OSHA Instruction. CPL Also, this instruction provides current information and ensures that occupational safety and health standards are enforced with uniformity. Scope: OSHA-wide. State Impact: Notice of Intent and Equivalency required. See Chapter 1, Section VI. While conducting inspections, CSHOs are to present their credentials whenever making contact with management representatives, employees to conduct interviews , or organized labor representatives.
At the beginning of the inspection, the CSHO shall locate the owner representative, operator, or agent in charge at the workplace and present credentials.
On construction sites this will most often be the representative of the general contractor. The inspection shall not be delayed unreasonably to await the arrival of the employer representative. If the employer representative is coming from off-site, the inspection should not be delayed in excess of one hour.
If the workforce begins to depart from the worksite, the CSHO should contact the Area Director or designee for guidance. If the person in charge at the workplace cannot be determined, then the CSHO should record the extent of the inquiry in the case file and proceed with the physical inspection. Refusal to Permit Inspection and Interference. Section 8 of the Act specifies that CSHOs, without delay and at reasonable times, can enter any establishment covered under the Act for the purpose of conducting an inspection.
Unless the circumstances constitute a recognized exception to the warrant requirement e. Refusal of Entry or Inspection. Please note that on a military base or other federal government facility, the following guidelines do not apply.
Instead, a representative of the controlling authority shall be informed of the contractor's refusal and directed to take appropriate action to obtain cooperation. When the employer refuses to permit entry upon being presented proper credentials, or allows entry but then refuses to permit or hinders the inspection in some way, an attempt shall be made to obtain as much information as possible about the establishment.
See Chapter 15, Obtaining Warrants for additional information. If the employer refuses to allow an inspection of the establishment to proceed, then the CSHO shall leave the premises and immediately report the refusal to the Area Director or designee.
If the employer raises no objection to inspection of certain areas of the workplace but objects to inspection of other areas, then this shall be documented. The CSHO shall continue the inspection, confining it only to those certain areas to which the employer has raised no objections. If, however, during the limited scope inspection the CSHO becomes aware that there may be violative conditions in other portions of the workplace, then the CSHO shall inform the employer and request permission to inspect those areas.
See Chapter 15 , Legal Issues, for additional information. In either case, the CSHO shall advise the employer that the refusal will be reported to the Area Director or designee and that the Agency may take further action, which may include obtaining legal process. On multi-employer worksites, valid consent can be granted by the owner, or another employer with employees at the worksite, for site entry.
Employer Interference. Where entry has been allowed but the employer interferes with or limits any important aspect of the inspection, the CSHO shall determine whether or not to consider this action as a refusal.
Whenever an OSHA official or employee encounters forcible resistance, opposition, or interference, or is assaulted or threatened with assault while engaged in the performance of official duties, all investigative activity shall cease.
Upon receiving a report of such forcible interference, the Area Director or designee shall immediately notify the Regional Administrator. If working at an off-site location, CSHOs should leave the site immediately pending further instructions from the Area Director or designee.
Obtaining Compulsory Process. If it is determined, upon refusal of entry or refusal to produce evidence required by subpoena, that a warrant will be sought, then the Area Director shall proceed according to guidelines and procedures established in the Region for warrant applications. Employee Participation.
CSHOs shall determine as soon as possible after arrival whether the workers at the inspected worksite are represented and, if so, shall ensure that employee representatives are afforded the opportunity to participate in all phases of the inspection. If an employer resists or interferes with participation by employee representatives in an inspection and if the interference cannot be resolved by the CSHO, then the resistance shall be construed as a refusal to permit the inspection and the Area Director or designee shall be contacted.
Release for Entry. CSHOs shall not sign any form or release or agree to any waiver. This includes any employer forms concerned with trade secret information.
CSHOs can obtain a pass or sign a visitor's register, or any other book or form used by the establishment to control the entry and movement of persons upon its premises. Such signature shall not constitute any form of a release or waiver of prosecution for liability under the Act. Bankrupt or Out of Business. If the establishment scheduled for inspection is found to have ceased business and there is no known successor, the CSHO shall report the facts to the Area Director or designee.
If an employer, although bankrupt, is continuing to operate on the date of the scheduled inspection, then the inspection shall proceed. An employer must comply with the Act until such time as the business actually ceases to operate. Employee Responsibilities. Section 5 b of the Act states: "Each employee shall comply with occupational safety and health standards and all rules, regulations, and orders issued pursuant to the Act which are applicable to his own actions and conduct.
Employers are responsible for employee compliance with the standards. In cases where CSHOs determine that employees are systematically refusing to comply with a standard applicable to their own action and conduct, the matter shall be referred to the Area Director who shall consult with the Regional Administrator.
Under no circumstances are CSHOs to become involved in a worksite dispute involving labor management issues or interpretation of collective bargaining agreements.
CSHOs are expected to obtain sufficient information to assess whether the employer is using its authority to ensure employee compliance with the Act. Concerted refusals to comply by employees will not bar the issuance of a citation if the employer has failed to exercise its control to the maximum extent reasonable, including discipline and discharge. Strike or Labor Dispute. Plants or establishments can be inspected regardless of the existence of labor disputes, such as work stoppages, strikes, or picketing.
If the CSHO identifies an unanticipated labor dispute at a proposed inspection worksite, the Area Director or designee shall be consulted before any contact is made. Programmed Inspections. Programmed inspections can be deferred during a strike or labor dispute, either between a recognized union and the employer or between two unions competing for bargaining rights in the establishment.
Unprogrammed Inspections. Unprogrammed inspections complaints, fatalities, or referrals will be performed during strikes or labor disputes. However, the credibility and veracity of any complaint shall be thoroughly assessed by the Area Director or designee prior to scheduling an inspection. If there is a picket line at the establishment, CSHOs shall attempt to locate and inform the appropriate union official of the reason for the inspection prior to initiating the inspection.
During the inspection, CSHOs will make every effort to ensure that their actions are not interpreted as supporting either party to the labor dispute.
The employer's requirement to comply with a standard can be modified through granting of a variance, as outlined in Section 6 of the Act.
An employer will not be subject to citation if the observed condition is in compliance with an existing variance issued to that employer. In the event that an employer is not in compliance with the requirement s of the issued variance, a violation of the applicable standard shall be cited with a reference in the citation to the variance provision that has not been met.
Opening Conference. CSHOs shall attempt to inform all affected employers of the purpose of the inspection, provide a copy of the complaint if applicable, and include any employee representatives, unless the employer objects. The opening conference should be brief so that the compliance officer can quickly proceed to the walkaround.
Conditions of the worksite shall be noted upon arrival, as well as any changes that may occur during the opening conference. At the start of the opening conference, CSHOs will inform both the employer and the employee representative s of their rights during the inspection, including the opportunity to participate in the physical inspection of the workplace.
The CSHO should also remind the employer and employees that Section 11 c provides redress for employees who exercise their rights under the Act. Attendance at Opening Conference. CSHOs shall conduct a joint opening conference with employer and employee representatives unless either party objects. If there is objection to a joint conference, the CSHO shall conduct separate conferences with employer and employee representatives.
Scope of Inspection. CSHOs shall outline in general terms the scope of the inspection, including the need for private employee interviews, physical inspection of the workplace and records including OSHA logs, A summaries, and incident reports , possible referrals, rights during an inspection, discrimination complaints, and the closing conference s.
Immediate Abatement. CSHOs should explain to employers the advantages of immediate abatement, including that there are no certification requirements for violations quickly corrected during the inspection. Quick-Fix Penalty Reduction. CSHOs shall advise both the employer and employee representatives, if applicable, that the Quick-Fix penalty reduction can be applied to each qualified violation i. See Chapter 6 , Penalties and Debt Collection.
Recordkeeping Rule. Although the employer has four business hours to provide injury and illness records, the compliance officer is not required to wait until the records are provided before beginning the walkaround portion of the inspection.
As soon as the opening conference is completed, the compliance officer is to begin the walkaround portion of the inspection. Abbreviated Opening Conference. An abbreviated opening conference shall be conducted whenever the CSHO believes that circumstances at the worksite dictate that the walkaround should begin as promptly as possible. In such cases, the opening conference shall be limited to: presenting credentials; stating the purpose of the visit; explaining employer and employee rights; and requesting employer and employee representatives.
All other elements shall be fully addressed during the closing conference s. Review of Appropriation Act Exemptions and Limitations. CSHOs shall determine if the employer is covered by any exemptions or limitations noted in the current Appropriations Act. CSHOs shall request a list of the chemicals on-site and their respective maximum intended inventories. If the facility is one of these types of establishments, PSM does not apply.
If management believes that the process is exempt, CSHOs shall ask the employer to provide documentation or other information to support that claim. Review of Voluntary Compliance Programs. Employers who participate in selected voluntary compliance programs may be exempted from programmed inspections.
CSHOs shall determine whether the employer falls under such an exemption during the opening conference. A consultation visit in progress extends, from the beginning of the opening conference to the end of the correction due dates including extensions.
Inspections at a VPP site can be conducted in response to referrals, formal complaints, fatalities, and catastrophes. Disruptive Conduct. CSHOs can deny the right of accompaniment to any person whose conduct interferes with a fair and orderly inspection. If disruption or interference occurs, the CSHO shall contact the Area Director or designee as to whether to suspend the walkaround inspection or take other action. The employee representative shall be advised that, during the inspection, matters unrelated to the inspection shall not be discussed with employees.
Classified Areas. In areas containing information classified by an agency of the U. Review of Records. Injury and Illness Records. Collection of Data. At the start of each inspection, the CSHO shall review the employer's injury and illness records including the employer's OSHA logs, A summaries, and incident reports for three prior calendar years, record the relevant information on a copy of the OSHA screen, and enter the employer's data into OIS.
This shall be done for all general industry, construction, maritime, and agriculture inspections and investigations. If recordkeeping deficiencies or unsound employer safety incentive policies are discovered, the CSHO and the Area Director or designee can request assistance from the Regional Recordkeeping Coordinator.
Information to be Obtained. CSHOs shall request copies of the OSHA Logs, the total hours worked and the average number of employees for each year, and a roster of current employees, including a list of each employee's job classification, work hours, and assigned work area s. If one of the three years is a partial year, so indicate and the software will calculate accordingly. The DART rate includes cases involving days away from work, restricted work activity, and transfers to another job.
EH is the total number of hours worked by all employees during the calendar year; and , is the base number of hours worked for full-time equivalent employees. Federal Agencies. Recording Criteria. Employers must record new work-related injuries and illnesses that meet one or more of the general recording criteria or meet the recording criteria for specific types of conditions.
Recordkeeping Deficiencies. Additional programs will be reviewed as necessary. There are several types of workplace policies and practices that could discourage employee reports of injuries and could constitute a violation of section 11 c of the OSH Act. These policies and practices, otherwise known as employer safety incentive and disincentive policies and practices, can also violate OSHA's recordkeeping regulations.
Walkaround Inspection. CSHOs shall conduct the inspection in such a manner as to avoid unnecessary personal exposure to hazards and to minimize unavoidable personal exposure to the extent possible. Walkaround Representatives. Persons designated to accompany CSHOs during the walkaround are considered walkaround representatives, and will generally include those designated by the employer and employees.
During the opening conference, the highest ranking union official or union employee representative on-site shall designate who will participate in the walkaround. If in the judgement of the CSHO, good cause has been shown why accompaniment by a third party, who is not an employee of the employer such as an industrial hygienist or a safety engineer , is reasonably necessary to conduct an effective and thorough physical inspection of the workplace, then such third party can accompany CSHOs during the inspection.
Safety Committee or Employees at Large. Employee members of an established workplace safety committee or employees at large can designate an employee representative for OSHA inspection purposes. Evaluation of Safety and Health Management System. The employer's safety and health management system shall be evaluated to determine its good faith effort for the purposes of penalty calculation.
Record All Facts Pertinent to a Violation. Safety and health violations shall be brought to the attention of employer and employee representatives at the time they are documented. CSHOs shall record, at a minimum, the identity of the exposed employee, the hazard to which the employee was exposed, the employee's proximity to the hazard, the employer's knowledge of the condition, the manner in which important measurements were obtained, and how long the condition has existed.
CSHOs will document interview statements in a thorough and accurate manner; including names, dates, times, locations, types of materials, positions of pertinent articles and witnesses.
Testifying in Hearings. CSHOs can be required to testify in hearings on OSHA's behalf, and shall be mindful of this fact when recording observations during inspections. The case file shall reflect conditions observed in the workplace as accurately and detailed as possible.
Trade Secrets. A trade secret, as referenced in Section 15 of the Act, includes information concerning or related to processes, operations, style of work, or apparatus, or to the identity, confidential statistical data, amount or source of any income, profits, losses, or expenditures of any person, firm, partnership, corporation, or association.
See 18 USC Restriction and Controls. At the commencement of an inspection, the employer may identify areas in the establishment that contain or that might reveal a trade secret. If the CSHO has no clear reason to question such identification, information obtained in such areas, including all negatives, photographs, video recordings, environmental samples, and OSHA documentation forms, shall be labeled: "Confidential — Trade Secret" Under Section 15 of the Act, all information reported to or obtained by CSHOs in connection with any inspection or other activity that contains or that might reveal a trade secret shall be kept confidential.
Such information shall not be disclosed except to other OSHA officials concerned with the enforcement of the Act or, when relevant, in any proceeding under the Act. Title 18 USC provides criminal penalties for Federal employees who disclose such information. Trade secret materials shall not be labeled as "Top Secret," "Secret," or "Confidential," nor shall these security classification designations be used in conjunction with other words unless the trade secrets are also classified by an agency of the U.
Collecting Samples. CSHOs shall determine, early in the inspection, whether sampling such as, but not limited to, air sampling and surface sampling is required by using the information collected during the walkaround and from the pre-inspection review. CSHOs are highly encouraged to conduct self-sampling. Summaries of sampling results shall be provided on request to the appropriate employees including those exposed or likely to be exposed to a hazard , to employer representatives, and to employee representatives.
Photographs and Video Recordings. Photographs that support violations shall be properly labeled, and may be attached to the appropriate Violation Worksheet. CSHOs shall ensure that any photographs relating to confidential trade secret information are identified as such and are kept separate from other evidence.
All film and photographs or video recordings shall be retained in the case file. If lack of storage space does not permit retaining the film, photographs or videotapes with the file, they may be stored elsewhere with a reference to the corresponding inspection.
Video recordings shall be properly labeled. Violations of Other Laws. If a CSHO observes apparent violations of laws enforced by other government agencies, such cases shall be referred to the appropriate agency. Referrals shall be made using appropriate regional procedures. Interviews of Non-Managerial Employees. A free and open exchange of information between CSHOs and employees is essential to an effective inspection.
Interviews provide an opportunity for employees to supply valuable factual information concerning hazardous conditions, including information on how long workplace conditions have existed, the number and extent of employee exposure s to a hazardous condition, and the actions of management regarding correction of a hazardous condition. Section 8 a 2 of the Act authorizes CSHOs to question any employee privately during regular working hours or at other reasonable times during the course of an OSHA inspection.
The purpose of such interviews is to obtain whatever information CSHOs deem necessary or useful in carrying out inspections effectively. The mandate to interview employees in private is OSHA's statutory right. Employee interviews are an effective means to determine if any advance notice of inspection has adversely affected the inspection conditions, as well as to obtain information regarding the employer's knowledge of the workplace conditions or work practices in effect prior to, and at the time of, the inspection.
During interviews with employees, CSHOs should ask about these matters. If an employee refuses to be interviewed, the CSHO shall use professional judgment, in consultation with the Area Director or designee, in determining the need for the employee's statement. Employee Right of Complaint. CSHOs can consult with any employee who desires to discuss a potential violation. Upon receipt of such information, CSHOs shall investigate the alleged hazard, where possible, and record the findings.
Time and Location of Interviews. CSHOs are authorized to conduct interviews during regular working hours and at other reasonable times, and in a reasonable manner at the workplace. Interviews often occur during the walkaround, but can be conducted at any time during an inspection.
If necessary, interviews can be conducted at locations other than the workplace. CSHOs should consult with the Area Director if an interview is to be conducted someplace other than the workplace. CSHOs shall inform employers that interviews of non-managerial employees will be conducted in private.
CSHOs are entitled to question such employees in private regardless of employer preference. Interference with a CSHOs ability to conduct private interviews with non-managerial employees includes, but is not limited to, attempts by management officials or representatives to be present during interviews. Conducting Employee Interviews. General Protocols. At the beginning of the interview CSHOs should identify themselves to the employee by showing their credentials, and provide the employee with a business card.
This allows employees to contact CSHOs if they have further information at a later time. CSHOs should explain to employees that the reason for the interview is to gather factual information relevant to a safety and health inspection. It is not appropriate to assume that employees already know or understand OSHA's purpose.
Particular sensitivity is required when interviewing a non-English speaking employee. In such instances, CSHOs should initially determine whether the employee's comprehension of English is sufficient to permit conducting an effective interview. Every employee should be asked to provide his or her name, home address and phone number. CSHOs should request identification and make clear the reason for asking for this information.
In the event that an employee requests that a representative of the union to be present, CSHOs shall make a reasonable effort to honor the request. An attorney for the employer may claim that individual employees have also authorized the attorney to represent them.
Such a situation creates a potential conflict of interest. CSHOs should ask the affected employees whether they have agreed to be represented by the attorney. Interview Statements. Interview statements of employees or other persons shall be obtained whenever CSHOs determine that such statements would be useful in documenting potential violations. Interviews shall normally be reduced to writing and written in the first person in the language of the individual.
Employees shall be encouraged to sign and date their statement. Any changes or corrections to the statement shall be initialed by the individual. Statements shall not otherwise be changed or altered in any manner. Statements shall include the words, "I request that my statement be held confidential to the extent allowed by law" and end with the following; "I have read the above, and it is true to the best of my knowledge.
0コメント