“Hello, I’m from OSHA and I am here to help you.”
If you own or operate a business, chances are very good you’ve heard these dreaded words before. Next to, “Hello, I’m from the Internal Revenue Service,” there are few greetings more inclined to make your knees weak. But it doesn’t have to be that bad.
Even with the 7 million workplaces they cover each year, OSHA (Occupational Safety and Health Administration) will most likely find their way to your location. When they do, here are some tips to help you survive your OSHA audit.
Plan for an inspection by making sure you have three key items in place prior to the arrival of the OSHA compliance officer (CO): A determination if you will ask for a warrant; A form to document what occurs during the inspection; All pertinent documentation such as written programs, training records, inspection records, etc.
We recommend you do not require the CO to obtain a warrant before entry unless you need to gain time, such as when a manager or counsel needs to be present. It is your legal right to ask for a warrant but this might trigger a stricter audit. It’s wiser if you simply work with the inspector. Answer questions honestly and fully, but don’t offer additional information unless it will help you avoid citations.
Be prepared. These inspections are without notice so you’ll want to have all information readily available in anticipation of an impending audit. Here are some items to have prepared: Assignment of responsibilities; documented training logs; equipment inspection records; safety and health policies; and review of insurance and third party audits, among others.
It is also wise to have a form available to record the inspector’s actions and comments during the inspection. This information will help you understand what transpired and will assist your attorney should you contest the citation or penalty. You should record things like areas that were inspected and the dates and times when the inspector was on site.
Almost all OSHA inspections begin with a review of written documents. These documents include your injury and illness records, safety manual, safety procedures, and training records. There are many records and written programs that OSHA does not specifically require to be in writing, but you should have them anyway.
Just to get you used to what you’re in store for, we’ll walk through a mock OSHA audit.
The knock at the door: We recommend escorting the compliance officer (CO) to your office or waiting area. This will give you time to gather your documents and “greeting team” to accompany the CO through the inspection.
The opening conference: The officer will explain why OSHA selected your work place for inspection and describe the scope of the inspection. Have your “greeting team” here to accompany the CO during the inspection. Make sure you set ground rules for the inspection, but don’t volunteer any information unless asked.
The walk-around/inspection: Make sure you have an employee representative attend the entire inspection and take accurate notes on areas reviewed and all discussions and comments from the CO. Keep in mind whatever is in the CO’s sight is subject to inspection. But maintain control. Remember, it’s your facility and you have rights. Don’t be bullied. But also don’t try to talk your way out of an apparent hazard. And above all, don’t destroy evidence. The CO may also want to interview employees. Advise the employee of his/her rights, your appreciation of their cooperation, and to tell the truth. As for management interviews, always have another management/counsel present during the interview.
The closing conference: During the closing conference the CO will review any apparent violations and discuss possible correction methods. The CO will explain that the violations found may result in a citation and/or fine. Remember, this isn’t a time for debate. The law requires OSHA to issue citations for safety and health standards violations.
Citations are usually prepared at the local OSHA office and mailed to the employer via certified mail. OSHA has up to six months to send a notice of penalty. Employers have 15 working days upon receipt to file an intention to contest OSHA citations, and/or to request an informal conference with the area director to discuss any citations issued.
Contesting may not relieve you completely of a penalty, but it may help you negotiate a lesser fine. Contesting is usually a good idea.
Jim Rhoad is an outsource risk manager with Ottawa Kent Insurance in Michigan.
