How to ThriveInstead of SurviveAn OSHA Audit

Presented by

Ernie Harben, President

863-224-0954

May 18, 2018

WARNINGDON’T LET THIS POWERPOINT FORMAT FOOL YOU!

This is NOT a “Presentation”

This IS a GROUP DISCUSSION

Therefore, EVERYONE is expected to pay attention

and CONTRIBUTE to the content

DISCUSSION and LEARNING POINTS

• Lesson 1: Attitude▫ Us vs. Them

▫ What’s worse?

ATTITUDE

PREPAREDNESS

THE AUDIT

LEVERAGE

• Lesson 2: Preparedness▫ Who, What, When, Where, Why, How

• Lesson 3: It’s Audit Time!▫ Dos and Don’ts.

• Lesson 4: Making Lemonade▫ OSHA was kind enough to give you lemons . . .

Lesson 1: Attitude: Whose Attitude is Most Important?

• Business Owner / Corporate

• Site Director / Manager

• Field Supervisor

• Employee

• The Public / Customer

• OSHA

• Who Else?

Lesson 1: Attitude: Which is Worse?

A Complex List of Written RulesSpeed “Traps”

Red Light Camerasand Sobriety Checkpoints

Lesson 1: Attitude: How Do You Adjust Attitude?

Lesson 2: Preparedness – WHO?

• OSHA | EPA | DOT | FDEP

• Insurer (Fire, Property, etc.)

• Law Enforcement

• “Repo Man”

• Private Detective

• Law Firm

• Press / Newscaster

• Business Owner

• Corporate Office

• Site Manager

• Field Supervisor

• Employee

• Your Customer

• Who Else?

Who Might Confront You? Who Might They Confront?

Lesson 2: Preparedness – WHAT?

• Records (INS, Licenses, Permit)

• Field / Site Conditions

• Public Roads

• Down Stream (Noise, Runoff)

• Samples (Air, Water, Soil)

• Products (Yours / Customers)

• On Line References

• Others?

Lesson 2: Preparedness – WHEN?

• 9-5

• Third Shift

• Christmas Day

• Unannounced

• In Person

• By Mail or Phone

• Other?

Lesson 2: Preparedness – WHERE?

• Office

• Field

• Court of Law

• Agency Office

• Remotely

• Other?

Lesson 2: Preparedness – WHY?

• Complaint

• Road Collision

• Fatality

• Routine

• Random

• Why Not?

Lesson 2: Preparedness – HOW?

OSHA:

• Agency Visit

• Pre-Inspection Conference

• Inspection▫ Records

▫ Worksite

▫ Employee(s)

• Closing Conference

Lesson 3: Audit Time!What If an Agent Comes Knocking at Your Door?

• Where will they park?

• Which door will they enter?

• Who greets visitors?

• Who will meet with the agent?

• Where will you meet with the agent?

And, Why?

• Designated “Greeter” has Agent Sign In(?)

▫ Where will the Agent await the Designated Company Representative?

• Designated Greeter calls the Designated Company Representative to Announce the Presence of the Agent

▫ Who is called?

▫ In what order are Company Persons called?

• Designated Company Representative Escorts Agent to Designated Room

• Company Representative(s) Hold “Opening Conference” with Agent

Lesson 3: Audit Time!Pre-Plan and Train for an Agency Visit

Sign In

Contact Designated Co. Rep

Exchange / Check ID

Escort to Meeting Room

Hold Opening Conference

Lesson 3: Audit Time!Opening Conference

• Why is the Agent here?

• What do they want to see / do?

• Who do they want to speak to?

• What do they want to copy?

• What do they want to photograph?

• What do they want to measure or sample?

OSHA procedure includes an Opening Conference – Any other governmental agent should be required by the Company Representative to do the same.

Lesson 3: Audit Time!

• Be Honest• Be sure you understand the question – If not, ask for clarification• Answer THE question – Don’t elaborate beyond the specific answer• If you don’t know the answer – Say so▫ Request additional time to get the information requested▫ Write down the Agent’s request and notify them you’ll direct it to the

proper Company Representative and get back to them

• No need to admit guilt / fault. Fix it on the spot (if you can) or just insure the inspector that you heard and understood their point and that you’ll be sure to look into it right away.

Lesson 3: Audit Time!Records Review

• OSHA▫ OSHA 300 Logs (301 Forms)▫ Training Records (temps too)▫ Policies & Procedures

• Vehicle Inspection Records• Business Licenses• Hazardous Waste Records• “Mock Recall” tests• Others?

Lesson 3: Audit Time!Workplace Inspection

• Agent will indicate what is to be inspected during opening conference.

• The Agent should be accompanied at all times while at your worksite(s)

• Photographs

• Measurements

• Sampling If you can correct any detected deficiency ON THE SPOT – Do so!

(SCOPE CREEP)

Lesson 3: Audit Time!Interviews

• Who may an Agent interview?• Where will the Agent conduct the

interview?• Can a Supervisor sit with the non-

salaried employee during the interview?

• Will the Agent tell you what was said in the interview?

• Can you ask the employee what was discussed during the interview?

Lesson 3: Audit Time!Closing Conference

• Standard OSHA Procedure calls for a Closing Conference▫ All regulatory agencies should be requested to do the same

• What was observed and/or of concern▫ Okay to ask for explanation to understand the concern

• Agree on What Else is to Be Addressed or Provided

• The Agent will attempt to be thorough in their preliminary findings

BUT the Agent will need to review the findings with their Director

BEFORE the final determination is made

Lesson 4: Leverage - After the Audit

• Summarize the actions of the inspector and points they made during the visit ASAP.

• Notify proper company representtives of the visit and any deadlines to be met.

• Begin working on any open issues from the visit.

• Don’t reprimand / punish employees without first consulting HR / Legal.

• Don’t investigate who “squeeled”.

• Don’t interigate employees as to what was discussed.

DO’s DON’T’s

Agency Interaction Policy and Procedure

• In writing with all other policies and procedures▫ Revised annually

▫ Updated as personnel or business changes occur

▫ Distrubuted to all affected employees

• Taught to all employees potentially impacted

• Address the most likely potential agency interactions that might occur at the worksite(s)

• List who is to me notified in the event of each kind of agency interaction▫ Assign an employee to update the list monthly

Agency Interaction Policy and Procedure

• List of Likely Agency Interactions▫ OSHA

▫ Law Enforcement

▫ Others?

• Who to call if the Agency shows up

• Reminders for▫ Checking ID

▫ Opening Conference

▫ Inspection Do’s & Don’ts

▫ Closing Conference

▫ Follow Up

Agency Interaction Policy and Procedure

• Teach and Train all Affected Employees▫ Gate / Lobby Security

▫ Visitor Greeters

▫ Facility Leaders

▫ Workplace Supervisors

▫ Employees?