OSHA 3000-08R 2005

Employer Rightsand ResponsibilitiesFollowing an OSHA Inspection

Employers are responsible for providing asafe and healthful workplace for their employ-ees. OSHA’s role is to assure the safety andhealth of America’s working men and womenby setting and enforcing standards; providingtraining, outreach and education; establishingpartnerships; and encouraging continualimprovement in workplace safety and health.

This handbook provides a general overview ofa particular topic related to OSHA standards.It does not alter or determine compliance re-sponsibilities in OSHA standards or theOccupational Safety and Health Act of 1970.Because interpretations and enforcement pol-icy may change over time, you should consultcurrent OSHA administrative interpretationsand decisions by the Occupational Safety andHealth Review Commission and the Courts foradditional guidance on OSHA compliancerequirements.

This publication is in the public domain andmay be reproduced, fully or partially, withoutpermission. Source credit is requested but notrequired.

This information is available to sensory im-paired individuals upon request. Voice phone:(202) 693-1999; teletypewriter (TTY) number:(877) 889-5627.

U.S. Department of Labor

Occupational Safety and Health Administration

OSHA 3000-08R2005

Employer Rightsand ResponsibilitiesFollowing an OSHA Inspection

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Contents

After an OSHA Inspection...3

Types of Violations...4

Posting Requirements...7

Employer Options...7

How to Comply...8

Informal Conference and Settlement...9

How to Contest Citations...11

The Contest Process...12

Petition for Modification ofAbatement...13

What Employees Can Do...14

Follow-up Inspections and Failureto Abate...14

Employer Discrimination...15

Providing False Information...15

OSHA Assistance...16

OSHA Regional Offices...21

Appendix: The Small Business RegulatoryEnforcement Fairness Act of 1996(SBREFA)...23

After an OSHA Inspection

This pamphlet contains important informationregarding your rights and responsibilities underthe Occupational Safety and Health Act of 1970(OSH Act, Public Law 91-596, as amended throughJanuary 1, 2004).

An OSHA compliance safety and health officer(CSHO) conducts an inspection of your workplace,in accordance with the OSH Act. After the inspec-tion, the CSHO reports the findings to the AreaDirector who evaluates them. If a violation exists,OSHA will issue you a Citation and Notificationof Penalty detailing the exact nature of the viola-tion(s) and any associated penalties (see alsoOSHA Fact Sheet OSHA Inspections). A citationinforms you of the alleged violation, sets a pro-posed time period within which to correct the vio-lation, and proposes the appropriate dollar penal-ties.

The information in this booklet can and shouldbe used as a discussion guide during your closingconference with the OSHA compliance officer. Foreach apparent violation found during the inspec-tion, the compliance officer has discussed or willdiscuss the following with you:� Nature of the violation;� Possible abatement measures you may take to

correct the violative condition;� Possible abatement dates you may be

required to meet; and� Any penalties that the Area Director may issue.

The CSHO is a highly trained professional whocan help you recognize and evaluate hazards aswell as suggest appropriate methods of correctingviolations. To minimize employee exposure topossible hazardous conditions, abatement effortsshould always begin as soon as possible.

Important Note: Currently, 24 states, PuertoRico and the Virgin Islands operate OSHA-approved state plans: 22 of these plans cover theprivate and public sectors and 4 cover only public

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sector (state and local government) employment.For more information, employers and employeesin these 26 states and territories should checkwith their state agencies. State plans may includestandards, regulations, and procedures that, whileat least as effective as their Federal equivalents,are not always identical to them. For example:� Some states have different options and

procedures for the employer who believeschanges, modifications, or deletions of thepenalty, citation, or abatement dates areneeded;

� Although Federal OSHA recommends thatemployers in general industry, shipbuildingand repair, and marine terminal and long-shoring operations establish comprehensiveworkplace safety and health programs, somestates require such programs; and

� In states with OSHA-approved safety andhealth plans, an employee who believesthat he/she has been discriminated againstpursuant to Section 11(c) of the OSH Act isentitled to file a complaint alleging discrimina-tion under both state and Federal procedures.

The following general information defines thetypes of violations and explains the actions youmay take if you receive a citation as the result ofan inspection.

Types of Violations

Willful: A willful violation is defined as a violationin which the employer knew that a hazardouscondition existed but made no reasonable effortto eliminate it and in which the hazardous condi-tion violated a standard, regulation, or the OSHAct. Penalties range from $5,000 to $70,000 perwillful violation.

Serious: A serious violation exists when theworkplace hazard could cause injury or illness

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that would most likely result in death or seriousphysical harm, unless the employer did not knowor could not have known of the violation. OSHAmay propose a penalty of up to $7,000 for eachviolation.

Other-Than-Serious: An other-than-seriousviolation is defined as a situation in which themost serious injury or illness that would be likelyto result from a hazardous condition cannotreasonably be predicted to cause death or seriousphysical harm to exposed employees, but doeshave a direct and immediate relationship to theirsafety and health. OSHA may impose a penaltyof up to $7,000 for each violation.

De Minimis: De minimis violations are vio-lations that have no direct or immediate relation-ship to safety or health and do not result in cita-tions or penalties.

Failure to Abate: A failure to abate violationexists when the employer has not corrected aviolation for which OSHA has issued a citationand the abatement date has passed or is coveredunder a settlement agreement. A failure to abatealso exists when the employer has not compliedwith interim measures involved in a long-termabatement within the time given. OSHA mayimpose a penalty of up to $7,000 per day for eachviolation.

Repeated: An employer may be cited for arepeated violation if that employer has beencited previously for a substantially similar con-dition and the citation has become a final orderof the Occupational Safety and Health ReviewCommission. A citation is currently viewed as arepeated violation if it occurs within 5 yearseither from the date that the earlier citationbecomes a final order or from the final abate-ment date, whichever is later. Repeated viola-tions can bring a civil penalty of up to $70,000for each violation.

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For purposes of determining whether a vio-lation is repeated, the following criteria generallyapply:

1. Fixed Establishments: Citations issued toemployers having fixed establishments(such as factories, terminals, and stores) arenot normally limited to the cited establish-ment. A multifacility employer, for example,can be cited for a repeated violation if theviolation recurred at any plant nationwide,and if a citation is obtained and reveals arepeated violation.

2. Nonfixed Establishments: For employersengaged in businesses having no fixedestablishments (such as construction sitesand oil and gas drilling sites), repeatedviolations are alleged based on prior vio-lations occurring anywhere, and at any ofthe employer’s identified establishmentsnationwide, based on employer history.

3. Longshoring Establishments: A long-shoring establishment covers all long-shor-ing activities of a single stevedore withinany single port area. Longshoring employ-ers are subject to repeated violation cita-tions based on prior violations occurringanywhere in the nation.

4. Other Maritime Establishments: Othermaritime establishments covered by OSHAstandards (such as shipbuilding and shiprepairing) are generally defined as fixedestablishments. (See 1, above.)

A VIOLATION CAN BE CITED AS REPEATED IFTHE EMPLOYER HAS BEEN CITED FOR THESAME OR A SUBSTANTIALLY SIMILAR VIOLA-TION ANYWHERE IN THE NATION WITHIN THEPAST 5 YEARS.

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Posting Requirements

When you receive a Citation and Notification ofPenalty, you must post the citation (or a copyof it) at or near the place where each violationoccurred to make employees aware of the hazardsto which they may be exposed. The citation mustremain posted for 3 working days or until theviolation is corrected, whichever is longer.(Saturdays, Sundays, and Federal holidays are notcounted as working days.) You must comply withthese posting requirements even if you contestthe citation.

The abatement certification documents––suchas abatement certifications, abatement plans andprogress reports––also must be posted at or nearthe place where the violation occurred. For move-able equipment found to be in violation andwhere the posting of violations would be difficultor impractical, the employer has the option toidentify the equipment with a “Warning” tagspecified in the abatement verification regulation,Title 29 Code of Federal Regulations (CFR)1903.19(i).

Employer Options

As an employer who has been cited, you maytake either of the following courses of action:� If you agree to the Citation and Notification of

Penalty, you must correct the condition by thedate set in the citation and pay the penalty, ifone is proposed;

� If you do not agree, you have 15 working daysfrom the date you receive the citation to con-test in writing any or all of the following:

– Citation,

– Proposed penalty, and/or

– Abatement date.

Before deciding on either of these options, youmay request an informal conference with the

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OSHA Area Director to discuss any issues relatedto the citation and notification of penalty. (SeeInformal Conference and Settlement, below.)

OSHA will inform the affected employee repre-sentatives of the informal conference or contest.

How to Comply

For violations you do not contest, you must:

(1) promptly notify the OSHA Area Director byletter, signed by a member of management, thatyou have taken the appropriate corrective actionwithin the time set forth in the citation, and (2)pay any penalties itemized.

The notification you send the Area Director isreferred to as Abatement Certification. For Other-Than-Serious violations, this may be a signedletter identifying the inspection number and thecitation item number and noting that you correctedthe violation by the date specified on the citation.For more serious violations (such as Serious,Willful, Repeat, or Failure-to-Abate), abatementcertification requires more detailed proof.

If the employer has abatement questions afterthe inspection, the Area Director must ensure thatadditional information, if available, is provided tothe employer as soon as possible.

Employers also can find guidance on abate-ment verification on OSHA’s website atwww.osha.gov/Publications/Abate/abate.html.

When the citation permits an extended time forabatement, you must ensure that employees areadequately protected during this time. For exam-ple, the citation may require the immediate use ofpersonal protective equipment by employeeswhile engineering controls are being installed.When such is the case and where indicated on thecitation, you must also provide OSHA with anabatement plan (steps you will take to protectemployees and correct the hazards) and periodicprogress reports on your actions.

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The penalties itemized on the citation and noti-fication of penalty are payable within 15 workingdays of receipt of the penalty notice. If, however,you contest the citation or penalty in good faith,OSHA will suspend abatement and payment ofpenalties for those items contested until theOccupational Safety and Health Review Commis-sion, or a higher court, issues a final order or rule.The Review Commission is an independent agencyand is not a part of the U.S. Department of Labor.The final order of the Commission will eitheruphold, modify, or eliminate the citations and/orpenalties. Penalties for items not contested, how-ever, are still due within 15 working days. (For fur-ther details, see the section on How to ContestCitations at page 11.)

Payment should be made by check or moneyorder payable to DOL -OSHA. Please indicate onyour payment the OSHA number from the upperright-hand corner of your citation and send it tothe OSHAArea Office listed on the Citation andNotification of Penalty.

Informal Conferenceand Settlement

Before deciding whether to file a Notice of Intentto Contest, you may request an informal confer-ence with the OSHA Area Director to discuss thecitation and notification of penalty.

You may use this opportunity to do any of thefollowing:� Obtain a better explanation of the violations cited;� Obtain a more complete understanding of the

specific standards that apply;� Negotiate and enter into an informal settle-

ment agreement;� Discuss ways to correct violations;� Discuss problems concerning the abatement

dates;

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� Discuss problems concerning employeesafety practices;

� Resolve disputed citations and penalties,(thereby eliminating the need for the moreformal procedures associated with litigationbefore the Review Commission); and

� Obtain answers to any other questions youmay have.

OSHA encourages you to take advantage ofthe opportunity to have an informal conference ifyou foresee any difficulties in complying with anypart of the citation. Please note, however, that aninformal conference must be held within the 15-working-day Notice of Intent to Contest periodand will neither extend the 15-working-day con-test period nor take the place of the filing of awritten notice if you desire to contest. Employeerepresentative(s) have the right to participate inany informal conference or negotiations betweenthe Regional Administrator or Area Director andthe employer.

If you agree that the cited violations exist, butyou have a valid reason for wishing to extend theabatement date(s), you may discuss this with theArea Director in an informal conference. He or shemay issue an amended citation that changes theabatement date prior to the expiration of the 15-working-day period without your filing a Notice ofIntent to Contest.

If you do not contest it within 15 working days,your citation will become a final order not subjectto review by any court or agency. After this occurs,the OSHA Area Director may continue to provideyou with information and assistance on how toabate the hazards cited in your citation, but maynot amend or change any citation or penaltywhich has become a final order. The AreaDirector may only advise you on abatement meth-ods or extend the time you need to abate the vio-lation. (See Petition for Modification of Abatementat page 13.)

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Whenever the employer, an affected employee,or employee representative requests an informalconference, the parties shall be afforded theopportunity to participate fully. If either partychooses not to participate in the informal confer-ence, that party forfeits the right to be consultedbefore decisions are made that affect the citations.If the requesting party objects to the attendance ofthe other party, OSHA may hold separate informalconferences. During a joint informal conference,separate or private discussions will be permitted ifeither party requests them. Informal conferencesmay be held using any means practical.

How to Contest Citations

If you wish to contest any portion of your cita-tion, you must submit a Notice of Intent toContest in writing within 15 working days afterreceipt of the citation and notification of penalty.This applies even if you have stated your dis-agreement with a citation, penalty, or abatementdate during a telephone conversation or aninformal conference.

The Notice of Intent to Contest must clearlystate what is being contested—the citation, thepenalty, the abatement date, or any combinationof these factors. In addition, the notice must statewhether all the violations on the citation, or justspecific violations, are being contested. (For ex-ample, “I wish to contest the citation and penaltyproposed for items 3 and 4 of the citation issuedJune 27, 1990. ”)

Your contest must be made in good faith.OSHA will not consider a contest filed solely toavoid your responsibilities for abatement or pay-ment of penalties to be a good faith contest.

A proper contest of any item suspends yourlegal obligation to abate and pay until the itemcontested has been resolved. If you contest onlythe penalty, you must still correct all violations by

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the dates indicated on the citation. If you contestonly some items on the citation, you must correctthe other items by the abatement date and paythe corresponding penalties within 15 days ofnotification.

After you file a Notice of Intent to Contest, yourcase is officially in litigation. If you wish to settlethe case, you may contact the OSHA Area Directorwho will give you the name of the attorney han-dling your case for OSHA. All settlements of con-tested cases are negotiated between you and theattorney according to the rules of procedure ofthe Occupational Safety and Health ReviewCommission.

The Contest Process

If you file the written Notice of Intent to Contestwithin the required 15 working days, the OSHAArea Director forwards your case to theOccupational Safety and Health Review Com-mission. The Commission assigns the case to anadministrative law judge who usually will sched-ule a hearing in a public place close to your work-place. Both employers and employees have theright to participate in this hearing, whichcontains all the elements of a trial, includingexamination and cross-examination of witnesses.You may choose to represent yourself or have anattorney represent you. The administrative lawjudge may affirm, modify, or eliminate any con-tested items of the citation or penalty.

As with any other legal procedure, there is anappeals process. Once the administrative lawjudge has ruled, any party to the case may re-quest a further review by the full Review Com-mission. In addition, any of the three commis-sioners may, on his or her own motion, bring thecase before the entire Commission for review.The Commission’s ruling, in turn, may be appeal-ed to the U.S. Court of Appeals for the Federal

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circuit in which the case arose or for the circuitwhere the employer has his or her principal office.

Petition for Modificationof Abatement

OSHA assigns abatement dates on the basis ofthe best information available when issuing thecitation. If you are unable to meet an abatementdate because of uncontrollable events or othercircumstances, and the 15-working-day contestperiod has expired, you may file a Petition forModification of Abatement (PMA) with the OSHAArea Director.

The petition must be in writing and must besubmitted as soon as possible, but no later than 1working day after the abatement date. To showclearly that you have made a good faith effort tocomply, the PMA must include all of the followinginformation before OSHA considers it:� Steps you have taken to achieve compliance,

and dates they were taken;� Additional time you need to comply;� Why you need additional time;� Interim steps you are taking to safeguard your

employees against the cited hazard(s) until theabatement;

� A certification that the petition has been post-ed, the date of posting and, when appropriate,a statement that the petition has been fur-nished to an authorized representative of theaffected employees. The petition must remainposted for 10 working days, during which em-ployees may file an objection.

The OSHA Area Director may grant or opposea PMA. If it is opposed, it automatically becomesa contested case before the Review Commission.If a PMA is granted, OSHA may conduct a moni-toring inspection to ensure that conditions areas they have been described and that adequate

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progress has been made toward abatement. TheOSHA Area Office may provide additional infor-mation on PMAs.

What Employees Can Do

Employees or their authorized representativesmay contest any or all of the abatement dates setfor violations if they believe them to be unreason-able. A written Notice of Intent to Contest must befiled with the OSHA Area Director within 15 work-ing days after the employer receives the citation.

The filing of an employee contest does notsuspend the employer’s obligation to abate.

Employees also have the right to object to aPMA. Such objections must be in writing andmust be sent to the Area Office within 10 days ofservice or posting. OSHA will not make a decisionregarding the PMA until the Review Commissionresolves the issue.

Follow-up Inspections andFailure toAbateIf you receive a citation, a follow-up inspectionmay be conducted to verify that you have donethe following:� Posted the citation as required;� Corrected the violations as required in the

citation; and/or� Protected employees adequately and made

appropriate progress in correcting hazardsduring multi-step or lengthy abatement peri-ods.

In addition to providing for penalties for Failure-to-Post citations and Failure-to-Abate violations, theOSH Act clearly states that employers have a con-tinuing responsibility to comply with the OSH Actand assure your employees safe and healthfulworking conditions. OSHA will cite any new viola-tions discovered during a follow-up inspection.

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Employer DiscriminationTo achieve abatement by the date set forth in thecitation, employers must initiate abatement effortspromptly.

The OSH Act prohibits employers from dis-charging or otherwise discriminating against anemployee who has exercised any right under thislaw, including the right to make safety and healthcomplaints or to request an OSHA inspection.OSHA will investigate complaints from employeeswho believe that they have been discriminatedagainst. If the investigation discloses probableviolations of employee rights, court action mayfollow.

Employees who believe that they have beendiscriminated against must file their complaintswithin 30 days of the alleged act of discrimination.For more information, contact OSHA and inquireabout Section 11(c) procedures.

Providing False InformationAll information that employers and employeesreport to OSHA must be accurate and truthful.Providing false information on efforts to abatecited conditions or in required records is punish-able under the OSH Act.

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OSHAAssistanceOSHA can provide extensive help through a vari-ety of programs, including technical assistanceabout effective safety and health programs, stateplans, workplace consultations, and training andeducation.

Safety and Health ProgramManagement GuidelinesEffective management of worker safety and healthprotection is a decisive factor in reducing theextent and severity of work-related injuries and ill-nesses and their related costs. In fact, an effectivesafety and health management system forms thebasis of good worker protection, can save timeand money, increase productivity and reduceemployee injuries, illnesses and related workers’compensation costs.

To assist employers and workers in developingeffective safety and health management systems,OSHA published recommended Safety and HealthProgram Management Guidelines (54 FederalRegister (16): 3904-3916, January 26, 1989). Thesevoluntary guidelines can be applied to all placesof employment covered by OSHA.

The guidelines identify four general elementscritical to the development of a successful safetyand health management system:� Management leadership and worker involvement,� Worksite analysis,� Hazard prevention and control, and� Safety and health training.

The guidelines recommend specific actions,under each of these general elements, to achievean effective safety and health management sys-tem. The Federal Register notice is availableonline at www.osha.gov.

State ProgramsThe Occupational Safety and Health Act of 1970(OSH Act) encourages states to develop and

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operate their own job safety and health plans.OSHA approves and monitors these plans.Twenty-four states, Puerto Rico and the VirginIslands currently operate approved state plans:22 cover both private and public (state and localgovernment) employment; Connecticut, NewJersey, New York and the Virgin Islands coverthe public sector only. States and territorieswith their own OSHA-approved occupationalsafety and health plans must adopt standardsidentical to, or at least as effective as, theFederal OSHA standards.

Consultation ServicesConsultation assistance is available on requestto employers who want help in establishing andmaintaining a safe and healthful workplace.Largely funded by OSHA, the service is providedat no cost to the employer. Primarily developedfor smaller employers with more hazardousoperations, the consultation service is deliveredby state governments employing professionalsafety and health consultants. Comprehensiveassistance includes an appraisal of all mechani-cal systems, work practices, and occupationalsafety and health hazards of the workplace andall aspects of the employer’s present job safetyand health program. In addition, the serviceoffers assistance to employers in developingand implementing an effective safety and healthprogram. No penalties are proposed or citationsissued for hazards identified by the consultant.OSHA provides consultation assistance to theemployer with the assurance that his or hername and firm and any information about theworkplace will not be routinely reported toOSHA enforcement staff. For more informationconcerning consultation assistance, see OSHA’swebsite at www.osha.gov.

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Strategic Partnership ProgramOSHA’s Strategic Partnership Program helpsencourage, assist and recognize the efforts ofpartners to eliminate serious workplace hazardsand achieve a high level of worker safety andhealth. Most strategic partnerships seek to have abroad impact by building cooperative relation-ships with groups of employers and workers.These partnerships are voluntary relationshipsbetween OSHA, employers, worker representa-tives, and others (e.g., trade unions, trade andprofessional associations, universities, and othergovernment agencies).

For more information on this and other agencyprograms, contact your nearest OSHA office, orvisit OSHA’s website at www.osha.gov.

OSHATraining and EducationOSHA area offices offer a variety of informationservices, such as technical advice, publications,audiovisual aids and speakers for special engage-ments. OSHA’s Training Institute in ArlingtonHeights, IL, provides basic and advanced coursesin safety and health for Federal and state compli-ance officers, state consultants, Federal agencypersonnel, and private sector employers, workersand their representatives.

The OSHA Training Institute also has estab-lished OSHA Training Institute Education Centers toaddress the increased demand for its courses fromthe private sector and from other federal agencies.These centers are colleges, universities, and non-profit organizations that have been selected after acompetition for participation in the program.

OSHA also provides funds to nonprofit organi-zations, through grants, to conduct workplacetraining and education in subjects where OSHAbelieves there is a lack of workplace training.Grants are awarded annually.

For more information on grants, training andeducation, contact the OSHA Training Institute,

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Directorate of Training and Education, 2020 SouthArlington Heights Road, Arlington Heights, IL60005, (847) 297-4810, or see Training on OSHA’swebsite at www.osha.gov. For further informationon any OSHA program, contact your nearestOSHA regional office listed at the end of this pub-lication.

Information Available ElectronicallyOSHA has a variety of materials and tools avail-able on its website at www.osha.gov. Theseinclude electronic tools, such as Safety and HealthTopics, eTools, Expert Advisors; regulations, direc-tives and publications; videos and other informa-tion for employers and workers. OSHA’s softwareprograms and eTools walk you through challeng-ing safety and health issues and common prob-lems to find the best solutions for your workplace.

OSHA PublicationsOSHA has an extensive publications program.For a listing of free items, visit OSHA’s websiteat www.osha.gov or contact the OSHAPublications Office, U.S. Department of Labor,200 Constitution Avenue, NW, N-3101,Washington, DC 20210; telephone (202) 693-1888 or fax to (202) 693-2498.

Contacting OSHATo report an emergency, file a complaint, or seekOSHA advice, assistance, or products, call (800)321-OSHA or contact your nearest OSHA Regionalor Area office listed at the end of this publication.The teletypewriter (TTY) number is (877) 889-5627.

Written correspondence can be mailed to thenearest OSHA Regional or Area Office listed at theend of this publication or to OSHA’s national officeat: U.S. Department of Labor, Occupational Safetyand Health Administration, 200 ConstitutionAvenue, N.W., Washington, DC 20210.

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By visiting OSHA’s website at www.osha.gov,you can also:� File a complaint online,� Submit general inquiries about workplace

safety and health electronically, and� Find more information about OSHA and

occupational safety and health.

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OSHA Regional Offices

Region I(CT,* ME, MA, NH, RI, VT*)JFK Federal Building, Room E340Boston, MA 02203(617) 565-9860

Region II(NJ,* NY,* PR,* VI*)201 Varick Street, Room 670New York, NY 10014(212) 337-2378

Region III(DE, DC, MD,* PA, VA,* WV)The Curtis Center170 S. Independence Mall WestSuite 740 WestPhiladelphia, PA 19106-3309(215) 861-4900

Region IV(AL, FL, GA, KY,* MS, NC,* SC,* TN*)61 Forsyth Street, SW, Room 6T50Atlanta, GA 30303(404) 562-2300

RegionV(lL, IN,* MI,* MN,* OH, WI)230 South Dearborn StreetRoom 3244Chicago, IL 60604(312) 353-2220

RegionVI(AR, LA, NM,* OK, TX)525 Griffin Street, Room 602Dallas, TX 75202(972) 850-4145

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RegionVII(IA,* KS, MO, NE)Two Pershing Square2300 Main Street, Suite 1010Kansas City, MO 64108-2416(816) 283-8745

RegionVIII(CO, MT, NO, SO, UT,* WY*)1999 Broadway, Suite 1690PO Box 46550Denver, CO 80202-5716(720) 264-6550

Region IX(AZ,* CA,* HI,* NV,* and American Samoa,Guam and the Northern Mariana Islands)90 7th Street, Suite 18-100San Francisco, CA 94103(415) 625-2547

Region X(AK,* ID, OR,* WA*)1111 Third Avenue, Suite 715Seattle, WA 98101-3212(206) 553-5930

* These states and territories operate their ownOSHA-approved job safety and health programs andcover state and local government employees as well asprivate sector employees. The Connecticut, New Jersey,New York and Virgin Islands plans cover public employ-ees only. States with approved programs must havestandards that are identical to, or at least as effective as,the Federal standards.

Note: To get contact information for OSHA AreaOffices, OSHA-approved State Plans and OSHAConsultation Projects, please visit us online atwww.osha.gov or call us at 1-800-321-0SHA.

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Appendix: The Small BusinessRegulatory Enforcement FairnessAct of 1996 (SBREFA)

In 1996, Congress passed the Small BusinessRegulatory Enforcement Fairness Act, or SBREFA,in response to concerns expressed by the smallbusiness community that Federal regulationswere too numerous, too complex and too expen-sive to implement. SBREFA was designed to givesmall businesses assistance in understanding andcomplying with regulations and more of a voicein the development of new regulations. UnderSBREFA, the Occupational Safety and HealthAdministration (OSHA) and other Federal agen-cies must:

� Produce Small Entity Compliance Guides forsome rules;

� Be responsive to small business inquiriesabout compliance with the agency’s regula-tions;

� Submit final rules to Congress for review;

� Have a penalty reduction policy for smallbusinesses; and

� Involve small businesses in the developmentof some proposed rules through SmallBusiness Advocacy Review Panels.

Commenting on Enforcement Actions

Under a law passed by Congress in 1996, theSmall Business Administration (SBA) has estab-lished an SBA Ombudsman and SBA RegionalFairness Boards to investigate small businesscomplaints about Federal agency enforcementactions.

If you are a small business and believe thatyou have been treated unfairly by OSHA, you mayfile an electronic comment/complaint with the

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SBA Ombudsman over the Internet at:http://www.sba. gov/ombudsman/comments/commentform1.html

Or you may contact the SBA's Office of theNational Ombudsman by:

� Toll-free Phone: (888) REG-FAIR (734-3247)

� Fax: (202) 481-5719

� E-mail: ombudsman@sba.gov

� Mail: Office of the National OmbudsmanU.S. Small Business Administration409 3rd Street, S.W., MC2120Washington, DC 20416-0005

To view the SBREFA Act in its entirety, pleasevisit the following web link:http://www.sba.gov/advo/laws/sbrefa.html

For more information on SBREFA, the follow-ing web links may prove helpful:

http://www.sba.gov/ombudsman/http://www.sba.gov/ombudsman/dsp_overview.htmlhttp://www.sba.gov/ombudsman/dsp_faq.htmlhttp://www.sba.gov/advo/http://www.sba.gov/advo/laws/is_oshapanel.html

NOTE: Filing a complaint with the SBA Ombuds-man does not affect any obligation that you mayhave to comply with an OSHA citation or otherenforcement action. Nor does it mean that youneed not take other available legal steps to pro-tect your interests.

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(OOC 09/2009)