4.3 Regulatory Compliance & OSHA Inspections / Citations

Regulatory Compliance & OSHA Inspections

The Occupational Safety and Health Administration (OSHA) is the primary federal agency responsible for enforcing workplace safety regulations in the United States. An OHST must understand how OSHA operates, the mechanics of an inspection, and the consequences of non-compliance. Navigating an OSHA inspection requires professionalism, transparency, and a clear understanding of legal rights and responsibilities.

OSHA Inspection Priorities

OSHA cannot inspect every workplace in the country. Therefore, they operate on a strict priority system to allocate their Compliance Safety and Health Officers (CSHOs) to where they are needed most. The inspection hierarchy is as follows:

1. Imminent Danger: The highest priority. These are situations where a hazard exists that could reasonably be expected to cause death or serious physical harm immediately or before the danger can be eliminated through normal enforcement procedures (e.g., workers observed in an unprotected deep trench).
2. Catastrophes and Fatalities: Second priority. Incidents resulting in a death or the in-patient hospitalization of one or more employees. Employers must report fatalities within 8 hours and hospitalizations within 24 hours, triggering an inspection.
3. Employee Complaints and Referrals: Third priority. Inspections initiated by formal complaints from employees alleging hazardous conditions or violations of standards. Referrals can come from other agencies, media reports, or individuals.
4. Targeted/Programmed Inspections: Fourth priority. These are planned inspections aimed at specific high-hazard industries or individual workplaces that have experienced high rates of injuries and illnesses. National Emphasis Programs (NEPs) and Local Emphasis Programs (LEPs) fall into this category (e.g., targeting silica exposure in foundries or fall hazards in construction).
5. Follow-up Inspections: The lowest priority, conducted to ensure that previously cited violations have been abated.

The Inspection Process

An OSHA inspection typically follows a standard sequence:

1. Preparation and Presentation of Credentials

The CSHO prepares by researching the company's inspection history and the nature of the industry. Upon arrival, the CSHO must present their official credentials. Employers have the right to verify these credentials by calling the local OSHA area office. Crucially, employers have the Fourth Amendment right to demand an inspection warrant. However, demanding a warrant is generally not recommended as it creates an adversarial relationship from the start, and OSHA can easily obtain one based on administrative probable cause.

2. The Opening Conference

The CSHO meets with management and employee representatives. During this conference, the inspector will:

• Explain the purpose and scope of the inspection (e.g., is it a targeted inspection or focused solely on a specific complaint?).
• Outline the procedures that will be followed.
• Request required records, most notably the OSHA 300 logs, 300A summaries, and specific programs like Hazard Communication or Lockout/Tagout.

3. The Walkaround (Physical Inspection)

The CSHO, accompanied by employer and employee representatives (often a union steward or safety committee member), walks through the portions of the workplace covered by the inspection scope.

• The CSHO will take notes, photographs, and video, and may conduct industrial hygiene sampling (e.g., air monitoring or noise dosimetry).
• The CSHO will conduct private interviews with employees. Management cannot be present during these interviews.
• The employer should have a designated representative taking parallel notes and photographs of the exact same items the CSHO documents.
• Trade secrets observed during the walkaround must be kept confidential by the CSHO.

4. The Closing Conference

After the walkaround, the CSHO holds a closing conference with the employer and employee representatives to discuss all unsafe conditions observed and indicate all apparent violations for which a citation may be issued or recommended. The CSHO will not indicate specific proposed penalties during this meeting; that determination is made later by the Area Director.

Types of OSHA Citations and Penalties

If the Area Director determines violations occurred, citations and proposed penalties are mailed to the employer. Citations must be posted at or near the site of the violation for 3 days or until the hazard is abated, whichever is longer.

Citations are categorized by severity:

The Appeals Process

Employers have 15 working days after receipt of the citations to formally contest the citation, the proposed penalty, or the abatement date by filing a Notice of Contest. Before doing so, employers often request an Informal Conference with the Area Director to negotiate penalty reductions or modifications to the citations, provided they agree to abate the hazards.