OSHA Inspections, Citations, and Penalties

OSHA Inspections, Citations, and Penalties

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Session Objectives

Identify how investigations are triggeredDevelop an inspection action planUnderstand the steps in the inspection processAssume an effective role in the inspectionSuccessfully deal with the outcome of an inspection

You will be able to:


What Triggers Inspections?• Imminent danger

• Fatality or catastrophe

• Employee complaint

• Referral or follow-up


OSHA:• Has limited resources

• Selects industries based on SIC codes

• Profiles “high hazard” facilities

• Conducts data collection initiatives

Targeted InspectionsOSHA:• Has limited resources

• Selects industries based on SIC codes

• Profiles “high hazard” facilities

• Conducts data collection initiatives


• Procedures for handling the inspection process

• Responsibilities of key personnel

• Equipment needed for the inspection

OSHA InspectionAction Plan• Procedures for

handling the inspection process

• Responsibilities of key personnel

• Equipment needed for the inspection


FlashlightsPPEFacility map

Inspection Tool Box

CamerasClipboard, paper, pens


• Understand and implement your OSHA inspection plan

• Alert key personnel• Prepare conference

room• Check inspector

credentials

Inspector Arrives• Understand and

implement your OSHA inspection plan

• Alert key personnel• Prepare conference

room• Check inspector

credentials


Level of Cooperation• Cooperating• Exercising your

right to a warrant• Being completely

uncooperative• Setting an

adversarial toneAdversarial

Cooperative

Right to Warrant

Uncooperative


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

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


• 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

Opening Conference Tips


• Injury and illness logs

• Written safety programs

• Training records

• Documentation related to specific safety programs

• Control of the flow of information

Documentation Requested• Injury and illness logs

• Written safety programs

• Training records

• Documentation related to specific safety programs

• Control of the flow of information


• Multifaceted• Employee participation and acceptance• Management commitment and leadership• Evidence of a safety culture and

“good-faith” efforts• Expanded inspection not warranted

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


Inspection Preliminaries: True or False?

If you’re in a “high hazard” industry, you’re more likely to be inspected by OSHAOnly management personnel are present at the opening conferenceYou could be fined or jailed for lying to an OSHA inspectorInspectors must have subpoenas to look at your safety and health documentation


Inspection Preliminaries Do you understand:• What prompts

inspections?• How to prepare for

an inspection?• Preliminary inspection

procedures?


• Wear required PPE• Follow process flow• Start at area of

complaint• Inspector may note

apparent violations in plain view

Walkaround • Wear required PPE• Follow process flow• Start at area of

complaint• Inspector may note

apparent violations in plain view


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


• 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

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


• 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

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


• Delay of the closing conference

• Discussion of all apparent violations

• Discussion of relevant OSHA standard(s)

Closing Conference • Delay of the closing conference

• Discussion of all apparent violations

• Discussion of relevant OSHA standard(s)


• Abatement requirements

• OSHA consultation programs

• Post-conference violations and citations

Closing Conference (cont.)

• Abatement requirements

• OSHA consultation programs

• Post-conference violations and citations


• 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

Your Role in the Closing Conference


• 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

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


• Abatement deadline determined

• Abatement goals provided by inspector

• Successful abatement methods discussed

• Progress reports may be required

• Abatement dates may be modified

Abatement • Abatement deadline

determined• Abatement goals

provided by inspector• Successful abatement

methods discussed• Progress reports may

be required• Abatement dates

may be modified


Right to Appeal • 15 working days• Submitted in writing• Posting the appeal• Occupational Safety

and Health Review Commission

• Lawyers and consultants


• Discuss citations and penalties

• Be prepared with evidence, arguments, and contrition

• Offer of expedited settlement agreement

• Don’t make promises you can’t keep

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


Inspection Process: Multiple Choice What should you photograph or videotape during an investigation?

c. The final summary of the inspection

c. When the inspector completes the final report

a. Everything the inspector doesb. Only when the inspector finds a citation

When will you find out if you are being cited for OSHA violations?

a. At the closing conferenceb. When the inspector arrives at your facility


Inspection Process: Multiple Choice (cont.)

Who decides the abatement method?

a. A neutral source

b. OSHA doesc. You do

Who hears an appeal of an OSHA citation?

a. A lawyerb. The Occupational Safety and Health Review Commission c. The inspector who performed your walkthrough


Inspection ProcessDo 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?


Key Points to RememberAn OSHA inspection will go more smoothly and produce a better result if you are prepared with an inspection action planDuring the inspection, document what the inspector sees and recordsRespond to citations immediately and abate violations promptlyExercise your right to appeal citations if you believe you are not in violation

Documents

OSHA Inspections, Citations, and Penalties