3.1 Procedures Prior to Arrival of a Compliance Officer
1. The Project Manager (or designee) will designate the General Superintendent, Resident Engineer, and/or Safety Supervisor, to accompany the Compliance Officer during the inspection. This employee must be thoroughly familiar with the work S&W Energy is doing on the project, the work areas in which S&W Energy is involved, the equipment on the project belonging to or under the control of S&W Energy, and any subcontractors and their work on the project. He/she must also be thoroughly familiar with the S&W Energy EHS Manual and the safety program in effect on the project.
2. All records as required by OSHA (OSHA 300 Form, OSHA 101 Form, Crane Inspection Reports, etc.) are to be maintained and available.
3. A camera (preferably digital) will be located on the project and available.
4. The OSHA poster will be posted in a location readily observable by all employees where they normally report for work daily.
5. All safety activities on the project are to be documented; i.e., safety meetings (when held, who attended, topic covered, etc.), employee disciplinary measures taken for safety violations, correspondence to other contractors or the owner about unsafe conditions, etc.
Policy No:EHS-202 OSHA Inspection Procedure
3.2 Upon Arrival of a Compliance Officer
1. The Project Manager or Safety Supervisor will verify the Compliance Officer's credentials, making sure the credentials are current. He/she will obtain a business card from each compliance officer, or record the name, address and phone number of each one.
2. He/she will determine why the Compliance Officer wants to inspect the project.
The reason for the inspection will help in making the decision as to whether or not to require a search warrant.
3. DO NOT REQUEST SEARCH WARRANTS UNLESS INSTRUCTED TO DO SO.
Search warrants will be requested only after consultation with S&W Energy Corporate Safety Department and/or agreement by the corporate legal staff.
4. If the Compliance Officer is at the project as the result of an employee complaint, the Project Manager or Safety Supervisor will ask for a copy of the complaint.
5. The Project Manager or Safety Supervisor will call the S&W Energy Manager of Safety immediately after obtaining the information in Nos. 1, 2 and 4 above, and before allowing the compliance officer to go to the work areas.
6. The Project Manager or Safety Supervisor will notify all project supervisors that the project is about to be inspected and the reasons for the inspection.
7. The Project Manager or Safety Supervisor will request an opening conference if the compliance officer does not call for one.
3.3 At the Opening Conference
1. The Project Manager, General Superintendent, Resident Engineer, and the Safety Supervisor (as applicable) are to be present.
2. Inform the subcontractors of the inspection and offer them the opportunity to be present. It is not mandatory that they attend; the choice is theirs.
3. Detailed notes must be taken of everything discussed.
4. If the inspection will disrupt an important meeting or critical phase of work,
explain this to the compliance officer and arrange for the inspection to take place at a later time/date.
5. All publications and documents given by the compliance officer should be kept and marked with the name of the Compliance Officer and the date of its receipt.
6. The compliance officer's length of time with OSHA, education, prior work experience, and knowledge of project related work should be noted.
7. If more than one Compliance Officer is involved, it should be determined if they plan to make the inspection in one group or split into two (2) or more groups. If they want to divide into two (2) or more groups, it should be determined if it will present a problem for S&W Energy to provide a qualified employer
representative for each group. If we are not in a position to provide an employer representative for each group, this should be discussed with the compliance officers. If they still insist on dividing into groups, the S&W Energy Manager of Safety should be contacted for direction.
Policy No:EHS-202 OSHA Inspection Procedure
8. If the project involves many contractors, an agreement should be reached with the compliance officer that he/she will inspect S&W Energy in a short period of time, and will not involve us in a prolonged inspection (some project inspections have taken over a week) while he/she is inspecting us and every other contractor on the project simultaneously.
9. At all times prior to, during, and after the inspection, all S&W Energy employees should act in a cooperative, professional, businesslike manner, never entering into personal arguments with the Compliance Officer or volunteering information.
3.4 Employee Representation
1. One authorized representative of the employees shall be given the opportunity to accompany the Compliance Officer. If there is a safety committee, one member of the committee may be designated as the employee representative.
2. There need not be an employee representative for each inspection; however, where there is no authorized representative the compliance officer will probably talk to a number of employees about safety and health matters on the site. For this reason, we always prefer one employee representative to accompany the inspection team.
3. Employees interviewed during the inspection are not considered as part of the inspection for "walk around" purposes. Employees should be interviewed in private, and the Employee Representative should not be with the inspector during the interview. The name of the employee interviewed, the area he/she is working in, and any item/area he/she is obviously making comment on or
reference to should be recorded.
3.5 Company Records
1. The Compliance Officer is allowed to look only at the OSHA records required to be kept by us: OSHA 300/300 A form, OSHA 301 form, Crane Inspection
Records, etc. A copy of any of these records or any other records is not to be given to the Compliance Officer.
2. The Compliance Officer is not to look at any of our Company safety manuals.
3. The Compliance Officer is not to look at any safety inspection reports made by our Safety Engineering or Quality Control personnel, insurance carrier, etc., other than those reports required by OSHA. This includes not giving or letting the Compliance Officer look at any such reports made on subcontractor's activities.
The officer may look at, but not have a copy of, safety committee minutes, check lists, or safety program plans.
4. Areas, which include, but are not limited to, our methods and operational
procedures or our erection/form systems, quality control procedures, etc. should be identified as trade secrets. This will also include all negatives, prints or
photographs, and environmental samples which should be labeled "Confidential - Trade Secret" and normally not disclosed.
Policy No:EHS-202 OSHA Inspection Procedure
3.6 During the Inspection
1. The Project Manager, General Superintendent, Resident Engineer, and/or Safety Supervisor (as applicable) should accompany the Compliance Officer at all times.
They should never allow the Compliance Officer to have free and unlimited access to the project.
2. The inspection should be controlled. The Compliance Officer should be treated as would a guest in a house; he/she is there with our permission and will be expected to follow all instructions given him/her and will be required to conduct the inspection in such a manner that it does not disrupt the scheduled work.
Remember that it is our project site - not OSHA's. The Compliance Officer is to be treated as any other visitor under our control while on our project.
3. Detailed notes of everything seen, discussed, and done by the Compliance Officer should be taken.
4. Photographs of everything the Compliance Officer photographs should be taken.
If the equipment, work area, etc. can be photographed from a more favorable position (different angle, greater distance, etc.), photograph it from the different position.
5. No employee is to perform demonstrations for the Compliance Officer. Example - if a truck is idle and the Compliance Officer asks a person to operate it so he/she can see if the horn or back-up alarm is working, the request should be refused. The Compliance Officer should be allowed to see the work only as it is normally being done.
6. The Compliance Officer's questions should be answered to the best of a person's knowledge, but further information should not be offered. No evidence against oneself should be offered.
7. Orders, such as "clean up that trash", during the inspection to have conditions corrected that have not been noticed by the Compliance Officer should not be given. The immediate abatement of an alleged violation will not preclude a citation by the Compliance Officer, and may alert him/her to the condition.
8. If it is not fully understood what a Compliance Officer does or comments on, questions should be asked and all facts recorded, even if the inspection is interrupted.
3.7 Employee Interviews
1. Private interviews with S&W Energy employees by the Compliance Officer should not be allowed if they will be disruptive to the work process. If the compliance officer insists on having private interviews, it shall be done in accordance with the section on Employee Representation.
2. Record the names and employer of all personnel interviewed and, if we are present, the content of such interviews.
Policy No:EHS-202 OSHA Inspection Procedure
3.8 Closing Conference
1. The Project Manager, General Superintendent, Resident Engineer, and the Safety Supervisor (as applicable) will be present.
2. There should be notes of everything discussed and records of what documents were distributed by the Compliance Officer.
3. No questions concerning the inspection should go unanswered. If the
Compliance Officer feels that a violation exists on the project, abatement dates he/she plans to submit for each condition should be thoroughly discussed. If a condition cannot be corrected within the abatement date, it should be discussed with the Compliance Officer.
4. No estimate of abatement time needed to correct any alleged violations should be given.
5. Give the senior compliance.
3.9 After the Inspection
1. The Manager of Safety should be called to discuss the preliminary results of the inspection.
2. The Manager of Safety should immediately be sent copies of all notes and photographs taken.
3. The Manager of Safety shall call the S&W Energy Corporate Safety Department to discuss the preliminary results of the inspection.
3.10 Upon Receiving a Citation
1. The Manager of Safety should be notified immediately, as there will be only a limited period of time (15 working days) to make a decision as to how to best handle the citation. Date stamp the citation as of the date received and fax a copy to Corporate Safety
2. Make a copy for your record and send the original to corporate safety.
3.11 Citation Process
1. The Compliance Officer has the authority to request any condition that poses imminent danger be corrected immediately. If the situation is not abated, he can secure an injunction through the U.S. District Court requiring immediate
correction, or suspension of the work until the condition is corrected.
2. The citation will detail the alleged violation(s) and the standard violated. A definite length of time for correction (abatement will be set and a monetary penalty proposed.
3. A copy of the citation must be posted at or near the place where the violation occurred. DO NOT POST THE PROPOSED PENALTY COLUMN.
4. The employer may appeal the citation and proposed penalty within 15 working days of the date the citation was received or he/she loses his/her right to appeal.
Policy No:EHS-202 OSHA Inspection Procedure
5. The decision to appeal the citation and the method used will be made by Corporate Safety, Corporate Legal and the President. If it is appealed, the violation is referred to OSHA's Solicitor's office for review and submission to the Review Commission. The Review Commission is a three person body,
independent of the Labor Department, established for the specific purpose of hearing Federal and State appeals.
6. When an appeal is submitted to the Review Commission a notification of receipt appointing a hearing examiner and scheduling a hearing, will be sent to the Department of Labor, the employer and the employee representatives.
7. The Department of Labor (OSHA), the employer, and the employee
representatives (optional) will participate in the hearing. The hearing examiner, who has subpoena power, will act as presiding officer and will issue a ruling.
This decision to be represented by Legal Counsel will be made by the President.
8. The hearing examiner's ruling is forwarded to the Review Commission. The Commission can concur, modify or vacate the ruling.
9. The decision to appeal the Review Commission decision will be made after review by Corporate Safety, Corporate Legal and the President.
4 See Appendix D
D.1 Notice to OSHA (Federal Only)
If, at the direction of S&W Energy Management, the decision is made to refuse access to the S&W Energy project area, Exhibit I is to be properly completed and presented to the Senior Compliance Officer attempting to gain access to the project. A copy is to be retained and forwarded to S&W Energy with the other required information.
D.2 Notice of Protest
If S&W Energy is presented with an Inspection Warrant, the S&W Energy Manager of Safety should be contacted and a fax copy sent immediately. Exhibit II should be completed and presented to the Senior Compliance Officer serving the warrant after retaining a copy for our files. Then the inspection can proceed.
Environmental Health and Safety Manual
Policy No. EHS-301 Policy Title: OSHA Recordkeeping and Reporting Date: 3/30/2006 Revision: 1 Approval: Richard Wolf Table of Contents
1 Purpose and Scope... 2 2 Definitions ... 2 3 General Procedure... 6 4 Posting the OSHA 300A Log / Summary ... 7 5 Procedures for Incidents Involving Worker’s Compensation Claims ... 7 6 Training ... 8 7 Auditing / Inspections ... 8 8 References... 8 9 Forms... 8
Policy No:EHS-301 OSHA Recordkeeping and Reporting
1 Purpose and Scope
This procedure describes the notification, investigation, and reporting requirements that must be followed in the event of an occupational injury, illness or related accident. The procedure also outlines the reporting and recordkeeping requirements mandated by the Occupational Safety & Health Act (OSHA) and by insurance companies for worker’s compensation claims.
The scope of this procedure covers work-related accidents, injuries and illnesses involving S&W Energy employees. Customers and affiliate labor of S&W Energy are subject to the same requirements under OSHA but are required to be filed under their parent company’s name and not under S&W Energy.
NOTE: Procedure updated to reflect Recordkeeping changes taking effect on January 1, 2002.
This Procedure should be used with S&W Energy’s EHS Incident Reporting (and Follow-Up) Procedure to satisfy all regulatory and Company requirements pertaining to recordkeeping and reporting of EHS Incidents.
Proper Forms to be completed when an EHS Incident occurs, per the two procedures include:
EHS Incidents (Environmental and Permit Exceedances, Spills, Leaks, Explosions, Fires, Near Misses, etc.)
1. EHS Incident Report Form
2. EHS Incident Investigation Report Form
EHS Incidents (Injuries & Illnesses) 1. EHS Incident Report Form
2. EHS Incident Investigation Report Form
3. First Report of Occupational Injury or Illness Form (OSHA 301 Equivalent) 4. OSHA 300 Log updated and maintained (if recordable)
THE S&W ENERGY EHS MANAGER SHALL BE NOTIFIED OF AN INJURY/ILLNESS OR ACCIDENT AS SOON AS POSSIBLE
2 Definitions
• EHS Incident – An injury / illness, lost time accident, or fatality, including that of a contractor; a permit exceedance, a hazardous material spill; or other emergency such as fire, explosion, etc. Recordability of an EHS Incident may not always be
Policy No:EHS-301 OSHA Recordkeeping and Reporting
determined at the time of occurrence or submittal of a report but may need to be classified after investigation is completed.
• First Aid – any one-time treatment and any follow-up visit (to doctor or clinic) for the purpose of observation of minor scratches, cuts, burns splinters and so forth, which do not ordinarily require medical care. Such one-time treatment, and follow-up visit for the purpose of observation, is considered first aid even though provided by a physician or registered professional personnel (registered Nurse or Physician’s Assistant). Reference the OSHA Recordability Checklist and
Recordability Guidance Notes.
• Incidence Rate (Injury & Illness (I&I) Rate) – A rate (number) calculated using the number of OSHA Recordable injuries and/or illnesses and total number of
employee hours worked in relation to a common exposure base of 100 full-time workers. The common exposure base enables one to make an accurate inter-industry comparison, trend analysis over time, or comparisons among firms regardless of size. The rate is typically taken over a 12 month rolling total, to take into account the Standard Factor discussed below. The I&I Rates of all applicable industries are accumulated and published through the Bureau of Labor Statistics as a measuring tool for occupational safety. The rate is calculated as:
N / EH x 200,000 where:
N = Number of injuries and/or illnesses or lost workdays;
EH = Employee hours worked, combined, for all employees during calendar year or stated period;
200,000 = Standard Factor based on 100 full-time workers (working 40 hours per week, 50 weeks per year). If calculating the I&I rate over a period of less than 12 months, this factor will vary, totaling a standard number based on how weeks of the year you are
calculating.
• Log and Summary (OSHA No. 300 Log and 300A Summary) – The 300 Log is an OSHA recordkeeping form used to list OSHA Recordable (Occupational) injuries and/or illnesses, kept year to year (on a calendar year basis). The Log is used to record all Recordable injuries and illnesses and note their extent and severity.
Following an injury report, an OSHA Recordable must be logged on the 300 Form within 7 days of the date of the Incident. Reports can be amended if further information proves the injury or illness not recordable or work-related. The 300 Log serves as the running list of annual Recordable injuries and illnesses. The 300A Summary is a separate form that totals all the work-related OSHA
recordable injuries and illnesses, transferred from the OSHA 300 Log. 300A Summaries are required to be posted three months out of every year, required
Policy No:EHS-301 OSHA Recordkeeping and Reporting
from February 1 to April 30 for the preceding calendar year information. THE 300 AND 300A FORMS REPLACE THE OSHA 200 AND LOG SUMMARY, RESPECTIVELY.
• Lost Workdays – The number of days, consecutive or not, beyond the day of a work-place injury or onset of illness, that the employee was away from work or limited to restricted work activity because of occupational injury or illness. Do not count the day on which the injury or illness occurred. The count may end if it exceeds 180 days. They fall into two (2) categories:
Lost Workdays Away From Work – The number of workdays, consecutive or not, on which the employee would have worked but could not because of occupational injury or illness.
Lost Workdays (Restricted Work Activity) – The number of workdays, consecutive or not, which due to work-related injury or illness: (1) The
employee was assigned another job on a temporary basis; or (2) the employee worked at a permanent job less than full time, differing from pre-injury or
illness status; or (3) the employee worked at a permanently assigned job but could not perform all duties normally connected with it.
• Medical Treatment – Treatment administered by physicians, by registered professional personnel or lay persons (i.e., non-medical personnel) in response to an injury or illness or employee. Medical treatment does not include first aid
• Medical Treatment – Treatment administered by physicians, by registered professional personnel or lay persons (i.e., non-medical personnel) in response to an injury or illness or employee. Medical treatment does not include first aid