HOW TO SURVIVEAN OSHA INSPECTION

REASONS FOR AN OSHA INSPECTION

GENERAL PROGRAMMED INSPECTIONGENERAL PROGRAMMED INSPECTION FATALITYFATALITY REFERRAL BY ANOTHER AGENCY OR REFERRAL BY ANOTHER AGENCY OR

ORGANIZATIONORGANIZATION COMPLAINTCOMPLAINT

OSHA COMPLAINT PROCESS

OSHA HAS A STATUTORY OBLIGATION TO OSHA HAS A STATUTORY OBLIGATION TO FOLLOW-UP ON EVERY COMPLAINT.FOLLOW-UP ON EVERY COMPLAINT.

THIS CAN BE ACCOMPLISHED BY:THIS CAN BE ACCOMPLISHED BY:

1. INFORMAL - LETTER OR PHONE 1. INFORMAL - LETTER OR PHONE CALL CALL

2. FORMAL - INSPECTION2. FORMAL - INSPECTION GOOD NEWS! OSHA HAS BEEN USING THE GOOD NEWS! OSHA HAS BEEN USING THE

INFORMAL METHOD MORE OVER THE INFORMAL METHOD MORE OVER THE PAST FEW YEARS.PAST FEW YEARS.

UPON RECEIVING AN INFORMAL COMPLAINT

GENERALLY 10-15 DAYS TO RESPOND.GENERALLY 10-15 DAYS TO RESPOND. RESPOND BY THE DEADLINE (OR YOU RESPOND BY THE DEADLINE (OR YOU

WILL BE INSPECTED - SCOPE MAY BE FAR WILL BE INSPECTED - SCOPE MAY BE FAR GREATER THAN THE COMPLAINT). GREATER THAN THE COMPLAINT).

PROVIDE A DETAILED RESPONSE - PROVIDE A DETAILED RESPONSE - WITHOUT ADMITTING GUILT.WITHOUT ADMITTING GUILT.

HOW TO SURVIVE?

THETHE

KEY KEY

ISIS

PREPAREDNESS PREPAREDNESS

PREPAREDNESS?

OSHA HAS PUBLISHED GUIDELINES THEY OSHA HAS PUBLISHED GUIDELINES THEY FOLLOW DURING THE INSPECTION FOLLOW DURING THE INSPECTION PROCESS. THERE ARE ALSO CERTAIN PROCESS. THERE ARE ALSO CERTAIN STANDARDS THEY MUST REVIEW AT STANDARDS THEY MUST REVIEW AT EACH EACH INSPECTION.INSPECTION.

PREPARING FOR THIS AHEAD OF TIME PREPARING FOR THIS AHEAD OF TIME CAN GREATLY REDUCE TIME, CITATIONS CAN GREATLY REDUCE TIME, CITATIONS AND PENALTIES.AND PENALTIES.

4 STAGES OF AN OSHA INSPECTION

OPENING CONFERENCEOPENING CONFERENCE EXAMINATION OF RECORDS AND EXAMINATION OF RECORDS AND

WRITTEN PROGRAMSWRITTEN PROGRAMS INSPECTION OF FACILITYINSPECTION OF FACILITY CLOSING CONFERENCECLOSING CONFERENCE

OPENING CONFERENCE GREET THE INSPECTOR IN A GREET THE INSPECTOR IN A

FRIENDLY AND COURTEOUS FRIENDLY AND COURTEOUS MANNER.MANNER.

CHECK THE INSPECTORS CHECK THE INSPECTORS CREDENTIALS.CREDENTIALS.

ESCORT THE INSPECTOR TO A QUIET ESCORT THE INSPECTOR TO A QUIET PLACE (CONFERENCE ROOM), GIVE PLACE (CONFERENCE ROOM), GIVE HIM/HER YOUR BUSINESS CARD.HIM/HER YOUR BUSINESS CARD.

OPENING CONF. (CONT.) ASK THE REASON FOR THE ASK THE REASON FOR THE

INSPECTION. IF A COMPLAINT GET A INSPECTION. IF A COMPLAINT GET A WRITTEN COPY. POLITELY EXCUSE WRITTEN COPY. POLITELY EXCUSE YOURSELF FOR A MINUTE.YOURSELF FOR A MINUTE.

NOTIFY THE RISK MANAGER AND NOTIFY THE RISK MANAGER AND THE AFFECTED DEPARTMENT(S) OF THE AFFECTED DEPARTMENT(S) OF THE ALLEGED ISSUES AND/OR THE ALLEGED ISSUES AND/OR COMPLAINTS.COMPLAINTS.

OPENING CONF. (CONT.)

THE LOCATION MANAGER SHOULD THE LOCATION MANAGER SHOULD ATTEND.ATTEND.

SET GROUND RULES ON: THE SCOPE SET GROUND RULES ON: THE SCOPE OF THE INSPECTION, INDUSTRIAL OF THE INSPECTION, INDUSTRIAL HYIGENE MONITORING HYIGENE MONITORING PHOTOGRAPHS/VIDEO, ETC.PHOTOGRAPHS/VIDEO, ETC.

OPENING CONF. (CONT.) COOPERATE……...COOPERATE……... HOWEVER, THE INSPECTORS JOB IS HOWEVER, THE INSPECTORS JOB IS

TO FIND THINGS WRONG. Keep this in TO FIND THINGS WRONG. Keep this in mind, especially if the inspector is friendly.mind, especially if the inspector is friendly.

BE HONEST AND FORTHRIGHT; YET BE HONEST AND FORTHRIGHT; YET DON’T VOLUNTEER INFORMATION.DON’T VOLUNTEER INFORMATION.

OPENING CONF. (CONT.)

OVER HALF OF ALL OSHA OVER HALF OF ALL OSHA CASES ARE MADE BASED ON CASES ARE MADE BASED ON MANAGEMENT ADMISSIONS!MANAGEMENT ADMISSIONS!

OPENING CONF. (CONT.) THROUGHOUT THE ENTIRE INSPECTION THROUGHOUT THE ENTIRE INSPECTION

PROCESS, PROCESS, YOU MUST REMAIN CORDIAL YOU MUST REMAIN CORDIAL AND PROFESSIONAL, AND PROFESSIONAL, EVEN IF THE EVEN IF THE INSPECTOR IS NOT.INSPECTOR IS NOT.

IN THE END, THIS APPROACH WILL IN THE END, THIS APPROACH WILL HELP TO MINIMIZE TIME, CITATIONS HELP TO MINIMIZE TIME, CITATIONS AND PENALTIES.AND PENALTIES.

OPENING CONF. (CONT.) NOTENOTE: : PROVISIONS SHOULD BE MADE PROVISIONS SHOULD BE MADE

FOR TIMES THE FACILITY MANAGER IS FOR TIMES THE FACILITY MANAGER IS NOT PRESENT. YOU CAN ASK OSHA TO NOT PRESENT. YOU CAN ASK OSHA TO RETURN ANOTHER DAY, BUT THEY DON’T RETURN ANOTHER DAY, BUT THEY DON’T HAVE TO. BEST BET IS TO HAVE A HAVE TO. BEST BET IS TO HAVE A BACKUP PREPARED WHO KNOWS BACKUP PREPARED WHO KNOWS LOCATION OF RECORDS, WHAT TO LOCATION OF RECORDS, WHAT TO EXPECT, HOW TO CONDUCT THEMSELVES, EXPECT, HOW TO CONDUCT THEMSELVES, YOUR RIGHTS, ETC.YOUR RIGHTS, ETC.

OPENING CONF. (CONT.) NOTENOTE: : THE IMPORTANCE OF THE OPENING THE IMPORTANCE OF THE OPENING

CONFERENCE CANNOT BE OVERSTATED. CONFERENCE CANNOT BE OVERSTATED. IT IS YOUR OPPORTUNITY TO EXPLAIN IT IS YOUR OPPORTUNITY TO EXPLAIN YOUR SAFETY PROGRAM. YOUR YOUR SAFETY PROGRAM. YOUR KNOWLEDGE AND CONFIDENCE IN KNOWLEDGE AND CONFIDENCE IN HANDLING THE INITIAL STEPS OF THE HANDLING THE INITIAL STEPS OF THE INSPECTION PROCESS AND ARE VITAL IN INSPECTION PROCESS AND ARE VITAL IN ESTABLISHING AN APPEARANCE OF ESTABLISHING AN APPEARANCE OF WANTING TO COOPERATE.WANTING TO COOPERATE.

REQUIRE A WARRANT? NOT RECOMMENDED, EXCEPT IN NOT RECOMMENDED, EXCEPT IN

RARE CIRCUMSTANCES SUCH AS A RARE CIRCUMSTANCES SUCH AS A FATALITY - IN WHICH CASE YOU FATALITY - IN WHICH CASE YOU WILL BE DIRECTED BY THE RISK WILL BE DIRECTED BY THE RISK MANAGER AND/OR THE LAW DEPT.MANAGER AND/OR THE LAW DEPT.

A WARRANT WILL ONLY UPSET A WARRANT WILL ONLY UPSET THEM AND MAKE THEM MORE THEM AND MAKE THEM MORE SUSPICIOUS.SUSPICIOUS.

RECORD/PROGRAM EXAM DO NOT VOLUNTEER RECORDS.DO NOT VOLUNTEER RECORDS. PROVIDE ONLY THE REQUESTED AND PROVIDE ONLY THE REQUESTED AND

REQUIRED INJURY/ILLNESS RECORDS REQUIRED INJURY/ILLNESS RECORDS (OSHA 200 LOGS & OSHA 101 FORMS).(OSHA 200 LOGS & OSHA 101 FORMS).

IF A COPY OF MANDATORY OSHA IF A COPY OF MANDATORY OSHA STANDARD RELATED PROGRAM IS STANDARD RELATED PROGRAM IS REQUESTED (LOTO, HAZCOM, ETC.), ADVISE REQUESTED (LOTO, HAZCOM, ETC.), ADVISE IT IS ONLY AVAILABLE FOR REVIEW. IF IT IS ONLY AVAILABLE FOR REVIEW. IF PRESSURED, YOU MAY WANT TO PROVIDE.PRESSURED, YOU MAY WANT TO PROVIDE.

RECORDS REVIEW (CONT.)

IF COMPANY (NON-OSHA REQUIRED) IF COMPANY (NON-OSHA REQUIRED) DOCUMENTS ARE REQUESTED DOCUMENTS ARE REQUESTED (SAFETY MEETING MINUTES, AUDIT (SAFETY MEETING MINUTES, AUDIT REPORTS, STATISTICS, ETC.), ASK REPORTS, STATISTICS, ETC.), ASK FOR IT IN WRITING. ADVISE THE FOR IT IN WRITING. ADVISE THE OSHA INSPECTOR THAT HIS/HER OSHA INSPECTOR THAT HIS/HER REQUEST MUST BE APPROVED BY REQUEST MUST BE APPROVED BY RISK MANAGER AND THE LAW RISK MANAGER AND THE LAW DEPARTMENT. DEPARTMENT.

RECORDS REVIEW (CONT.) UNDER NO CIRCUMSTANCESUNDER NO CIRCUMSTANCES SHOULD SHOULD

DOCUMENTS (LETTERS, REPORTS, DOCUMENTS (LETTERS, REPORTS, ETC.) BE CREATED AND PROVIDED ETC.) BE CREATED AND PROVIDED TO OSHA WITHOUT FIRST BEING TO OSHA WITHOUT FIRST BEING APPROVED BY THE RISK MANAGER APPROVED BY THE RISK MANAGER AND THE LAW DEPT. AND THE LAW DEPT.

KEEP A LIST OF ALL DOCUMENTS KEEP A LIST OF ALL DOCUMENTS PROVIDED TO THE OSHA INSPECTOR.PROVIDED TO THE OSHA INSPECTOR.

RECORDS REVIEW (CONT.)

NOTE: NOTE: OSHA DIRECTIVE CPL 2 OSHA DIRECTIVE CPL 2 REQUIRESREQUIRES VERIFICATION OF THE FOLLOWING VERIFICATION OF THE FOLLOWING PROGRAMS AT PROGRAMS AT EVERYEVERY INSPECTION: INSPECTION:- INJURY/ILLNESS RECORD KEEPING - INJURY/ILLNESS RECORD KEEPING - LOCKOUT/TAGOUT - LOCKOUT/TAGOUT

- HAZARD COMMUNICATION- HAZARD COMMUNICATION - PERMIT-REQUIRED CONFINED SPACE- PERMIT-REQUIRED CONFINED SPACE - ‘EE ACCESS TO MEDICAL/EXP. RECORDS- ‘EE ACCESS TO MEDICAL/EXP. RECORDS - WRITTEN FACILITY S&H PROGRAM- WRITTEN FACILITY S&H PROGRAM

RECORDS REVIEW (CONT.)

THEREFORE, WITH THIS FOREWARNING, THEREFORE, WITH THIS FOREWARNING, YOU MUST BE PREPARED TO DISCUSS YOU MUST BE PREPARED TO DISCUSS THESE PROGRAMS AND PROVIDE THESE PROGRAMS AND PROVIDE TIMELY TIMELY DOCUMENTATION. THIS WILL REQUIRE DOCUMENTATION. THIS WILL REQUIRE SOME DEGREE OF PREPARATION IN SOME DEGREE OF PREPARATION IN ORDER TO DO SO IN AN ORGANIZED AND ORDER TO DO SO IN AN ORGANIZED AND PROFESSIONAL MANNER.PROFESSIONAL MANNER.

FACILITY INSPECTION

IN THE CASE OF A REFERRAL OR IN THE CASE OF A REFERRAL OR COMPLAINT INSPECTION, STRICTLY COMPLAINT INSPECTION, STRICTLY CONFINE THE AREAS INSPECTED TO THE CONFINE THE AREAS INSPECTED TO THE SUBJECT IN QUESTION.SUBJECT IN QUESTION.

A MANAGEMENT REPRESENTATIVE A MANAGEMENT REPRESENTATIVE MUST MUST ACCOMPANY THE INSPECTOR AT ALL ACCOMPANY THE INSPECTOR AT ALL TIMES.TIMES.

ALLOW AN EMPLOYEE REPRESENTATIVE ALLOW AN EMPLOYEE REPRESENTATIVE TO JOIN IN IF SO REQUESTED BY OSHA.TO JOIN IN IF SO REQUESTED BY OSHA.

INSPECTION (CONT.)

PERMIT INTERVIEWS OF NON-MGMT. PERMIT INTERVIEWS OF NON-MGMT. EMPLOYEES UPON REQUEST. YOU EMPLOYEES UPON REQUEST. YOU DO NOT HAVE TO INTERFERE WITH DO NOT HAVE TO INTERFERE WITH PRODUCTION. THE EMPLOYEE HAS A PRODUCTION. THE EMPLOYEE HAS A RIGHT TO A PRIVATE INTERVIEW, RIGHT TO A PRIVATE INTERVIEW, BUT ATTEMPT TO BE PRESENT. (ASK BUT ATTEMPT TO BE PRESENT. (ASK THE EMPLOYEE IF YOU CAN SIT IN)THE EMPLOYEE IF YOU CAN SIT IN)

INSPECTION (CONT.)

YOU HAVE THE RIGHT TO BE AND YOU HAVE THE RIGHT TO BE AND MUST MUST PRESENT DURING MANAGEMENT PRESENT DURING MANAGEMENT INTERVIEWS. INTERVIEWS.

MANAGEMENT SHOULD LIMIT THEIR MANAGEMENT SHOULD LIMIT THEIR ANSWERS TO MATTERS OF FACT AND NOT ANSWERS TO MATTERS OF FACT AND NOT SPECULATE OR OFFER OPINIONS. DO NOT SPECULATE OR OFFER OPINIONS. DO NOT ACKNOWLEDGE VIOLATIONS OR ACKNOWLEDGE VIOLATIONS OR COMMENT ON FEASIBILITY OF COMMENT ON FEASIBILITY OF COMPLIANCE OR ABATEMENT.COMPLIANCE OR ABATEMENT.

INSPECTION (CONT.) YOU CAN AND YOU CAN AND MUSTMUST STOP A MANAGEMENT STOP A MANAGEMENT

INTERVIEW AND PRIVATELY COUNSEL AN INTERVIEW AND PRIVATELY COUNSEL AN EMPLOYEE WHO IS VOLUNTEERING EMPLOYEE WHO IS VOLUNTEERING INFORMATION, ACTING IMPROPERLY, ETC.INFORMATION, ACTING IMPROPERLY, ETC.

BE AWARE THAT THE INSPECTOR CAN BE AWARE THAT THE INSPECTOR CAN BROADEN THE INSPECTION FOR ANY “PLAIN BROADEN THE INSPECTION FOR ANY “PLAIN VIEW” VIOLATION, OR FROM COMMENTS BY VIEW” VIOLATION, OR FROM COMMENTS BY EMPLOYEES. THUS, GO DIRECTLY TO THE EMPLOYEES. THUS, GO DIRECTLY TO THE AREA IN QUESTION AND BY-PASS AS MUCH AREA IN QUESTION AND BY-PASS AS MUCH OF THE FACILITY AS POSSIBLE.OF THE FACILITY AS POSSIBLE.

INSPECTION (CONT.)

PHOTOGRAPH AND VIDEOTAPE PHOTOGRAPH AND VIDEOTAPE EVERYTHING THE INSPECTOR DOES, OR EVERYTHING THE INSPECTOR DOES, OR ARRANGE FOR COPIES/DUPLICATES.ARRANGE FOR COPIES/DUPLICATES.

MAKE NOTES OF ALL INSPECTOR’S MAKE NOTES OF ALL INSPECTOR’S REMARKS, COMMENTS, INTERVIEWS, ETC.REMARKS, COMMENTS, INTERVIEWS, ETC.

INSPECTION (CONT.)

FINALLY, TO DEMONSTRATE GOOD FINALLY, TO DEMONSTRATE GOOD FAITH, ANY FAITH, ANY OBVIOUS OBVIOUS VIOLATIONS VIOLATIONS SHOULD BE ABATED IMMEDIATELY SHOULD BE ABATED IMMEDIATELY (EXPOSED WIRING, GUARDS OFF, (EXPOSED WIRING, GUARDS OFF, MISSING FIRE EXTINGUISHER, ETC.). MISSING FIRE EXTINGUISHER, ETC.). A MECHANIC AND ELECTRICIAN A MECHANIC AND ELECTRICIAN SHOULD ACCOMPANY YOU.SHOULD ACCOMPANY YOU.

CLOSING CONFERENCE

YOU MUST ATTEND.YOU MUST ATTEND. THE AREA MANAGER ATTENDS.THE AREA MANAGER ATTENDS. REMAIN CORDIAL AND PROFESSIONAL.REMAIN CORDIAL AND PROFESSIONAL. DO NOT ACKNOWLEDGE ANY ALLEGED DO NOT ACKNOWLEDGE ANY ALLEGED

VIOLATION.VIOLATION. DO NOT EXPLAIN HOW AN ALLEGED DO NOT EXPLAIN HOW AN ALLEGED

VIOLATION WOULD BE ABATED, BUT ASK VIOLATION WOULD BE ABATED, BUT ASK THE INSPECTOR FOR SUGGESTIONS.THE INSPECTOR FOR SUGGESTIONS.

CLOSING CONF. (CONT.)

DO NOT VOLUNTEER ANY INFORMATION DO NOT VOLUNTEER ANY INFORMATION OTHER THAN TO SUGGEST A LACK OF OTHER THAN TO SUGGEST A LACK OF HAZARD, EMPLOYEE EXPOSURE OR HAZARD, EMPLOYEE EXPOSURE OR INAPPLICABILITY OF A STANDARD.INAPPLICABILITY OF A STANDARD.

MAKE NOTES OF ALL INSPECTOR’S MAKE NOTES OF ALL INSPECTOR’S COMMENTS INCLUDING POTENTIAL COMMENTS INCLUDING POTENTIAL VIOLATIONS.VIOLATIONS.

REQUEST THAT ALL PHOTOGRAPHS AND REQUEST THAT ALL PHOTOGRAPHS AND VIDEO BE LABELED “CONFIDENTIAL.”VIDEO BE LABELED “CONFIDENTIAL.”

CLOSING CONF. (CONT.)

NOTE: NOTE: MEET BRIEFLY WITH ALL MGMT. MEET BRIEFLY WITH ALL MGMT. ATTENDEES BEFOREHAND TO REVIEW ATTENDEES BEFOREHAND TO REVIEW THE GROUND RULES.THE GROUND RULES.

AFTER THE INSPECTION OSHA HAS 6 MONTHS TO ISSUE A OSHA HAS 6 MONTHS TO ISSUE A

CITATION.CITATION. IF CITATION IS RECEIVED, YOU MUST IF CITATION IS RECEIVED, YOU MUST

IMMEDIATELYIMMEDIATELY NOTIFY THE RISK NOTIFY THE RISK MANAGER AND WITHIN 15* DAYS (MANAGER AND WITHIN 15* DAYS (NO NO EXCEPTIONEXCEPTION):):

- AGREE AND PAY- AGREE AND PAY - FILE A NOTICE OF CONTEST- FILE A NOTICE OF CONTEST - HAVE AN INFORMAL CONFERENCE- HAVE AN INFORMAL CONFERENCE* IT WILL BE SO STATED IN THE CITATION* IT WILL BE SO STATED IN THE CITATION

INFORMAL CONFERENCE

MOST CITATIONS ARE SETTLED AT AN MOST CITATIONS ARE SETTLED AT AN INFORMAL CONFERENCE, WHICH IS AN INFORMAL CONFERENCE, WHICH IS AN INFORMAL NEGOTIATION.INFORMAL NEGOTIATION.

AN INFORMAL CONFERENCE IS AN INFORMAL CONFERENCE IS GENERALLY RECOMMEND EVEN IF GENERALLY RECOMMEND EVEN IF VIOLATIONS AND PENALTIES ARE LOW - VIOLATIONS AND PENALTIES ARE LOW - IT SHOWS GOOD FAITH AND FURTHER IT SHOWS GOOD FAITH AND FURTHER PENALTY REDUCTIONS ARE ALMOST PENALTY REDUCTIONS ARE ALMOST “AUTOMATIC.”“AUTOMATIC.”

NOTICE OF CONTEST

IN THE EVENT IT IS DETERMINED IN THE EVENT IT IS DETERMINED THAT A NOTICE OF CONTEST MUST THAT A NOTICE OF CONTEST MUST BE FILED, THE RISK MANAGER AND BE FILED, THE RISK MANAGER AND THE LAW DEPARTMENT WILL WORK THE LAW DEPARTMENT WILL WORK CLOSELY WITH THE FACILITY. CLOSELY WITH THE FACILITY.