either directly by federal OSHA or through an OSHA-federal OSHA or through an OSHA-approved state programapproved state program

The Act's Coverage The Act's Coverage

• Employer defined as any "person Employer defined as any "person engaged in a business affecting engaged in a business affecting commerce who has employees, but commerce who has employees, but does not include the United States does not include the United States (except for the U.S. Postal Service) (except for the U.S. Postal Service) or any State or political subdivision or any State or political subdivision of a State"of a State"

Federal EmployeesFederal Employees

• Federal agency heads must operate Federal agency heads must operate comprehensive occupational S&H comprehensive occupational S&H programs to ensure compliance with programs to ensure compliance with OSHA standardsOSHA standards

• OSHA cannot impose monetary penalties OSHA cannot impose monetary penalties against another federal agencyagainst another federal agency

• Compliance issues at local level are Compliance issues at local level are raised to higher organizational levels raised to higher organizational levels until resolveduntil resolved

State and Local State and Local GovernmentsGovernments

• OSHA provisions do not apply to state and OSHA provisions do not apply to state and local governments in their role as local governments in their role as employersemployers

• Any state seeking OSHA approval for its Any state seeking OSHA approval for its own S&H program must provide coverage own S&H program must provide coverage for these employeesfor these employees

• State plans may also cover only public State plans may also cover only public sector employeessector employees

StandardsStandards

• OSHA is responsible for promulgating OSHA is responsible for promulgating legally enforceable standardslegally enforceable standards

• Where OSHA has not promulgated Where OSHA has not promulgated specific standards, employers are specific standards, employers are responsible for following the Act's responsible for following the Act's General Duty ClauseGeneral Duty Clause

• States with OSHA-approved programs States with OSHA-approved programs must set standards at least as effective must set standards at least as effective as federal standardsas federal standards

General Duty ClauseGeneral Duty Clause

• Each employer "shall furnish . . . a Each employer "shall furnish . . . a place of employment which is free place of employment which is free from recognized hazards that are from recognized hazards that are causing or are likely to cause death causing or are likely to cause death or serious physical harm to his or serious physical harm to his employees."employees."

Categories of StandardsCategories of Standards

• General IndustryGeneral Industry

• ConstructionConstruction

• MaritimeMaritime

• AgricultureAgriculture

Where to Get StandardsWhere to Get Standards

• Federal Register in public librariesFederal Register in public libraries

• CD-ROM subscription through U.S. CD-ROM subscription through U.S. Government Printing Office (GPO)Government Printing Office (GPO)

• Each year, Code of Federal Regulations Each year, Code of Federal Regulations (CFR) in public libraries and through GPO(CFR) in public libraries and through GPO

• Internet access through OSHA Home Internet access through OSHA Home Page - OSHA standards, interpretations, Page - OSHA standards, interpretations, directives. (http://www.osha.gov)directives. (http://www.osha.gov)


• Inspection PrioritiesInspection Priorities– Imminent DangerImminent Danger

– Catastrophes and Fatal AccidentsCatastrophes and Fatal Accidents

– Complaints and ReferralsComplaints and Referrals

– Followup InspectionsFollowup Inspections

– Planned InspectionsPlanned Inspections


• Arrival of OSHA InspectorArrival of OSHA Inspector– Inspector’s CredentialsInspector’s Credentials

– Opening ConferenceOpening Conference

Inspector’s CredentialsInspector’s Credentials

• Inspector displays credentialsInspector displays credentials

• Asks to meet an appropriate Asks to meet an appropriate employer representativeemployer representative

• Employers should always askEmployers should always ask

• Employer can call local OSHA Employer can call local OSHA office to verifyoffice to verify

Opening ConferenceOpening Conference

• Inspector explains how the Inspector explains how the establishment was selectedestablishment was selected

• Inspector explains what the Inspector explains what the likely scope of the inspection likely scope of the inspection will bewill be

• Inspector determines if a Inspector determines if a consultation visit is in progressconsultation visit is in progress


• Inspector explains the purpose Inspector explains the purpose of the visitof the visit

• Inspector provides a copy of Inspector provides a copy of the complaint (if applicable)the complaint (if applicable)

• Inspector asks for an employer Inspector asks for an employer representative to accompany representative to accompany them during the inspectionthem during the inspection


• Inspector asks for an authorized Inspector asks for an authorized employee representative employee representative (union) to accompany them (union) to accompany them during the inspectionduring the inspection

The Inspection ProcessThe Inspection Process

• Inspector proceeds through Inspector proceeds through the establishment to identify the establishment to identify safety and health hazardssafety and health hazards

• Inspector determines route Inspector determines route and duration of the inspectionand duration of the inspection

• Inspector talks privately with Inspector talks privately with employeesemployees


• Inspector notes safety and Inspector notes safety and health condition and practiceshealth condition and practices

• Inspector takes Inspector takes photos/videotapesphotos/videotapes

• Inspector measures noise levelsInspector measures noise levels

• Inspector collects air samples to Inspector collects air samples to monitor employee exposure to monitor employee exposure to toxic fumes, gases, and dusttoxic fumes, gases, and dust


• Inspector evaluates existing Inspector evaluates existing engineering controlsengineering controls

• Inspector examines records and Inspector examines records and programsprograms

• Inspection may cover part or all Inspection may cover part or all of an establishmentof an establishment

• Trade secrets remain Trade secrets remain confidentialconfidential


• Employees are consulted, in Employees are consulted, in private, about safety and private, about safety and health conditions and practiceshealth conditions and practices

• Employees are protected from Employees are protected from discrimination for exercising discrimination for exercising their rightstheir rights

• Records (deaths, injuries, Records (deaths, injuries, illnesses, first reports, haz com)illnesses, first reports, haz com)


• Inspector points out unsafe or Inspector points out unsafe or unhealthful conditionsunhealthful conditions

• Inspector discusses feasible Inspector discusses feasible corrective actioncorrective action

• Violations corrected Violations corrected immediately may reflect immediately may reflect employers good faith for employers good faith for penalty considerationpenalty consideration

The Closing ConferenceThe Closing Conference

• Employer provided Employer provided “Employer Rights and “Employer Rights and Responsibilities Following and OSHA Responsibilities Following and OSHA Inspection (OSHA 3000)”Inspection (OSHA 3000)”

• Inspector reviews all observed unsafe and Inspector reviews all observed unsafe and unhealthful conditionsunhealthful conditions

• Inspector indicates violations for which a Inspector indicates violations for which a citation and penalty may be issuedcitation and penalty may be issued


• Inspector will Inspector will notnot indicate any specific indicate any specific penalty but informs employer of appeal penalty but informs employer of appeal rightsrights

• Good time for the employer to produce Good time for the employer to produce records of compliance efforts and provide records of compliance efforts and provide information to help determine timeframes information to help determine timeframes for abatementfor abatement


• Inspector may determine if second closing Inspector may determine if second closing conference is necessary (air monitoring)conference is necessary (air monitoring)

• Inspector discusses OSHA’s full service Inspector discusses OSHA’s full service resource programresource program

• Separate closing conference if employee Separate closing conference if employee representative does not participaterepresentative does not participate


• Inspector reports findingsInspector reports findings

• Area Director determines whether Area Director determines whether citations will be issued and whether citations will be issued and whether penalties will be proposedpenalties will be proposed

CitationsCitations

• Inform the employer Inform the employer and employees of the and employees of the regulations and regulations and standards alleged to standards alleged to have been violatedhave been violated

• Inform the employer Inform the employer and employees of the and employees of the proposed length of proposed length of time set for their time set for their abatementabatement

CitationsCitations

• Employer will receive citations and Employer will receive citations and notices by certified mailnotices by certified mail

• Employer must post a copy of each Employer must post a copy of each citation at or near the place the citation at or near the place the violation occurred for 3 days or until violation occurred for 3 days or until it is abatedit is abated

PenaltiesPenalties

• ViolationsViolations– other-than-seriousother-than-serious

– seriousserious

– willfulwillful

– repeatedrepeated

– failure-to-abatefailure-to-abate

Other-Than-SeriousOther-Than-Serious

• Direct relationship to job safety and Direct relationship to job safety and health but would not cause death or health but would not cause death or serious physical harmserious physical harm

• Penalty $0 to $7000Penalty $0 to $7000

• May be adjusted downward as much May be adjusted downward as much as 95% (size, good faith, and history)as 95% (size, good faith, and history)

SeriousSerious

• Substantial probability that death or Substantial probability that death or serious physical harm could resultserious physical harm could result

• Penalty $1500 to $7000Penalty $1500 to $7000

• MayMay be adjusted downward for size, be adjusted downward for size, good faith, and historygood faith, and history

WillfulWillful

• Employer intentionally and Employer intentionally and knowingly commitsknowingly commits– Employer is aware of the hazardous Employer is aware of the hazardous

conditioncondition

– Employer knows it violates a standard Employer knows it violates a standard or obligation of the Actor obligation of the Act

– Employer makes no reasonable effort Employer makes no reasonable effort to eliminate the hazardto eliminate the hazard

WillfulWillful

• Penalty $5000 to $70,000Penalty $5000 to $70,000

• Criminal sanctions may be imposed if Criminal sanctions may be imposed if resulting in the death of an employeeresulting in the death of an employee– Penalty of $250,000 ($500,000 Penalty of $250,000 ($500,000

corporation)corporation)

– or 6 months imprisonmentor 6 months imprisonment

– or or bothboth

RepeatRepeat

• Inspection reveals a substantially Inspection reveals a substantially similar violation is found and the similar violation is found and the original citation has become final original citation has become final orderorder

• Penalties up to $70,000 for each Penalties up to $70,000 for each violationviolation

Failure-to-AbateFailure-to-Abate

• Employer fails to correct a prior Employer fails to correct a prior violationviolation

• Penalties up to $7000 Penalties up to $7000 per dayper day beyond the prescribed abatement beyond the prescribed abatement datedate

Additional ViolationsAdditional Violations

• Falsifying records, reports, applications Falsifying records, reports, applications may bring criminal penalty of $10,000 may bring criminal penalty of $10,000 or 6 months imprisonment, or bothor 6 months imprisonment, or both

• Posting requirements up to $7000Posting requirements up to $7000

• Assaulting a CSHO, intimidating, or Assaulting a CSHO, intimidating, or interfering with the inspection may interfering with the inspection may bring a criminal penalty of $5000 and 3 bring a criminal penalty of $5000 and 3 years imprisonmentyears imprisonment

Appeals by EmployeesAppeals by Employees

• Employee (or authorized representative) Employee (or authorized representative) may request an informal review if no may request an informal review if no citations are issued if a complaint citations are issued if a complaint initiated the inspectioninitiated the inspection

• Employees Employees cannotcannot contest citations or contest citations or penaltiespenalties

• Employees Employees cancan contest abatement dates contest abatement dates

Appeals by EmployeesAppeals by Employees

• Employees Employees cancan contest an employer’s contest an employer’s Petition for Modification of Abatement Petition for Modification of Abatement (PMA)(PMA)

• Must be done within 10 working days of Must be done within 10 working days of postingposting

• Employees may request an informal Employees may request an informal conference with the Area Director to conference with the Area Director to discuss issues of the inspection, discuss issues of the inspection, citation, penalty, or employer’s notice citation, penalty, or employer’s notice of contestof contest

Appeals by EmployersAppeals by Employers

• Employer (who wishes to contest) must Employer (who wishes to contest) must submit a written objection to OSHA within submit a written objection to OSHA within 15 working days15 working days

• Area Director forwards to the Occupational Area Director forwards to the Occupational Safety and Health Review Commission Safety and Health Review Commission (OSHRC)(OSHRC)

Appeals by EmployersAppeals by Employers

• Employer may request an informal Employer may request an informal conference with the Area Directorconference with the Area Director

• Area Director is authorized to enter into Area Director is authorized to enter into settlement agreementssettlement agreements

• Area Director may revise citations and Area Director may revise citations and penalties to avoid prolonged legal disputes penalties to avoid prolonged legal disputes for speedier hazard abatementfor speedier hazard abatement

Petition for Modification of Petition for Modification of Abatement (PMA)Abatement (PMA)

• Employer who has made good faith Employer who has made good faith efforts to abate hazards but cannot due efforts to abate hazards but cannot due to factors beyond their controlto factors beyond their control

• Employer must have interim protectionEmployer must have interim protection

• Must be applied for, Must be applied for, in writingin writing, with , with reasons why additional time is neededreasons why additional time is needed

Petition for Modification of Petition for Modification of Abatement (PMA)Abatement (PMA)

• Copy of the petition must be posted Copy of the petition must be posted for employee notification (in the for employee notification (in the event they want to contest)event they want to contest)

Notice of ContestNotice of Contest

• Employer has 15 Employer has 15 working days to working days to contest the citation, contest the citation, penalty, or penalty, or abatement periodabatement period

• Must be in writingMust be in writing

• Must clearly identify Must clearly identify basis for filingbasis for filing

Notice of ContestNotice of Contest

• Will become “final order”, without Will become “final order”, without appeal, if not submitted timelyappeal, if not submitted timely

• Must be posted in a prominent Must be posted in a prominent location or given personally to each location or given personally to each employeeemployee

Review ProcedureReview Procedure

• If timely, the Notice of Contest is If timely, the Notice of Contest is forwarded to the OSHRCforwarded to the OSHRC

• OSHRC is an independent agency not OSHRC is an independent agency not associated with OSHAassociated with OSHA

• Case assigned to an administrative law Case assigned to an administrative law judge (ALJ)judge (ALJ)


• Hearing scheduled near the employer’s Hearing scheduled near the employer’s workplaceworkplace

• Employer and employees have the right to Employer and employees have the right to participateparticipate

• OSHRC does not require employer to have OSHRC does not require employer to have an attorneyan attorney


• Once the ALJ has ruled, any party may Once the ALJ has ruled, any party may request further review by OSHRCrequest further review by OSHRC

• OSHRC rulings may be appealed before OSHRC rulings may be appealed before the U.S. Court of Appealsthe U.S. Court of Appeals

Safety and Health Safety and Health Program Management Program Management GuidelinesGuidelines• Published January 26, 1989Published January 26, 1989

• Elements are critical to the Elements are critical to the development of a successful safety development of a successful safety and health programand health program

• Guidelines recommend specific Guidelines recommend specific actions under each of the general actions under each of the general elementselements

Safety and Health Safety and Health Program Management Program Management GuidelinesGuidelines

• Identifies 4 general elementsIdentifies 4 general elements– management commitment and management commitment and

employee involvement,employee involvement,

– worksite analysis,worksite analysis,

– hazard prevention and control, andhazard prevention and control, and

– safety and health trainingsafety and health training

osha inspections. backgroundbackground –need for legislation –osha act of 1970 –osha’s...

Documents

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osha standards osha

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occupational shprovide

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legislation osha act

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