nfib guide to osha inspections · osha is only obligated to conduct an inspection when a cur-rent...

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nFIB GUIde tOOsha InsPeCtIOns

WhyisOSHAInspectingYou?» Should You Have an Attorney?» The Importance of Preparing» Types of OSHA Inspections

Step1:PreparingfortheInspection

Step2:NegotiatingGroundRulesintheOpeningConference

Step3:ConductingtheWalk-AroundTour

Step4:GatheringtheInformation

Step5:CommunicatingwithOSHA

Step6:AvoidingCitationsDuringPost-InspectionProcedures

Conclusion

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HowtoHandleanOSHA

Inspection

DEVELOPED BY

Small BusinessLegal Center

$12.95

DECEMBER 2010

DearNFIBMember:

Asasmallbusinessowner,youworkhardeverydayatyourdreamofrunningasuccessful

enterprise.Yetbeingasmallbusinessownermeansspendingcountlesshoursgoingoverevery

detailtomakesureyourbusinessisincompliancewithfederalandstatelaws.

Tohelpmakecompliancealittleeasier,wearepleasedtoprovideyouwiththisNFIB Small

Business Guide to Handling OSHA Inspections.

Ifyourbusinesshas10ormoreemployees,thenanunannouncedOSHAinspectionisa

potentialreality.Knowingyourrightsandresponsibilitiesasanemployercanbecriticalto

preventingorreducingfinesandpenalties.

DevelopedbytheNFIB Small Business Legal Center, the NFIB Small Business Guide to Handling

OSHA Inspections waswrittentohelpyouunderstandwhatausualOSHAinspectionwill

entail,andhowyoucanmakeiteasieronyourbusiness.TheNFIBSmallBusinessLegal

Centeristhevoiceforsmallbusinessinthenation’scourts.Throughlitigationandeducation,

theLegalCenterisaresourceforsmallbusinessownersnationwide.

ThisguideisjustoneofthemanycomplianceguidesdevelopedbyourLegalCentertomake

yourjobjustalittlebiteasier.Tofindoutaboutalloftheguidesavailableinthisseries,call

1-800-NFIB-NOWorvisitwww.NFIB.com/legal.

Sincerely,

DanDanner

NFIBPresident

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www.NFIB.com | NFIB GuIde to oSHA 1

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aBOUt the nFIB GUIde tO Osha InsPeCtIOnsTheNFIBSmallBusinessLegalCenterispleasedtoprovideyou

withthis“SmallBusinessGuidetoHandlingOSHAInspections.”

Asyouknow,OccupationalHealthandSafetyAdministration

(OSHA)inspectionscanbestressfulforanemployer.

This document is NOT legal advice. Theinformationcontained

hereinmerelyprovidesanemployerwithusefultipsandstrategies

tohelpminimizetheemployer’sliabilitythatmayresultfroman

OSHAinspection.Ifaseriousinjuryoremployeefatalityoccurs,

theemployershouldconsidercontactinganattorneyexperienced

withOSHAsincecitations,civilclaims,and,inthecaseofafatality,

criminalpenaltiesarepossible.

Ifyouwouldliketoknowmoreaboutanyoftheenclosedinforma-

tionyoushouldcontactanattorney.Ifyouwouldlikeassistance

findinganattorney,youmayvisittheAmericanBarAssociation

LawyerReferralServiceat:http://www.abanet.org/legalservices/

lris/directory.htmlorcontact(800)285-2221foryourstateor

countybarassociation.

Theinformationcontainedinthisguidehasbeencompiledasa

helpfulguideforindependentbusinesses.Thishandbookshould

notbeconsideredalegalresource.Whilewehaveattemptedto

provideaccurateandcompleteinformation,theauthorsandpub-

lishersofthishandbookcannotberesponsibleforanyerrorsor

omissionsinitscontents.Note: This handbook is provided with the understanding that the NFIB Small Business Legal Center is not engaged in rendering legal or professional advice in this document.

aBOUt nFIBTheNationalFederationofIndependentBusinessisthenation’s

leadingsmallbusinessassociation,representingit’smembers

inWashington,D.C.,andall50statecapitals.NFIB’spowerful

networkofgrassrootsactivistssendtheirviewsdirectlytostate

andfederallawmakersthroughouruniquemember-onlyballot,

thusplayingacriticalroleinsupportingAmerica’sfreeenterprise

system.

aBOUt nFIB sMaLL BUsIness LeGaL CenteRTheNFIB SMALL BUSINESS LEGAL CENTERisthelegalarm

of theNationalFederationof IndependentBusiness (NFIB).

Establishedin2000,theNFIBLegalCenterisa501(c)(3)public

interestlawfirmdesignedtoprotecttherightsofAmerica’ssmall

businessownersbyensuringthatthevoiceofsmallbusinessis

heardinthenation’scourts.TheLegalCenteralsoprovidessmall

businessownersadvisorymaterialsonpertinentlegalissues.

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Step1:PreparingfortheInspection........................................................4» Why Prepare?» The Employer’s Inspection Goals» Questions to Consider in Preparation

Step3:ConductingtheWalk-AroundTour...............................7» The Walk-Around Is an Interview» Walk-Around Representative Should

Be Trained

Step4:GatheringtheInformation...................................................8» Photographs, Videotaping and Sampling» Responding to Requests for Documents

seven Conclusion..................................................16

Step5:CommunicatingwithOSHA................................................12» Timing of Presentation» Information Presented

Step6:AvoidingCitationsDuringPost-InspectionProcedures...................................................14» Closing Conference» Citations » Informal Conference» Notice of Contest

WhyIsOSHAInspectingYou?.........2» Should You Have an Attorney?» The Importance of Preparing» Types of OSHA Inspections

Step2:NegotiatingGroundRulesintheOpeningConference.....................................................5» Scope of the Inspection» Requests for Information» Tours of the Facility» Interviews with Employees and

Company Decision-Makers» Industrial Hygiene Sampling» Trade Secret and Business

Confidential Information

COntents

2 NFIB GuIde to oSHA | www.NFIB.com

A. Should you have an attorney?Oneofthefirstdecisionsanemployerwillneedtomakewhenaninspectionoccursiswhetherornottoretainanattorney.

Eachinspectionisdifferent,sotheneedforcounselwilldependonindividualcircumstances.Thelevelofcounsel’sinvolvementwillalsovarywiththecircumstances.Ontheonehand,aroutineinspectionthatdoesnotstemfromasignificantinjuryorfatalitymaybehandledwithoutanattorney.Theem-ployermaywanttochallengeanycitationsthatareultimatelyissued,andanattorneyishelpfulduringthatprocess,buttheemployermaybeabletoeffectivelyhandlethistypeofinspec-tionusingthetipsandstrategiesinthisdocument.

Ontheotherhand,employersmustunderstandthatanOSHAinspectioniscomparabletotheevidence-gatheringprocessin

alawsuit.Justasinlitigation,OSHAhastherighttointerviewwitnessesandobtaindocumentsandotherevidence.Italsohastherighttophysicallyinspecttheworksiteandtotakephoto-graphsandvideotapes.

Inacasewheresignificantliabilityispossible,mostemployerswouldnotrelyonnon-lawyerstodefendthemagainstpoten-tiallydamagingevidence.ThesametheoryapplieswithOSHAinspections.TheemployerisstronglyadvisedtohavecounseldirectlyinvolvedduringanOSHAinspectionwhenamajorac-cidentoreventsuchasacatastrophicaccident,seriousinjury,oremployeefatalityhasoccurred.

Iftheinspectionresultsfromafatalityorseriousinjuryand/oryoudecidethatyouwouldlikealawyerduringtheinspection

OSHAperformsinspectionsintwogeneralsituations.First,OSHAdevelopslistsofworksitesfromallindustries

withinjuryandillnessratesatorabovecertainlevelsandchoosesworksitesfromthatlisttoinspect.Thistypeof

inspectiontypicallyoccursatworksitesfor10ormoreemployees.Similarly,OSHAmayimplementinspection

programsthroughwhichitselectsworksitesincertainindustriesforinspection.Second,OSHAmayinspecta

worksiteafteramajoraccidentoreventoccurssuchasafatality,catastrophe,orseriousemployeeinjury,andmay

alsoinspectinresponsetoanemployeecomplaint.

WHY IS OSHA INSPECTING YOU?

process,thecomplianceofficerwilltypicallydelayforashortperiod.ThebeststrategyisoftentoallowOSHAtoperformthewalk-aroundinspectionandreviewdocumentsandthentohaveanattorneypresentlaterintheinspectionwhenOSHAwantstobegininterviews.

Counselshouldalsobeinvolvedtoprepareandrepresentcompanydecision-makersininterviewsbyOSHAComplianceOfficers.Finally,counselhandlingtheOSHAinvestigationshouldcoordinatewithinsurersorotherpartieswhomaybeprotectingthecompany’sinterestsregardingcollateralissuessuchasdamageorpersonalinjuryclaims.

B. The Importance of Preparing SignificantOSHAcitations,civilliability,andevencriminalpen-altiesforfatalaccidentsmayresultfromanOSHAinspection.TheoutcomeofanOSHAinspectionmayalsoresultinliabilityarisingfromdamageorpersonalinjuryclaimsorcostsassociatedwithchangingworkpractices,policies,orequipmentinresponsetoOSHAcitations.1Asaresult,itisimportanttoprepareforaninspectionsoastominimizethesecosts.

ToreducetheriskofanadverseoutcomewithanOSHAinspection,thebestapproachistoprepareinadvanceby:1.Knowingthecommonissuesthatcomeupduringan

inspection,and

2.Preparingaresponsetotheseissuesiftheyshouldarise.

Thisdocumentisdesignedtohelpemployersprepareforaninspectionbyanticipatingcommonissuesandtomanageaninspectionsoastominimizeliability.

C. Types of OSHA InspectionsAcomplaintinspectionisthemostcommontypeofinspectionthatOSHAperforms.Complaintinspectionsresultfromaformalcomplaintfiledbyacurrentemployee.Thistypeofinspectioncanalsoresultfromaninformalcomplaintmadebyacurrentorformeremployee.

OSHAisonlyobligatedtoconductaninspectionwhenacur-rentemployeefilesaformalwrittencomplaint.However,ifacurrentorformeremployeecomplains informallytoOSHA,thenOSHAmaysimplysendalettertotheemployeraskingforinfor-mationabouttheallegedhazardandhowtheemployerplanstoaddressit.IfOSHAissatisfiedwiththeemployer’sresponsetonotificationofaninformalcomplaint,thenittypicallydoesnotinspecttheworksite.

AlthoughthecomplaintinspectionwillmostlikelybethereasonforanOSHAinspectionofanemployer’sworksite,aninspectionmayalternativelyfallintooneofthefourothercat-egoriesofOSHAinspections:• Imminent Danger:Inspectionresultingfromthepresence

ofadangerwhichcould“reasonablybeexpectedtocausedeathorseriousphysicalharmimmediately.”

• Fatality/Catastrophe:Inspectionresultingfromareportofafatalityorthehospitalizationofthreeormoreemployees.[NOTE:AnemployermustreportanemployeefatalityorhospitalizationofthreeormoreemployeestoOSHAwithineighthoursaftersuchaneventoccurs.Failuretodosoisacitableviolation.]

• Programmed:Randomlyscheduledinspectionresultingfromacertaininjuryorillnessrateora“specialemphasisprogram”applyingtoaparticularindustry.Forexample,eachyearOSHAdevelopsaSite-SpecificTargetingplanthatidentifiesworksiteswithinjuryorillnessratesatoraboveacertainlevel.In2003,OSHAtargetedworksiteswithaLostWorkdayInjuryandIllnessRateof14.0orabove.2Worksiteswith10orfeweremployeeswerenotincludedintheprogram.OSHA’scurrentnationalspecialemphasisprogramsincludeworksiteswithleadorariskofamputa-tionsfrommachinery,aswellasnursinghomesandpersonalcarefacilities.Regionalorareaofficesmayalsodeveloplocalemphasisprograms.Forexample,theKansasCityareaofficehasaninspectionprogramtargetingworksiteswheremethy-lenechlorideisused,andtheNewEnglandregionalofficeiscurrentlyinspectingworksitesthatuseforklifts.

• Referral Inspection:Inspectionresultingfromareferralfromanothergovernmentagency,acomplaintbyathird-partysuchasaneighbor,oramediastory.

An employer must report an employee fatality or hospitalization of three or more employees to OSHA within eight hours after such an event occurs. Failure to do so is a citable violation.


1 oSHA citations require employers to abate the violations by correcting the condition that caused the violations. For example, an oSHA citation alleging that a particular machine is improperly guarded will require the employer to install a guard on that machine, which abates the hazard. In addition, an employer who accepts a citation requiring a guard on one machine will likely be required to guard similar machines to avoid potential willful citations in the future. A violation of a standard is “willful” if the employer knowingly violates a standard or is indifferent to its requirements. A citation requiring a guard on one machine could be used as evidence that the employer knew that similar machines should be guarded and therefore willfully violated a standard.

2 the LWdII rate is calculated by dividing the number of lost workday injuries and illnesses by the total number of work hours, and then multiplying by 200,000.


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A. Why Prepare?OSHAtypicallyarrivesunannouncedtoinspectaworksiteorwhenaseriousaccidentorfatalityhasoccurred.Asexpected,theatmosphereattheworksitemightbechaoticandanOSHAinspectorcanreceiveconflictinginformationfromdifferentsources.Consequently,anemployerandtheworksitemaynotbepresentedinthebestpossiblelight.Being prepared for an in-spection, by anticipating issues that are likely to arise, makes it easier for the employer to be pro-active in addressing OSHA’s compliance concerns, which ultimately may persuade OSHA not to issue citations.

B. The Employer’s Inspection GoalsThestepsdiscussedbelowaredesignedtohelptheemployerputitsbestfootforwardwithOSHA,tomanagetheinspectionpro-cess,andtominimizeOSHAliability.Duringanyinspection,anemployer’sgoalsshouldinclude:• Managingtheinspectionprocesstominimizeoperational

disruptions;

• ControllingtheflowofinformationtoOSHAsothatwhentheinspectionhasended,theemployerunderstandsthesig-nificanceoftheevidenceOSHAhasgathered;

• Presentingtheworksiteinthebestpossiblelight;

• Beingpro-activebyaddressingOSHA’scomplianceconcernsduringtheinspectionsoOSHAdoesnotissuecitations;and

• Minimizingliability.

C. Questions to Consider in PreparationByansweringthefollowingtwoquestionsinadvance,theem-ployerwillhaveabetterchanceofachievingtheirinspectiongoals.

1. ShOuLD an EmPLOYEr DEmanD an inSPEctiOn warrant?AnOSHAComplianceOfficerdoesnothavetherighttoenterandinspectafacilityunlesstheemployerconsentsorOSHAobtainsawarrant.Inthevastmajorityofcases,itmakesthemostsensetoconsenttoanOSHAinspection.OSHAhasbroadinspectionpowersandwillusuallybeabletogetawarrantiftheemployerrefusesconsent.IfOSHAmustaskajudgeormagistrateforawarrant,OSHAmayaskforawarrantthatallowsittoconductabroaderinspectionthanitwouldotherwiseconduct.

Forexample,anemployer’sconsenttoacomplaintinspectionmaybelimitedtotheitemsorareasreferencedinthecomplaint.AwarrantobtainedbyOSHAinthesamesituationislikelytogobeyondthecomplaintitems.Inaddition,OSHAmayconse-quentlysuspectworksiteOSHAviolationsifforcedtoobtainawarrant.IftheemployerbelievesthatOSHAisnotauthorizedtoinspecttheworksite,theemployershouldcontactanattorneybeforedemandingawarrant.

2. ShOuLD an EmPLOYEr DESignatE a PrinciPaL cOntact fOr an OSha inSPEctiOn?AnemployershoulddesignateoneprincipalcontactpersontoactasOSHA’smaincontactduringeveryinspectiontocontroltheflowofinformation.Acompanydecision-makerwhofocusesonthesafetyoftheworksiteoftenservesastheprincipalcontactper-son.OSHAshouldbeinstructedtosubmitallwrittendocumentrequeststothiscontactperson.Inaddition,thecontactshouldberesponsibleforschedulingallrequestedemployeeandemployerinterviews,gatheringandproducinganyrequesteddocuments,andcoordinatingthearrangementsforOSHA’sworksitetours.

DesignatingonepersonastheprincipalcontactwithOSHAallowstheemployertocontroltheflowofinformationsothatattheendoftheinspection,theemployerknowsexactlywhatinformationOSHAhasgathered.Moreimportantly,designatingaprincipalcontactpersonbeforeaninspectionoccursallowstheemployertoprovidetrainingontheOSHAinspectionprocessandtheemployer’srightsduringaninspection.

StEP 1: PREPARING FOR THE INSPECTION

An employer should designate one principal contact person to act as OSHA’s main contact during every inspection to control the flow of information.


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StEP 2: NEGOTIATING GROUND RULES IN THE OPENING CONFERENCEUponarrivingatafacility,theOSHAComplianceOfficer

willconductanopeningconferencewiththeemployer.

Theopeningconferenceisthefirstopportunityforthe

employertostartmanagingtheinspectionprocess.

OSHA’sprimarypurposeinconductinganinspectionis

togatherevidenceofviolations.Aninspectionisthere-

foreanalogoustothestartofalawsuitwhereeachside

gathersfactstosupporttheirclaimsordefenses.

Asinalitigationsetting,OSHAexpectstheemployertorep-resenttheinterestsoftheworksite. And, likelitigation,theinspectionprocessmaybecontentiousatvariousstages,andtheopeningconferenceisnoexception.Companydecision-makersmustrememberthattheyareresponsibleforactingasadvocatesforthefacility.OSHAComplianceOfficersunderstandthattheemployermustensurethattheinspectionisnotundulydisruptiveandproceedsasefficientlyaspossible,andthatcompanieswilldefendtheirsafetyprogramsbyactingasadvocates.

OSHAisobligatedundertheOccupationalSafetyandHealthAct(OSHAct)toconducta“reasonable”inspection. MostComplianceOfficerswillusuallyconsiderthesixrequestslistedbelow“reasonable.”Notallofthefollowingissueswillarisedur-ingtheopeningconference;however,theemployershouldbepreparedthroughouttheinspectionprocesstoinsistontheproce-duresdiscussedbelow.Perhapsmoreimportantly,theemployershoulddeterminehowtheseissuesshouldbehandledbefore an OSHA inspection ever occurs.

A. Scope of the Inspection At the opening conference, the employer should ask the Compliance Officer to:1. Identify the type of inspection to be conducted (e.g.,

complaint inspection), and

2. State the reason for the inspection and the scope of the inspection.

Theemployershouldrequestaclearexplanationoftheissuestobeinvestigatedandtheareasoftheworksitetobeobserved.IfOSHAisinvestigatingacomplaint,theemployerhastherighttoseethecomplaint,althoughOSHAwillredactthenameofthepersonwhoinitiatedthecomplaint.

Inmanycases,thescopeoftheinspectionwillbelimited.Forexample,acomplaintmayallegeaparticularmachineisnotguardedoremployeesworkingwithaparticularchemicaldonothaveproperpersonalprotectiveequipment.Similarly,anacci-dentmayimplicateonlyonemachineorareaoftheworksite.Inthesecases,theemployershouldclarifytotheComplianceOfficerthattheemployerisconsentingonlytoaninspectionofthework-siteareascitedinthecomplaintorrelevanttotheaccident.

Consentshouldbelimitedbecausetheemployerwantstopre-ventOSHAfromexpandingtheinspectionareaoutsidewhatisnecessary.Assuch,theemployermustmakeitclearfromthebeginningthatitisconsentingonly toalimitedinspection.3

B. Requests for Information Theemployer’sprincipalcontactshouldbeintroducedtoOSHAduringtheopeningconference. The Compliance Officer should communicate all requests for documents, tours of the work-site, and interviews with personnel to the principal contact. The employer should also instruct OSHA to submit document requests in writing, not as a technique for delay, but to allow the employer to carefully consider what is being requested by OSHA. Written document requests also eliminate confusion because there is a record of what OSHA requested. Provided that the employer responds fully to the written requests, OSHA will not be able to argue later that evidence or documents were concealed.

3 even if the employer limits its consent, oSHA is permitted to investigate hazards that are in “plain sight” when Compliance officers inspect the worksite.

C. Tours of the FacilityThe Compliance Officer should be accompanied at all times by an employer representative during any walk-around inspec-tions. Employeerepresentativesarealsopermittedtoparticipateinthewalk-aroundinspection. Foraunionizedworkplace,anemployeerepresentative is typicallyaunionsteward. Innon-unionizedworkplaces,thereisnormallynoemployeerep-resentativetoparticipateinthewalk-aroundinspectionorotherpartsoftheinspection.Duringthewalk-around,theemployermustalsorequiretheComplianceOfficertofollowallsafetyrulesthatapplytovisitors,includingtheuseofpersonalprotectiveequipmentwhererequiredandthecompletionofanysafetyori-entationthatavisitorwouldnormallyberequiredtocomplete.

D. Interviews with Employees and Company Decision-Makers AlthoughComplianceOfficersmayhavebriefconversations(i.e.,3–5minutes)withemployeesattheirworkstationsduringthewalk-around,lengthyinterviewsaredisruptiveandmayevenbedangerousifemployeesaredistractedfromtheirjobs.Ratherthanallowingextendedimpromptuinterviews,theprincipalcon-tactshouldarrangeforascheduledmeetingwithanyemployeeOSHArequeststointerview.Thisallowstheemployertoplanforareplacementworkerduringlongerinterviews,preventsdistrac-tions,andallowsproductiontocontinue.

An employer can have a representative present for all in-terviews of company decision-makers.Allsupervisorsaswellasmanagementpersonnel,suchastheownerorpresidentofacompanyorahumanresourcesrepresentative,areconsideredcompany-decision makers. The statements of a companydecision-makerareconsideredadmissionsthatarebindingontheemployer.If,forexample,acompanydecision-makertellstheOSHAComplianceOfficerthatheorsheknewthataparticularchemicalwashazardousandrequiredcertainpersonalprotectiveequipment,thentheemployerhasessentiallyadmittedanOSHAviolation.Duringinterviewsofcompanydecision-makers,theemployerispermittedtohavearepresentativepresent.Therepresentativemaybeanattorneyoranothercompanydecision-maker.The employer is strongly recommended to exercise this right.

Iftheissuearises,theemployershouldalsoinformOSHAthat,asmatterofpolicy,theemployerwillnotpermititsdecision-

makerstosignstatementspreparedbytheComplianceOfficer.Norshouldtheemployerpermitcompanydecision-makersto“signoff”ontheComplianceOfficer’snotesoftheinterview.Furthermore,theemployershouldprohibitOSHAfromtape-recordingorvideotapinganyinterviewsconductedwithcompanydecision-makers.

Theemployershouldinformemployeeswhoarenotcompanydecision-makersthatitistheemployee’schoicewhethertosignstatementsorallowrecordingofemployeeinterviews.Theem-ployee’sonlyobligationduringanOSHAinterviewistoshowupattheinterviewandtellthetruth.Theemployeeisnotrequiredtosignastatementorallowtheinterviewtoberecordedinanyway.Ifanemployeedoeselecttosignastatement,however,theemployeeisentitledtoacopyofituponwrittenrequesttoOSHA.

E. Industrial Hygiene SamplingThe employer should insist that OSHA provide sufficient advance notice of industrial hygiene sampling so competent personnel such as an industrial hygienist can perform a side-by-side sampling.4 Withoutitsownsamples,theemployerwillbehard-pressedlatertochallengeOSHA’spotentiallyflawedtech-nicalanalyses.Whereexposuretotoxicsubstancesisinvolved,samplingresultsareoftenthebasisforsignificantcitations.Suchcitationsmayrequirecostlycorrectivemeasurestoreduceimper-missibleexposures.

F. Trade Secret and Business Confidential InformationThe employer has the right to insist that the government protect any trade secret or business confidential information disclosed in an investigation. Anemployermayprotectinformationbyaffixingalabelorstatementonadocument,photoorotherevidencedeclaringthatthematerialistradesecretorbusinessconfidential.Anydocumentsthatwouldusuallynotbe sharedwithcompetitorsorthegeneralpublicaretypicallyconsideredbusinessconfidential.Uniqueformulasorprocessesmaybeconsideredtradesecrets.Theemployershouldreviewallphoto-graphsandvideotapestakenbyOSHAandalldocumentsgiventoOSHAfortradesecretorbusinessconfidentialinformation.

Bylaw,OSHAisnotpermittedtodisclosedocumentsorotherinformationthatisdesignatedastradesecretorbusinessconfi-dentialinformationinresponsetoaFreedomofInformationActrequest.Bydesignatingdocumentsandphotographsappropri-ately,anemployerprotectstheinformationfromdisclosuretocompetitors.Intheeventofaworksiteaccidentthatresultsinalawsuit,theinforma-tionisalsoprotectedfrompartiestothelitigation.


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4 oSHA may conduct industrial hygiene sampling at worksites that use hazardous chemicals to determine the level of employee exposure.


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Aftertheopeningcon-

ference,theCompliance

Officerwilllikelyaskfor

a tour of the relevant

partsoftheworksite.OSHAhastherighttodothis,and

an employer has an absolute right to accompany OSHA

inspectors during the walk-around inspection of the

worksite. Theemployerrepresentativewhoparticipates

inthewalk-aroundshouldunderstandtheworksite’s

safetyproceduresaswellastheoperationsintheworksite

areabeinginspected.Asstated,inaunionizedworksite,

aunionstewardtypicallyservesastheemployeerepre-

sentativeandparticipatesinthewalk-aroundinspection.

Inanon-unionizedworkplacethereisnormallynoem-

ployeerepresentativetoparticipateinthewalk-around

inspectionorotherpartsoftheinspection.

A. The Walk-Around Is an InterviewInadditiontounderstandingthetechnicalaspectsofequipmentandsafetypolicies,potentialemployerwalk-aroundrepresenta-tivesmustbeawareof:• Theemployer’srightsduringanOSHAinspection,

• ThepotentialforOSHAliability,and

• OSHA’spurposeinconductinganinspection.

Thewalk-aroundshouldbetreatedasaninterviewbecauseOSHAwillholdanemployeraccountableforanythingitsrepre-sentativesmaysay,evenincasualconversation.Asacompanydecision-maker,statementsmadebytheemployerrepresenta-tiveduringthewalk-aroundinspectionarebindingadmissions.Therefore,whilerepresentativesparticipatinginthewalk-aroundshouldanswerquestionstruthfullyandaccurately,theyshouldrefrainfromofferingadditionalinformationoradmittingthataconditionorpracticeisaviolation.

Thewalk-aroundrepresentativemustalsopaycloseattentiontotheconcernsOSHAraisesandareasofparticularinteresttoOSHA.Theemployerrepresentativeessentiallyfunctionsasthecompany’s“eyesandears,”andisvitaltoanticipatingpossibleviolationsandprovidingadequateresponses.

B. Walk-Around Representative Should Be TrainedTheemployer’swalk-aroundrepresentativeshouldbeselectedinadvanceoftheinspection.Therepresentativeshouldbetrainedinthefollowing:

OSH Act basics

>> EmployerhastheobligationtocomplywithstandardsandtheGeneralDutyClause

>> Employerhasarighttoaccompanyinspectorsonsite

>> Employerhasarighttotakeside-by-sidephotographsandsamples

Controlling the flow of information

>> OnlytheprincipalcontactprovidesrequesteddocumentstoOSHA

>> Interviewsarescheduledonlythroughtheprincipalcontact

OSHA’s purpose to gather evidence of violations

>> Anythingsaidbyrepresentativesduringawalk-aroundmaybeusedasevidenceofaviolation

>> Representativesshouldanswerquestionstruthfully,butavoidvolunteeringunnecessaryinformation

>> Onlyfacts,notguessesoropinions,shouldbegiven

>> Admissionssuchasagree-ingthataconditionisaviolationmustbeavoided

Concept of “plain view”

>> Eventhoughthescopeofaninspectionmaybelimited,OSHAcanciteanemployerforanyviolationthatisin“plainview”

>> Representativesmustknowthescopeoftheinspectionandlimitinspectorstotheseareasasmuchaspossibletominimize“plainview”citations

StEP 3: CONDUCTING THE WALK-AROUND TOUR

The employer representative essentially functions as the company’s “eyes and ears,” and is vital to anticipating possible violations and providing adequate responses.


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After the walk-around inspection, the Compliance

Officerwilltypicallyrequestotherinformationtoas-

sistingatheringevidenceofviolations.Specifically,

theComplianceOfficermaytakephotographsormake

videotapes,conductindustrialhygienesampling,re-

questdocuments,andinterviewdecision-makersand

employees.

A. Photographs, Videotaping and SamplingOSHAhastherighttophotographorvideotapetheworksiteitinspects.Westronglyrecommendthattheemployertakeitsownphotographsandvideotapeofthesameareasandatthesametimeasthecomplianceofficer.

Sometimes,OSHAwilloffertoprovidecopiesofitsphoto-graphsandvideotapingtotheemployertodissuadetheemployerfromtakingitsownpictures.This alternative is not recommend-ed because OSHA may not follow through on these promises or can take months to provide copies.

IfOSHAwantstophotographequipmentorprocessestheemployerconsidersatradesecretorbusinessconfidential,theemployershouldinsistthatOSHAallowtheemployertotakethosephotosandprovidecopiestoOSHA.Thecopiesalsoshould

belabeledaccordinglybeforetheyareprovidedtoOSHA.IfOSHAwillnotpermittheemployertotakethephotographs,theemployershouldsendalettertotheComplianceOfficerstatingthatallphotographsandvideotapestakenatthefacilityduringtheinspectionareconsideredtradesecret/businessconfidentialinformationthatmaynotbereleasedtothepublicinanyform.

Ifissuesconcerningemployeeexposuretohazardouschemi-calsarise,OSHAmaycollectsamplesbymonitoringairbornesubstancesorcollectingwipesamplesfromworksitesurfaces.Employersarebestadvisedtoconductparallelandsimultaneoussampling.Withoutitsowndata,anemployerhaslittleabilitytochallengeOSHA’sresults.

StEP 4: GATHERING THE INFORMATION

Employers are best advised to conduct parallel and simultaneous sampling. Without its own data, an employer has little ability to challenge OSHA’s results.


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B. Responding to Requests for DocumentsOSHAwillrequestatleastsomedocumentsinthevastmajorityofinspections.Withsomeinspections,however,thevolumeofdocumentrequestsmaybequitelarge.WhenreviewingOSHA’swrittendocumentrequests,theprincipalcontactgatheringandproducingthedocumentsshouldconsiderthefollowing:

1. rEquirED rESPOnSiVE DOcumEntSUndercertainOSHAregulationsandstandards,anemployerisrequiredtoprovidecertaindocumentstoOSHAuponrequest.Failuretodisclosecanbeaviolation.TheseexamplesincludetheOSHA-requiredinjuryandillnesslogs,hazardcommunicationprograms,andenergy-control(lockout/tagout)programs.

2. rEaSOnaBLE DOcumEnt rEquEStSOSHA must limit its document requests to relevant informa-tion for a reasonable time frame. Adocumentrequestforalloftheaccidentreportscompletedduringtheworksite’sentirehistoryislikelyanunreasonabletimeframe.Similarly,arequestforthepersonnelfilesofeveryemployeeattheworksiteisprob-ablyunreasonableandmayeveninfringeontheprivacyrightsofemployees.Toobtainindividualemployeemedicalrecords,OSHAmustpresenta“MedicalAccessOrder.”

3. PriViLEgED, traDE SEcrEt, Or BuSinESS cOnfiDEntiaL infOrmatiOnPrivileged documents such asattorney-clientcommunicationsmay be withheld from OSHA.Tradesecretorbusinessconfi-dential information, however,cannotbewithheldandshouldbemarkedassuchbeforethedocu-mentsareprovidedtoOSHA.

4. aDEquatE rESPOnSES tO DOcumEnt rEquEStSInformation or documents pro-duced should be limited to the items OSHA is actually request-ing. Forexample,arequestforthewrittenHazardCommunicationprogram should not result inproductionof training recordsorauditsoftheprogram.Atthesametime,OSHAispermittedto gather documents that giveanoverallpictureofthefacility’ssafetyprograms. Forexample,the Compliance Officer mayrequest the employer’s safetymanual.Althoughnotalloftheprogramswillbedirectlyrelevant

totheinspection,theemployershouldconsiderproducingtheentiremanualorproducingthetableofcontentsandallowingtheComplianceOfficertochoosewhichcompleteprogramsheorshewantstoreview.

5. SuBStantiaL DOcumEnt rEquEStSParticularly for inspections in which a large volume of docu-ments is requested, it is worth taking a few extra steps to organize the documents produced.

a. Cover Sheets

Theemployershouldconsiderincludingawrittencoversheetwitheachdocumentproduced.TheadvantageofusingacoversheetinrespondingtoadocumentrequestisthatthedocumentcanbedescribedtosatisfyOSHA’srequest.

Forexample,OSHAmayrequestallsafetyandhealthauditswithoutindicatingatimelimit.Theemployer’scoversheetcouldthenstatethatalloftheauditsforthepastyeararebeingproducedinresponsetoOSHA’srequest.Ifnodocumentsforthepastyearcanbeproduced,theemployer’swrittendocumentresponsecanstate,“Nodocumentsresponsivetotherequesthavebeenlocated.”

ByusingthislanguageandmethodofrespondingtoOSHArequests,theemployerisprotectedintheeventresponsivedocu-mentsarelocatedlaterintheprocess.Thecoversheetmayalso

beusedtodesignatedocumentscontainingtradesecretorbusinessconfidentialinformation.Finally,likewrittendocumentrequestsfrom OSHA, cover sheets helpeliminatedisputesaboutwhichdocumentswererequestedandproduced.

b. Unique Page Numbers

The employer should desig-nate unique page numbers to the document produced so the parties can communicate more effectively during the inspection and any subsequent litigation.

Forexample,aquestionfromOSHAregardingtheprovisionsofaparticularwrittenprogramcouldbeansweredwithareferencetotheinformationorprovisionson“Page0015”. Theabilitytouse this typeof “shorthand” isparticularlyusefulduringsettle-mentdiscussionswherelettersorpositionstatementsregardingde-fensesarelikelytochangehands.

6. EmPLOYEE intErViEwSMostoftheevidenceofviolationsthatOSHAwillgatherwilllikely


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comefrominterviewswithemployees.TheOSHActgivesOSHAtherightto“questionprivately”anyemployee.Atleastonecourthasheldthatwhileemployeesmaychoosetobeinterviewedinprivate,theymayalsoelecttohaveanattorneythatrepresentstheemployerpresent.See Reich v. Muth,34F.3d240(4thCir.1994).

Policiesregardingtheemployer’spresenceduringemployeeinterviewsvarywidelyamongOSHAAreaOfficesandevenin-dividualComplianceOfficers.SomeComplianceOfficersallowemployerrepresentativestobepresentduringinterviewsiftheemployeeaffirmativelyelectstohavetherepresentativepresent.OtherComplianceOfficersrefusetoallowanemployerrepresen-tativetobepresenteveniftheemployeerequestsit.

An employer gains two advantages from being present dur-ing an employee interview. First,theemployergetstohear

first-hand theevidenceOSHAgathersduringan interview,whichishelpfulindevelopingdefensestoOSHA’sallegationsofviolations.Second,theemployermaybeabletoclarifymis-understandingsthatariseifOSHAasksquestionsanemployeedoesnotunderstand.

Forexample,theComplianceOfficermayaskiftheemployeehasreceivedtrainingunderOSHA’sHazardCommunicationstandard.AlthoughtheemployeemayhavereceivedtrainingaboutMaterialSafetyDataSheets(i.e.,wheretheyarekeptandhowtoreadthem),theemployeemaynotunderstandthespe-cificterminologytheComplianceOfficerusesandanswerinthenegative.

WhenOSHAisreluctanttoallowanemployerrepresentativetobepresentduringemployeeinterviews,decidingwhetherornottopushtheissuerequirescarefulconsiderationandgoodjudgment.Asdiscussedabove,thebenefitstobeingpresentinemployeeinterviewsmaybesignificant.IftheComplianceOfficerstronglyobjects,thebenefitsmustbeweighedagainstthedisruptiontotheinspectionprocessthatislikelytoresultfromforcingtheissue.

Eveniftheemployerisnotpresentduringemployeeinterviews,thefollowingstrategieswillhelptheemployerunderstandtheevidencethatemployeesarelikelytoprovide.

7. PrEParatiOnBeforeanOSHAinterview,anattorneyoranemployerrepresen-tativeshouldmeetwiththeemployeeiftheemployeeconsents.Severalissuesshouldbediscussedduringthemeetingincluding:• ReviewinginformationabouttheOSHAinspectionprocess,

thereasonfortheinspection,andadescriptionoftheem-ployee’srightssuchas:

>> An employee interview with OSHA is voluntary,how-ever,OSHAcanissueasubpoenatotheemployeeiftheemployeerefusestobeinterviewed.

>> OSHAmaywanttovideotapeoraudiotapetheinter-view,but an employee can refuse to allow any taping.

>>➢ OSHAmayasktheemployeetosignsomesortofstatement,butan employee can refuse to sign any statements.

• ReviewingquestionsOSHAislikelytoask.Topreventanymisunderstandingsaboutworkpracticesortraining,theem-ployershouldreviewdocumentsandtrainingrecordswiththeemployeesotheemployeeisawareofhisorhertrainingandrelevantworkpractices.

• Assuring the employee that nothing the employee says to OSHA will result in discipline or any adverse change in job conditions. Section11(c)oftheOSHActprohibitsemploy-ersfrom“discharg[ing]orinanymannerdiscriminat[ing]againstanemployeebecausesuchemployeehasfiledanycomplaint”or“becauseoftheexerciseof…anyrightaf-fordedbythe[OSH]Act,”includingdiscussingworkingconditionswiththeComplianceOfficer.

Before an OSHA interview, an attorney or an employer representative should meet with the employee if the employee consents.


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8. DEBriEfingTheemployershouldmeetwiththeemployeeaftertheinterview.ThequestionstheComplianceOfficeraskedshouldbediscussedtodeterminetheareasuponwhichOSHAisfocusing.

a. Interviews with Company Decision-Makers

The employer has the right to have a representative present during any OSHA interviews with company decision-makers.

Statementsmadebycompanydecision-makersaregenerallybindingonthecompany.Theyarelegallyconsideredadmissionsagainsttheemployer’sinterest.Assuch,itisworthinvestingthe time toprepare thecompanydecision-makers for theirinterviews.

Companydecision-makersshouldbeinstructedtoanswerquestionstruthfully,butcarefully.Theemployershouldalsourgethemtoansweronlythequestionaskedwithoutvolunteeringad-ditionalinformation.ThispracticewillhelptheindividualsbeinginterviewedtoavoidimplyingoradmittingacertainconditionorpracticeviolatesanOSHAstandard.

b. Demonstrations of Work or Processes

The employer is not required to stage demonstrations of work or processes for OSHA. OSHAisentitledtoobserveworkas

it is being performed,butitcannotinsistthatitbeshownhowequipmentoperatesorhowparticularoperationsareperformed.

Sometimes,however,itistoanemployer’sadvantagetostagesuchdemonstrationswhenitisnecessarytoclarifymisunder-standingsorsimplytoimpressComplianceOfficers.Bemindful,however,thatMurphy’sLawisoperative,andthateventhebest-planneddemonstrationssometimesgoastrayatthewrongtime.

c. OSHA Demands to Stop Work

SomeComplianceOfficerswilltellanemployertostopperform-ingacertainoperationormakeacorrectionbecauseaconditionisdangerousorviolatesOSHAregulations.A Compliance Officer has no authority to insist on immediate changes or to demand work to stop. UndertheOSHAct,onlyafederaldistrictcourtjudgehasthepowertostopwork.Eventhen,ajudgecanonlydemandworkstopwhenOSHAhasshownthatanimminentdangerexists.

Nonetheless,ifaComplianceOfficerpointsoutanobviousdangerorhazard,oraconditionthattheemployerrecognizesasaviolationoflaworitsownpolicies,theconditionshouldbecorrectedimmediately.


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CommunicatingwithOSHAisincludedinthisdocu-

mentasoneofthelaststepsintheinspectionprocess;

however,thisstepshouldactuallybetakenthroughout

theinspectionprocess.One of the employer’s most

important goals is to gauge the Compliance Officer’s

concerns by:

1. Observing the Compliance Officer’s focus, and

2. Asking the Compliance Officer directly about

possible violations.

ByunderstandingOSHA’sconcernsearlyintheinspectionpro-cess,theemployercanprovideinformationthatrefutesOSHA’sfactualfindingsorinterpretationoftheOSHAstandardorregu-lation.ThisinformationmayultimatelyconvinceOSHAnottoissuecitations,oratleasttominimizepenalties.

Forexample,theComplianceOfficermaysaythatinterviewswithemployeesindicatethattheyarenotwelltrainedontheemergencyevacuationplan.Trainingrecordsandinformationaboutevacuationdrillstheemployerhasconductedcanoffsetthisconcern.Similarly,theComplianceOfficermaysayaninjuryoccurredbecauseanemployeeapparentlydidnotunderstandorfollowaworkruleprohibitingemployeesfromliftingmachineguardswhileamachineisrunning.Theemployercancounterthis

StEP 5: COMMUNICATING WITH OSHA

By understanding OSHA’s concerns early in the inspection process, the employer can provide information that refutes OSHA’s factual findings or interpretation of the OSHA standard or regulation.


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5 this defense is known as the “unpreventable employee misconduct” defense. to prove the defense, the employer must show: (1) the employer had written safety rules that implement the substance of the applicable oSHA standard; (2) the rules were communicated to employees; (3) the employer employs methods to ascertain if employees are obeying the rules, such as inspections or audits; and (4) when violations of safety rules are discovered, employees are disciplined, typically through some type of progressive discipline policy that begins with a verbal warning for a single violation and ends with termination for certain types or numbers of safety rule violations. employers typically have difficulty in proving the fourth element because supervisors may be reluctant to impose progressive discipline and written records of discipline may not be maintained.

6 there are no Preambles for standards issued prior to 1974. the oSH Act gave oSHA a three-year window to adopt industry standards as oSHA standards, and as a result, there is no rulemaking record for these early standards.

findingbyshowingthatithasaworkruleprohibitingemployeesfromliftingguards,providedtrainingontheruletotheemployee,anddisciplinedemployeesinthepastforviolatingworkrules.5

A. Timing of PresentationTheemployer’sgoalistostopacitationfromeverbeingissuedbecauseitmaybemoredifficulttoconvinceOSHAtowithdrawacitationonceissued.Thetimingofthepresentationofinforma-tiondisputingapotentialviolationmayvary.Iftheinspectionlastsonlyoneday,theemployermaynothavetimetogatherevidencetorefuteaviolation.If,however,theinspectionlastsmorethanoneday,theemployershouldcommunicatewiththeComplianceOfficerthroughouttheinspectionprocesssoperti-nentevidencemaybepresentedneartheendoftheinspectionbeforecitationsareissued.

B. Information PresentedTheinformationpresentedbytheemployertotheComplianceOfficermayincludeadditionaldocumentsthatOSHAdidnotre-questduringtheinspectionsuchasworkrulesortrainingrecords,orOSHAguidanceonhowastandardshouldbeinterpreted.OSHApublishesseveraltypesofguidancedocuments:

• Interpretation Letters. OSHArespondstolettersfromindi-vidualemployersaskingforinterpretationsofstandards.

• Compliance Directives. ComplianceDirectivesprovideinstructionstoComplianceOfficersonhowtointerpretastandardandhowtodeterminewhetheranemployerhasviolatedit.

• Preambles. EachtimeOSHAissuesastandardorregula-tion,itdevelopsadetailedrulemakingrecordknownasthePreamble.ThePreambleexplainsOSHA’sinterpretationofthestandardandincludesinformationaboutwhatthelan-guageinthestandardmeans.6

• Small Entity Compliance Guides and Fact Sheets. OSHApublishesguidancedocumentsdesignedtoexplainthere-quirementsofOSHAstandardstosmallbusinesses,aswellas“factsheets”onindividualstandards.

An employer should visit http://www.osha.gov for moreinformation.

OSHA guidance documents can provide evidence that the Compliance Officer is incorrectly interpreting a standard. Forexample,theComplianceOfficermaytakethepositionthatthe

administrationofoxygentoanemployeeresultsinaninjurythatmustberecordedontheOSHA300log.TheComplianceDirectivefortherecordkeepingregulationsstatesthatoxygenadministeredasapurelyprecautionarymeasuredoesnotresultinarecordableincident.

OncetheComplianceOfficer’sconcernsareunderstoodbytheemployer,theemployershouldlookattheinformationonOSHA’swebsite(http://www.osha.gov)toseewhetherthecom-plianceguidanceaddressestheissuesindispute.

A notice of contest must be filed within 15 working days of the date the citations are received.


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A. Closing ConferenceAftertheinspectionisfinished,theComplianceOfficerwillholdaclosingconferencethatincludesanemployerrepresentativeandemployeerepresentative,ifany.ThepurposeoftheclosingconferenceistoinformthepartiesofpossibleOSHAviolations.

Theemployer’sroleintheclosingconferencecanvary.If the employer is ready to present defenses, then the closing confer-ence can be used for that purpose. Alternatively,theemployermaychoosetosimplylistentotheComplianceOfficer’srecitationofthepotentialviolations.Iftheemployerchoosesthisrole,theemployershouldalsoaskquestionsaboutthecharacterizationsoftheallegedviolationsandthelikelyfines.

B. CitationsThepenaltieswithOSHAcitationsdependuponthecharacter-izationoftheviolations.HowOSHAcharacterizesviolationsislistedinthechartonthenextpage.

C. Informal ConferenceAfterthecitationsareissued,OSHAwilloffertoholdaninfor-malconferencewiththeparties.The purpose of the informal conference is to reach a settlement agreement.Inasettlementagreement,OSHAmayagreetowithdrawsomeorallofthecitations,changethecharacterizationsoftheviolations,orreducethepenalty.

Theinformalconferencetypicallyincludesanemployerrepre-sentativeandanemployeerepresentative,ifany,theComplianceOfficer,andtheOSHAAreaDirectororAssistantAreaDirector.Theinformalconferenceisthemostcommonforumforpresent-ingdefensestocitations.

Toprepare,theemployershouldgatherinformationaboutthecitedstandardssuchasrelevantinterpretationletters,excerptsfromcompliancedirectives,andindustrystandards.Theem-ployershouldalsoprovideanyadditionalinformationabouttheworksitesuchastrainingrecordsorsafetyandhealthpolicies.Eveniftheemployerhasnotinvolvedanattorneyintheinspec-tionprocess,itoftenmakessensetohaverepresentationduringaninformalconference,particularlyifthecitationsthathavebeenissuedcarrysteeppenaltiesorrequiresubstantialchangestotheworksite.

D. Notice of ContestIfnosettlementagreementisreachedattheinformalconference,theemployermayacceptthecitationsaswritten,remedythehaz-ardsallegedinthecitations,andpaythepenalty.

Alternatively,theemployermayfileanoticeofcontest.Onceanoticeofcontestisfiled,thelitigationprocessbegins.OSHAwilltransferitsfiletoanattorneyintheOfficeoftheSolicitorofLaborintheDepartmentofLabor,whichprosecutesallOSHAviolations.

Anoticeofcontestmustbefiledwithin15workingdaysofthedatethecitationsarereceived.Ifthisdeadlineismissed,theemployerlosesallrightstoappealanyOSHAviolations.Noex-tensionsoftimearepossible.

StEP 6: AVOIDING CITATIONS DURING POST-INSPECTION PROCEDURES

www.NFIB.com | NFIB GuIde to oSHA 15www.NFIB.com | NFIB GuIde to oSHA 15

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OSHAViolation DescriptionofViolation MaximumPenalty

AtechnicalviolationofanOSHAstandardthatposesnodirectthreattothehealthorsafetyofemployees.

Forexample,ladderrungs13inchesapartratherthanthe12inchesrequiredbythestandardwouldgenerallybecharacterizedasaDeMinimisviolation.

Aviolationthatisnotlikelytocausedeathorseriousphysicalharm.

Aviolationthatcouldcausedeathorseriousphysicalharm.

Aviolationthatwaseither“intentional”orcommittedwith“plainindifference”totherequirementsofthestandard.

Aviolationisgenerallyintentionalwhentheemployerknewtherequirementsofthestandardandwasawareoftheviolation,butdidnothingtocorrectthecondition.

“Plainindifference”isgenerallyshownwhentheemployerdidnotknowtherequirementsofthestandard,buttheemployerknewaboutthehazardousconditionandmadenoefforttocorrectit.

Aviolationthatisrepeatedwhentheemployerpreviouslycommit-tedaviolationofthesamestandardorasimilarstandard.Thepreviousviolationisgenerallycalledthe“predicate.”

OSHAmustprovetheemployereither(a)didnotcontestthepredicateviolationandagreedtoacceptthepredicateviolationinasettlementagreement,or(b)contestedthepredicateviolationandwasfoundtobeinviolationbyanadministrativelawjudge.

Aviolationthatiswillfulandcausesthedeathofanemployee.7

DeMinimis

Criminal

Repeated

Willful

Serious

Other-Than-Serious

DeMinimisviolationscarrynopenalty.

Amisdemeanorconvictionthatcarriesamaximumpenaltyof$500,000foreachcountoftheindictmentanduptosixmonthsofimprisonment.

Prisontimeisgenerallynotsoughtwheretheemployerisacorporation,butsolepro-prietorsorownersofsmallercompanieshavebeencrimi-nallyfinedorimprisonedwhentheyprovideday-to-daydirec-tiontoworkers.

Ifanemployercommitsasecondcriminalviolation,amaximumofaone-yearimprisonmentmayresult.

$70,000

$70,000

$7,000

$5,000

7 the employer is strongly advised to contact an attorney in the event of an employee or contractor death. In addition to substantial oSHA civil liability, a fatality is likely to result in a civil lawsuit and possibly a criminal investigation.


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Bypreparinginadvanceandcarefullyconsideringinspec-

tionprotocols,theemployercanassertsomemeasureof

controlovertheOSHAinspectionprocess.

Inaddition,anemployermaybeabletosignificantlyreduceOSHAandotherresultantliabilitiesbyusingthestrategiesdis-cussedinthisdocument.Finally,thisdocumentservesonlytoprovideinsightfulinformationabouteffectivelyhandlinganOSHAinspectionsoastominimizeliability.Employersaread-visedtocontactanattorneytoobtainlegaladviceoranswerstoanylegalquestionstheymayhaveregardinganOSHAinspection.

CONCLUSION HELPFUL TIPS AND STRATEGIES TO HANDLE OSHA INSPECTIONS

4 Beingpro-activeduringaninspectionbyaddress-ingOSHA’scomplianceconcernsmaypersuadeOSHAnottoissuecitations.

4 Anemployershoulddesignateacompanydeci-sion-makertoactasOSHA’smaincontactduringeveryinspectiontocontroltheflowofinformation.

4 TheOSHAComplianceOfficershouldbeaccom-paniedatalltimesbyanemployerrepresentativeduringwalk-aroundinspectionsoftheworksite.

4 TheemployerisentitledtohavearepresentativepresentforallOSHAinterviewswithcompanydecision-makers.

4 TheemployershouldinsistthatOSHAprovidesufficientadvancenoticeofindustrialhygienesamplingsocompetentpersonnelcanperformside-by-sidesampling,whichallowstheemployertochallengedefectivesamplestakenbyOSHA.

4 Theemployerhastherighttoinsistthatthegovernmentprotectanytradesecretorbusi-nessconfidentialinformationdisclosedinaninvestigation.

4 Bybeingpresentduringanemployeeinterview,anemployermaybeabletoanticipatedefensestoOSHA’sallegationsofviolationsorclarifymisun-derstandingsbetweentheemployeeandtheOSHAComplianceOfficer.

4 BeforeanOSHAinterviewwithanemployee,anattorneyoranemployerrepresentativeshouldmeetwiththeemployeeiftheemployeeconsentstodiscusstheOSHAinspectionprocessandtheemployee’srightsduringtheprocess.

4 AnemployeeinterviewwithOSHAisvoluntary.

4 AnOSHAComplianceOfficerhasnoauthoritytoinsistonimmediatechangesortodemandworktostop.

4 ByunderstandingOSHA’sconcernsearlyintheprocess,theemployercanprovideinformationtodisputeOSHA’sfactualfindingsorinterpretationoftheOSHAstandardorregulation.

MORe tIPs and stRateGIes LIKe these CanBe FOUnd In thIs dOCUMent tO heLP

eMPLOYeRs aVOId thOse COstLY Osha FInes!