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Inspections, Citations, & Penalties

Inspections, Citations, & Penalties. MODULE 5. Basis in the Act. Sections 8-10 and 13 of OSH Act authorize DOL to inspect and issue citations Sections 11 and 12 authorizes review of citations Section 17 authorizes civil and criminal penalties. Basis in the Act.

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Inspections, Citations, & Penalties

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  1. Inspections, Citations, & Penalties MODULE 5

  2. Basis in the Act • Sections 8-10 and 13 of OSH Act authorize DOL to inspect and issue citations • Sections 11 and 12 authorizes review of citations • Section 17 authorizes civil and criminal penalties

  3. Basis in the Act • In Section 8(a), OSHA representatives are authorized to: • Enter without delay, at reasonable times • Inspect during regular working hours and at reasonable times • Question privately employers and employees

  4. Regulations 29 CFR 1903

  5. 29 CFR 1903.1 Purpose and Scope • Purpose: • To prescribe rules and to set forth general policies for enforcement of the inspection, citation, and proposed penalty provisions of the Act. • Describes authorization and source

  6. 1903.2 Postings, Availability of the Act, Regulations & Standards • Employer must keep a notice posted • Posted conspicuously at each physical location where employees report • State poster acceptable • Available in English or Spanish • Provisions to make standards available • Available at OSHA Area Offices • Employer’s materials must be made available to employees on request

  7. 1903.3 Authority for Inspection • CSHOs can enter and inspect where employees are working • To investigate conditions of equipment, structures, machines and materials • To question owners, employees or representatives • To review records required or directly pertinent to the inspection

  8. 1903.4 Objection to Inspection • CSHOs must be allowed • To enter and inspect at reasonable times • To be accompanied by employee representative • If employer refuses, CSHO will: • Terminate the inspection or limit it to areas without objection • Find out the reason for refusal • Report the refusal and reason to the Area Director • Warrants may be sought in advance

  9. 1903.5-1903.6 • 1903.5 Permission to enter does not imply waiver of citation or penalty • 1903.6 Advance notice not given except • Imminent danger • After business hours • Special preparations necessary • Assure employer and employee presence • As determined by Area Director

  10. 1903.7 Conduct of Inspections • CSHO arrives & shows credentials • Nature, purpose and scope of inspection • Can include photos, IH samples, questioning personnel, etc..

  11. 1903.7 Conduct of Inspections • CSHO follows company’s safety procedures • No unreasonable disruption of work • Closing conference to: • CSHO discuss apparent violations found • Employer opportunity to discuss workplace conditions

  12. 1903.8 Employee and Employer Representatives • Representatives of employer and employees given an opportunity to accompany to aid in inspection • CSHO authorized to determine representative or will consult with reasonable number of employees • Third party non-employee, e.g. engineer or industrial hygienist, may accompany with good cause • Interference with CSHO’s inspection prohibited • Classified information and trade secrets protected

  13. 1903.9 Trade Secrets • Employer trade secrets are protected • Violations can result in $1,000 fine, 1 year in jail, and work removal

  14. 1903.10 Consultation with Employees • CSHOs may consult with employees on matters of safety & health • Any employee has a right to point out apparent OSHA violations to the CSHO

  15. 1903.11 Complaints by Employees • Employees may send complaints to CSHO or Area Director in writing • Full inspection if reasonable grounds exist • Complaint shown to employer no later than inspection date • Employees can request anonymity • Employer retaliation is prohibited

  16. 1903.13 Imminent Danger • If CSHO finds imminent danger: • Will tell employees and employer • If expected to cause serious harm before enforcement solves issue • Citations may still be issued, even if problem is fixed

  17. OSHA Inspection Priorities

  18. Inspection Priorities • Imminent Danger = top priority • Employees notify employer of imminent danger • If no action taken, notify OSHA • Catastrophes and Fatal Accidents = second priority

  19. Inspection Priorities • Employee Complaints = third priority • Referrals from employees & outside agencies of unsafe or unhealthful conditions • Informal review for situations not inspected • Confidentiality is maintained on request

  20. Inspection Priorities • Programmed High-Hazard Inspections = fourth priority • Aimed at high hazard industries, occupations, or health substances • Selection criteria examples: • Death • Lost workday case rates • Exposure to toxic substances

  21. Follow-up Inspections • Determine whether previously cited violations have been corrected. • “Notification of Failure to Abate”

  22. OSHA Inspection Priority Review • Imminent Danger • Catastrophes and Fatal Accidents • Employee Complaints and Referrals • Programmed High-Hazard Inspections • Follow-Up Inspections

  23. OSHA Inspection Process

  24. Pre-Inspection Preparation • Compliance Safety and Health Officer (CSHO) becomes familiar with facility • History • Nature of business • Relevant standards • Industrial hygiene equipment selection

  25. Inspection Process: Arrival • CSHO arrives at facility and displays credentials • Employers should always verify the identity of the CSHO • United States Department of Labor ID including photo and serial number • Verify by phoning OSHA

  26. Opening Conference • CSHO explains: • Why facility was selected • Purpose of visit, inspection scope and applicable standards • Complaint copies distributed (if applicable) • Employee representative may be summoned

  27. Inspection Tour • CSHO determines route and duration • Consults with employees • Photos • Instrument readings • Examines records

  28. Inspection Tour • CHSO points out unsafe conditions • May point out possible corrective actions if employer requests • Employer chooses how to abate hazard • Some may be corrected immediately • May still result in citation

  29. Closing Conference • Discussion of problems, questions and answers • Discussion of recommended citations • Time needed for abatement • Only Area Director issues citations and assesses penalty $$$

  30. 1903.14 Citations • Area Director reviews CSHO’s inspection report • Six month limit to issue citation following occurrence of alleged violation • Citations will describe particular violation of The Act, standards, etc.

  31. Types of Violations

  32. Serious Violation • High probability of death or serious harm • Mandatory fine, up to $7,000 • Adjusted downward: • Good faith • Gravity of alleged violation • Violation history • Size of business

  33. Willful Violation • Employer knowingly commits with plain indifference to the law • Either knows action is a violation or • is aware of hazardous condition • with no effort to eliminate • Up to $70,000 for each • Minimum of $5,000

  34. Willful Violation • If convicted of WV that has resulted in death: • court imposed fine, • up to six months in jail, or both • Criminal conviction, up to $250,000 for individual; and years in jail • $500,000 for corporation • Corporate officers may be imprisoned

  35. Repeat Violation • Same or substantially similar • Up to $70,000 for each violation

  36. Failure to Abate • Up to $7000/day for each violation not abated • Maximum of 30 days

  37. Other Than Serious Violation • Normally would not cause death or serious injury • Normally no fines • Fines levied may be lowered up to 95% • Factors: • Good faith (related to safety and health program) • History of violations • Size of business

  38. De Minimis Violation • No direct relationship to safety or health • No fines

  39. Other Violations • Falsifying records • Up to $10,000, six months in jail, or both • Violations of posting requirements • Civil fine up to $7,000 • Assaulting, interfering with, intimidating a CSHO while performing their duties • Up to three years prison and • $5,000 fine

  40. Reduction of Penalties • Some contested penalties are reduced: • Up to 60% for small employers • Up to 25% for “good faith” • Written safety and health program • Only incidental deficiencies • Up to 10% for citation history

  41. Increase of Penalties • Multiplied if previously cited • Factor varies by employer size • Multiplied for willful violations

  42. Citation Questions • Who - if anyone - goes to prison? • Employer = entire chain of supervision • Attempts to identify the person most reasonably considered at fault • Where does the money go? • National Treasury • Not ear-marked for OSHA

  43. Response to Inspection

  44. 1903.14a Petitions for modification of abatement date • Employer may petition for extension of abatement date after good faith effort to comply: • Petition in writing • Steps and dates of action taken • How much more time is requested and reasons • Interim safeguards to protect employees against cited hazard

  45. 1903.15 Proposed Penalties • Notice of proposed penalties for citations issued to employers • Area Director determines penalties based upon: • Size of business • Gravity of violation • Good faith of employer • History of previous violations

  46. 1903.15 Proposed Penalties • To contest a citation or proposed penalty before the Review Commission: • Notify the Area Director in writing • Within 15 working days • Otherwise, cannot be contested

  47. 1903.16 Posting of Citations • Employer must post unedited citations • Near each place violation is alleged, or • Place readily seen by affected employees • For at least 3 days or until abated • Notice of contest may be posted too

  48. 1903.17 Employer and employee contests • Employer may contest either or both: • Citation • Penalty • Employee may contest time to abate • Postmarked within 15 working days • Area Director notifies Review Commission

  49. 1903.18 Failure to correct violation • If inspection finds failure to correct cited violation within period permitted: • AD notifies employer of violation/penalty • Period for correction starts after any review • These citations may also be appealed • Notify AD within 15 working days

  50. Abatement Period • Time provided to correct violations • Cost of correcting violations may be greater than citation cost • Penalty reductions for failure to abate violations: • Good faith • Partial abatement

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