OSHA 2 WK 4 JL

OSH 2302, Introduction to Regulatory Compliance 1

Course Learning Outcomes for Unit IV Upon completion of this unit, students should be able to:

2. Discuss the primary responsibilities of environmental health and safety regulatory agencies. 2.1 Describe responsibilities of safety and health regulatory agencies.

5. Discuss the various roles states play in implementing laws and regulations.

5.1 Discuss the roles states play in implementing Occupational Safety and Health Administration (OSHA) laws and regulations.

5.2 Differentiate between state-run OSHA agencies and federal OSHA. Required Unit Resources In order to access the following resources, click the links below. Occupational Safety and Health Administration. (n.d.). Frequently asked questions. United States Department

of Labor. https://www.osha.gov/stateplans/faqs Occupational Safety and Health Administration. (2018). All about OSHA (OSHA Publication No. 3302-08R).

U.S. Department of Labor. https://www.osha.gov/Publications/all_about_OSHA.pdf Occupational Safety and Health Administration. (2018). Employer rights and responsibilities following a

federal OSHA inspection (OSHA Publication No. 3000-04R). U.S. Department of Labor. https://www.osha.gov/Publications/osha3000.pdf

Unit Lesson

Introduction Welcome to Unit IV! In this unit, we will be discussing the Occupational Safety and Health Administration (OSHA) and how it operates. We will also be considering the role that states play in implementing federal OSHA mandates and regulations. Finally, this unit will present information on the OSHA enforcement inspection process and what an employer can expect from an OSHA inspection and actions that can be taken to minimize the impact of proposed penalties. As you should have been able to determine by now, OSHA is an agency that not only has the responsibility of promulgating safety and health standards through the rulemaking process, but it also enforcing those standards after they are in place. We already covered the rulemaking process in Unit I of this course. In this unit, we will focus more extensively on OSHA’s enforcement role. OSHA is prevalent in all 50 states in one fashion or another. In most states, OSHA has a federal enforcement presence, meaning that they have one or more area offices that cover workplaces in the state. These area offices are typically headed by an area director who oversees the area office that is typically made up of a number of compliance safety and health officers (CSHOs). Typically, the team or teams of CSHOs are comprised of safety specialists and industrial hygienists. Some larger offices may also employ a safety engineer, and many have one or more compliance assistance specialist. Recall from Unit I, however, that the OSH Act allowed states to run their own OSHA if a given state preferred to do so. OSHA provides funding for 50% of the cost of running these state-level programs. As of 2019, there are 22 states that currently have their own OSHA (OSHA, n.d.). These OSHA programs are required to be at

UNIT IV STUDY GUIDE OSHA Enforcement and Jurisdictional Issues

OSH 2302, Introduction to Regulatory Compliance 2

UNIT x STUDY GUIDE Title

least as effective as the federal OSHA rules, promulgate their own standards, and enforce those standards in a fashion similar to the federal OSHA. States are also required to have jurisdiction over both public and private employers. This is different from the federal OSHA, which has jurisdiction over only private industry according to the act, and federal agencies, according to an executive order. Thus, in a federal OSHA state, it is up to the state to decide how to protect employees of the state and employees of its political subdivisions, such as counties, cities, and school districts (OSHA, n.d.). The primary role of the area office (whether a state or federal OSHA office) is essentially to enforce OSHA standards by conducting inspections to determine if organizations working within the jurisdiction are following OSHA’s standards or otherwise providing a workplace that is free from recognized hazards. Inspections can be conducted for a number of reasons. When it comes to prioritizing inspections, OSHA has given reports of imminent danger the number one ranking. This is because of the likelihood that someone may be injured and needs to be removed from the hazard as soon as possible. Next in line on the priority list includes reports of severe injuries and illnesses including fatalities, amputations, loss of an eye, or hospitalizations (Goetsch, 2018). Next on the priority list are formal employee complaints and referrals. Formal complaints need to be signed by a current employee of the organization or an appropriate representative. Referrals typically come from an individual who is working in some sort of official capacity who brings a workplace hazard to the attention of OSHA. An example might include a physician calling the OSHA office to indicate that employees who work for a car battery remanufacturing plant have very high blood lead levels. Referrals can be taken from news media reports as well. Another type of referral is a within office referral in which a compliance officer makes a referral to a separate discipline or identifies a hazard from a public access way (Goetsch, 2018). Programmed planned inspections are a bit different from those described previously in that OSHA typically develops a program for accessing facilities and worksites in which it can be reasonably assumed that a hazard exists. The rationale and the policies and procedures are typically described in compliance directives known as emphasis programs. The last type of inspection on the priority list that OSHA conducts is the follow- up or monitoring inspection. These inspections are conducted to make sure employers have abated a given hazard or that they are proceeding toward abatement based on their agreement with OSHA.

Inspections When OSHA conducts inspections, they typically show up unannounced. The CSHO will show the employer’s representative his or her credentials and hold an opening conference explaining the scope and purpose of the inspection and on overview of what it entails. The scope of the inspection can vary from looking at a few complaint items and routine review of a few programs the employer is required to maintain, to a full-blown wall-to-wall comprehensive inspection. Typically, the latter type of inspection is tied to a programmed inspection resulting from one of OSHA’s emphasis programs. OSHA, of course, needs permission to conduct the inspection from the employer who can deny access. When this occurs, OSHA will need to obtain a warrant to gain access to the facility. Warrants can be obtained within a day if it is urgent for OSHA to gain access, but the process typically takes several days or more before OSHA returns to the facility (OSHA, 2018a). Walk-around The next part of the inspection process is often referred to as the walk-around and involves going into the facility or onto the work site to investigate and gather information to determine whether any violations have occurred. Information and evidence may include copies of written programs, employee records, training records, photographs, video, and documentation from employee interviews. It may also include measurements of various sorts and results from workplace sampling and monitoring equipment such as air monitoring devices and noise dosimeters. During a health-related inspection, such as a situation where a concern has been raised about an air contaminant or noise exposure, an industrial hygienist will be involved and may perform full-shift sampling or dosimetry that may occur over a period of days. This is also probably a good time to note that some complex inspections such as a large-scale ergonomics or process safety management inspection in a large facility can sometimes require OSHA to be on site for weeks or even months in some cases.

OSH 2302, Introduction to Regulatory Compliance 3

UNIT x STUDY GUIDE Title

Closing conference After the walk-around portion of the inspection is complete, the CSHO will hold a closing conference with the employer. During the closing conference, the CSHO explains the apparent violations and discusses the possibility of citations being issued. Typically, a time frame is set up for abating any alleged violations at this time. The rights and responsibilities of the employer are also explained. Basically, if the employer receives citations, he or she has 15 federal working days to either pay the penalties and abate the violations, hold an informal conference with the area director or his/her designee to come to some kind of settlement, or legally contest the inspection (OSHA, 2018a). Post inspection Following the inspection, citations may be issued by the OSHA area director. Other than serious violations are violations that are not likely to result in serious harm. Serious violations are those that could likely result in serious physical harm. Repeat violations are those for which the employer has been cited before, and willful violations are for violations where a willful disregard for the health and safety of the company’s employees can be demonstrated. Failure to abate (FTA) violations include cases in which the employer indicated to OSHA that a violation had been abated when in fact it had not. Serious, willful, repeat, and FTA violations typically carry substantial penalties with the latter three having the potential to be quite large (Goetsch, 2018; OSHA, 2018b). As previously indicated, the employer has 15 federal working days to decide what to do. They must either pay and abate the violations, come to a settlement with the area director, or legally contest. A legally contested case can be settled before a hearing between OSHA’s legal counsel and the employer’s attorney may go to court. In conclusion, it is important to understand both the role of states in OSHA enforcement and also how inspections work. The readings for this unit will further delve into these topics, and it is information that every safety professional should know.

OSH 2302, Introduction to Regulatory Compliance 4

UNIT x STUDY GUIDE Title

References Goetsch, D. L. (2018). Occupational safety and health for technologists, engineers, and managers (9th ed.).

Pearson. Occupational Safety and Health Administration. (n.d.). Frequently asked questions. United States Department

of Labor. https://www.osha.gov/stateplans/faqs Occupational Safety and Health Administration. (2018a). All about OSHA (OSHA Publication No. 3302-08R).

U.S. Department of Labor. https://www.osha.gov/Publications/all_about_OSHA.pdf Occupational Safety and Health Administration. (2018b). Employer rights and responsibilities following a

federal OSHA inspection (OSHA Publication No. 3000-04R). U.S. Department of Labor. https://www.osha.gov/Publications/osha3000.pdf

OSH 2302, Introduction to Regulatory Compliance 1

Course Learning Outcomes for Unit IV Upon completion of this unit, students should be able to:

2. Discuss the primary responsibilities of environmental health and safety regulatory agencies. 2.1 Describe responsibilities of safety and health regulatory agencies.

5. Discuss the various roles states play in implementing laws and regulations.

5.1 Discuss the roles states play in implementing Occupational Safety and Health Administration (OSHA) laws and regulations.

5.2 Differentiate between state-run OSHA agencies and federal OSHA. Required Unit Resources In order to access the following resources, click the links below. Occupational Safety and Health Administration. (n.d.). Frequently asked questions. United States Department

of Labor. https://www.osha.gov/stateplans/faqs Occupational Safety and Health Administration. (2018). All about OSHA (OSHA Publication No. 3302-08R).

U.S. Department of Labor. https://www.osha.gov/Publications/all_about_OSHA.pdf Occupational Safety and Health Administration. (2018). Employer rights and responsibilities following a

federal OSHA inspection (OSHA Publication No. 3000-04R). U.S. Department of Labor. https://www.osha.gov/Publications/osha3000.pdf

Unit Lesson

Introduction Welcome to Unit IV! In this unit, we will be discussing the Occupational Safety and Health Administration (OSHA) and how it operates. We will also be considering the role that states play in implementing federal OSHA mandates and regulations. Finally, this unit will present information on the OSHA enforcement inspection process and what an employer can expect from an OSHA inspection and actions that can be taken to minimize the impact of proposed penalties. As you should have been able to determine by now, OSHA is an agency that not only has the responsibility of promulgating safety and health standards through the rulemaking process, but it also enforcing those standards after they are in place. We already covered the rulemaking process in Unit I of this course. In this unit, we will focus more extensively on OSHA’s enforcement role. OSHA is prevalent in all 50 states in one fashion or another. In most states, OSHA has a federal enforcement presence, meaning that they have one or more area offices that cover workplaces in the state. These area offices are typically headed by an area director who oversees the area office that is typically made up of a number of compliance safety and health officers (CSHOs). Typically, the team or teams of CSHOs are comprised of safety specialists and industrial hygienists. Some larger offices may also employ a safety engineer, and many have one or more compliance assistance specialist. Recall from Unit I, however, that the OSH Act allowed states to run their own OSHA if a given state preferred to do so. OSHA provides funding for 50% of the cost of running these state-level programs. As of 2019, there are 22 states that currently have their own OSHA (OSHA, n.d.). These OSHA programs are required to be at

UNIT IV STUDY GUIDE OSHA Enforcement and Jurisdictional Issues

OSH 2302, Introduction to Regulatory Compliance 2

UNIT x STUDY GUIDE Title

least as effective as the federal OSHA rules, promulgate their own standards, and enforce those standards in a fashion similar to the federal OSHA. States are also required to have jurisdiction over both public and private employers. This is different from the federal OSHA, which has jurisdiction over only private industry according to the act, and federal agencies, according to an executive order. Thus, in a federal OSHA state, it is up to the state to decide how to protect employees of the state and employees of its political subdivisions, such as counties, cities, and school districts (OSHA, n.d.). The primary role of the area office (whether a state or federal OSHA office) is essentially to enforce OSHA standards by conducting inspections to determine if organizations working within the jurisdiction are following OSHA’s standards or otherwise providing a workplace that is free from recognized hazards. Inspections can be conducted for a number of reasons. When it comes to prioritizing inspections, OSHA has given reports of imminent danger the number one ranking. This is because of the likelihood that someone may be injured and needs to be removed from the hazard as soon as possible. Next in line on the priority list includes reports of severe injuries and illnesses including fatalities, amputations, loss of an eye, or hospitalizations (Goetsch, 2018). Next on the priority list are formal employee complaints and referrals. Formal complaints need to be signed by a current employee of the organization or an appropriate representative. Referrals typically come from an individual who is working in some sort of official capacity who brings a workplace hazard to the attention of OSHA. An example might include a physician calling the OSHA office to indicate that employees who work for a car battery remanufacturing plant have very high blood lead levels. Referrals can be taken from news media reports as well. Another type of referral is a within office referral in which a compliance officer makes a referral to a separate discipline or identifies a hazard from a public access way (Goetsch, 2018). Programmed planned inspections are a bit different from those described previously in that OSHA typically develops a program for accessing facilities and worksites in which it can be reasonably assumed that a hazard exists. The rationale and the policies and procedures are typically described in compliance directives known as emphasis programs. The last type of inspection on the priority list that OSHA conducts is the follow- up or monitoring inspection. These inspections are conducted to make sure employers have abated a given hazard or that they are proceeding toward abatement based on their agreement with OSHA.

Inspections When OSHA conducts inspections, they typically show up unannounced. The CSHO will show the employer’s representative his or her credentials and hold an opening conference explaining the scope and purpose of the inspection and on overview of what it entails. The scope of the inspection can vary from looking at a few complaint items and routine review of a few programs the employer is required to maintain, to a full-blown wall-to-wall comprehensive inspection. Typically, the latter type of inspection is tied to a programmed inspection resulting from one of OSHA’s emphasis programs. OSHA, of course, needs permission to conduct the inspection from the employer who can deny access. When this occurs, OSHA will need to obtain a warrant to gain access to the facility. Warrants can be obtained within a day if it is urgent for OSHA to gain access, but the process typically takes several days or more before OSHA returns to the facility (OSHA, 2018a). Walk-around The next part of the inspection process is often referred to as the walk-around and involves going into the facility or onto the work site to investigate and gather information to determine whether any violations have occurred. Information and evidence may include copies of written programs, employee records, training records, photographs, video, and documentation from employee interviews. It may also include measurements of various sorts and results from workplace sampling and monitoring equipment such as air monitoring devices and noise dosimeters. During a health-related inspection, such as a situation where a concern has been raised about an air contaminant or noise exposure, an industrial hygienist will be involved and may perform full-shift sampling or dosimetry that may occur over a period of days. This is also probably a good time to note that some complex inspections such as a large-scale ergonomics or process safety management inspection in a large facility can sometimes require OSHA to be on site for weeks or even months in some cases.

OSH 2302, Introduction to Regulatory Compliance 3

UNIT x STUDY GUIDE Title

Closing conference After the walk-around portion of the inspection is complete, the CSHO will hold a closing conference with the employer. During the closing conference, the CSHO explains the apparent violations and discusses the possibility of citations being issued. Typically, a time frame is set up for abating any alleged violations at this time. The rights and responsibilities of the employer are also explained. Basically, if the employer receives citations, he or she has 15 federal working days to either pay the penalties and abate the violations, hold an informal conference with the area director or his/her designee to come to some kind of settlement, or legally contest the inspection (OSHA, 2018a). Post inspection Following the inspection, citations may be issued by the OSHA area director. Other than serious violations are violations that are not likely to result in serious harm. Serious violations are those that could likely result in serious physical harm. Repeat violations are those for which the employer has been cited before, and willful violations are for violations where a willful disregard for the health and safety of the company’s employees can be demonstrated. Failure to abate (FTA) violations include cases in which the employer indicated to OSHA that a violation had been abated when in fact it had not. Serious, willful, repeat, and FTA violations typically carry substantial penalties with the latter three having the potential to be quite large (Goetsch, 2018; OSHA, 2018b). As previously indicated, the employer has 15 federal working days to decide what to do. They must either pay and abate the violations, come to a settlement with the area director, or legally contest. A legally contested case can be settled before a hearing between OSHA’s legal counsel and the employer’s attorney may go to court. In conclusion, it is important to understand both the role of states in OSHA enforcement and also how inspections work. The readings for this unit will further delve into these topics, and it is information that every safety professional should know.

OSH 2302, Introduction to Regulatory Compliance 4

UNIT x STUDY GUIDE Title

References Goetsch, D. L. (2018). Occupational safety and health for technologists, engineers, and managers (9th ed.).

Pearson. Occupational Safety and Health Administration. (n.d.). Frequently asked questions. United States Department

of Labor. https://www.osha.gov/stateplans/faqs Occupational Safety and Health Administration. (2018a). All about OSHA (OSHA Publication No. 3302-08R).

U.S. Department of Labor. https://www.osha.gov/Publications/all_about_OSHA.pdf Occupational Safety and Health Administration. (2018b). Employer rights and responsibilities following a

federal OSHA inspection (OSHA Publication No. 3000-04R). U.S. Department of Labor. https://www.osha.gov/Publications/osha3000.pdf