Document np2oDZBNKamwYRXYYYjjanzVR

Interoffice Communication to Safety Directors From Tom Grumbles Date December 15, 1980 Subject OSHA INSPECTION GUIDELINES Enclosed for your review is the latest draft of the OSHA inspection guidelines from the legal department. I would appreciate your review of these guidelines and procedures. Please send your comments to Sid Pitts by December 31, so they can be forwarded to the corporate safety group by the January 5 deadline. If you have any questions as to the intent or purpose of these guide1ines, please cal 1. Thomas G. Grumbles ajo Enclosure cc* 000002V" LETTER BALLOT CORPORATE SAFETY COUNCIL PLEASE RETURN TO: A. F. Gallagher Safety Division Suite 1310 Houston, TX PROPOSAL: OSHA INSPECTION GUIDELINES AFFIRMATIVE _______ COMMENTS: NEGATIVE ______ NOT LATER THAN: January 5, 1981 NOT VOTING Signature Department Date 0O0002^73 COR I. II. III. IV. V. VI. VII. APPENDIX A APPENDIX B APPENDIX C APPENDIX D ' J CORPORATE OSHA INSPECTION GUIDELINES DRAFT (421a) 12/4/80 WHEN THE OSHA INSPECTOR ARRIVES............................ 1 PRESENTATION OF A WARRANT........................................... 6 OPENING CONFERENCE ......................................................... 7 CONDUCT OF THE INSPECTION ........ 8 TRADE SECRETS...................................................................... 10 CLOSING CONFERENCE ......................................................... 11 FOLLOWING THE INSPECTION.............................................. 11 CORPORATE OSHA INSPECTION FORM FORM LETTERS TO AREA DIRECTOR OF OSHA SAMPLE OSHA INSPECTOR CREDENTIALS SAMPLE OSHA INSPECTION FORMS CCfi 0002<?9 DRAFT (421a) 12/4/80 CORPORATE OSHA INSPECTION GUIDELINES These procedures should be used in connection with all OSHA inspections at Conoco facilities. There should be established at each facility an OSHA Inspections Coordinator (OIC) and an alternate, both of whom are fully aware of company policy regarding OSHA inspections as well as plant safety. The OIC and alternate should be technically compe tent and knowledgeable about the product and/or processes at that particular facility and trained in the monitoring of substances to which employees may be exposed, the OIC and alternate should be instructed as to the procedures to be followed when an OSHA inspector, known as a Compliance, Safety and Health Officer (CSHO), arrives. They should have a general working knowledge of OSHA rules and regulations and should be thoroughly familiar with the Corporate Inspec tion Guidelines. The Guidelines should be kept in a readily available location at all times and reviewed prior to and during an inspection. The following procedures are to be exercised whenever an OSHA inspection is initiated: I. WHEN THE OSHA INSPECTOR ARRIVES A. In the event any employee receives advance notice of an OSHA inspection, or at a time other than during regular working hours, such notice should be brought to the atten tion of the Safety Division and of the Legal Department immediately. (Advance notice of inspections is forbidden under OSHA regulations except under specifically stated circumstances.) When a CSHO presents himself at the official entrance to a facility, he (and any persons accompanying him) should be requested to sign a visitor's register, plant pass or any other book or form routinely used to control the entry and movement of persons upon its premises, and the plant manager should be notified immediately. The company OSHA Inspection Coordinator (OIC) or his alternates should then be immedi ately notified of the CSHO's presence at the facility. The CSHO and any persons accompanying him should be treated cordially and in a businesslike manner at all times. CCR 00 000 2^-30 DRAFT (421a) 12/4/80 B. The CSHO should be escorted by an "appropriate route" to the office of the already notified OIC or alternate. An "appropriate route" means one revealing as little of the facility as possible, i.e. , the CSHO should be taken outside work areas and through The entrance closest to the TOCrs office or the area to be inspected. The CSHO shoulcS'-be-- exposed to as little as possible of the company facilities because he may inspect and cite the company for violations within plain view without the necessity of getting a search warrant. C. Immediately upon hearing of the arrival of the CSHO, the OIC should take out the Corporate OSHA Inspection Guidelines and the Corporate OSHA Inspection Forms. The Guidelines and the Forms should NOT be shown to the CSHO under any circumstances. (They need not be hidden. They simply should not be made available for inspection or review.) D. Two OICs or alternates should be present with the CSHO at all times during any meeting and throughout any inspection if there is more than one CSHO. It is important that the CSHO be treated courteously. * E. The OIC should examine the written identification and credentials of the CSHO and a written record should be made of his name, title and, if possible, the name of his superior. The OIC has the responsibility for requesting CSHO credentials (see Appendix C - Sample OSHA Inspector Credentials). The OIC will determine with Legal Department assistance, on a case-by-case basis, whether voluntary permission shall be allowed the CSHO or whether entry will be refused and demand made for an inspection warrant. If the CSHO presents an inspection warrant, the OIC shall consult with the Department Safety Director and the Legal Department to determine the sufficiency of the warrant before honoring it. F. The OIC should determine the reason why the facility has been chosen for an inspection. The CSHO should be asked to identify the nature and purpose of the inspection. He is required to explain the nature and purpose of the inspection under OSHA regulation 29 C.F.R. 1903.7(a). If he refuses to disclose why he wishes to inspect the facility, a search warrant should be requested by following the proce dure set out in Part I of the Corporate OSHA Inspection Guidelines, paragraphs L, M, and N, below and the Legal Department should be notified. Although CSHOs may inspect any factory, plant, establishment, or area where employees perform work, inspections are generally for one of the following reasons: OCR 000002^ 2 DRAFT (421a) 12/4/80 1. complaint. An inspection resulting from an employee The nature of the complaint should be speci fically identified. Section 8(f)(1) of the Act requires that a copy of the complaint be given to the employer, but the complainant is entitled to have his name withheld. If the CSHO refuses to give you a copy of the complaint, or if the com plaint relates to a part of the facilities where more than one employer is present, request a search warrant by following the procedure set out in Part I of the Corporate OSHA Inspection Guide lines, paragraphs L, M, and N, below. 2. An inspection following a workplace fatality or accident causing the hospitalization o?~five or more employees. The employer is required to report these incidents to OSHA within 48 hours after their occurrence and an inspection will be virtually certain to follow. The nature and location of the incident giving rise to the inspection should be specifically identified. cited. 3. A follow-up inspection of an item previously Such an inspection can be expected if the citation was for a serious, willful, or repeated violation or if an abatement plan has been agreed to by the company as the result of an earlier inspection. The previous citation and the item should be specifically identified by the CSHO. 4. A regional programmed or industry group classification inspection based upon injury and illness rates. G. A multi-employer worksite poses special problems. An employer may be held liable for an OSHA violation on its premises even if it does not control or has not created the hazard. Hence, the OIC should treat an inspection of a multi-employer worksite in the same manner as an inspection directed solely at its company, and proceed in accordance with the Corporate Inspection OSHA Guidelines. CC* 0000024-32 3 DRAFT (421a) 12/4/80 H. The Legal Department, should be notified immedi ately of any citations received if there is any pending OSHA litigation in which the company is presently involved or if the OSHA inspector seeks to conduct an inspection outside of regular working hours. Telephone one of the following persons in the order listed below: [Names and telephones numbers of persons to be contacted]. I. If the purpose of the inspection is either (a) an inspection resulting from a specific employee complaint, (b) an inspection resulting from a report of a workplace fatality or accident causing the hospitalization of five or more employees, (c) a regional programmed inspection of the facility, or (d) an inspection of an item previously cited which is not being contested in a pending case, the CSHQ should be permitted to commence his investigation. Although you have a right to insist on a search warrant for these types of inspections, generally as a matter of policy you should cooperate and not request a warrant. The inspection should be limited, however, to the particular machine, equipment, or condition which is the subject of the complaint, accident, or prior citation, as the case may be. J. If it is determined according to paragraph I above that the inspection may proceed without a search warrant, the following written statement of limited consent should be mailed to the Area Director of OSHA during the first day of the inspection and a copy hand-delivered to the CSHO, prior to commencement of the inspection. (See letter #1 of Appendix B): A Compliance Safety and Health Officer under your supervision has requested to inspect (specific area(s) referred to in the employee complaint, accident report or~ area(s) previously cited) of jplant) ~~ 7 (lTConocolt) on (date). Conoco has complied with the request. The inspec tion, however, is with the consent of Conoco only as to the area(s) specified herein. Should the scope of the inspection exceed the area(s) speci fied herein, Conoco hereby reserves any and all of its rights to challenge the validity of the in spection, to seek the suppression and exclusion of CCR 000002483 4 DRAFT (421a) 12/4/80 any and all evidence obtained directly or indirectly as a result of the inspection, and to seek the dismissal of any citations issued as a result of the inspection on the grounds that the inspection violates the rights of Conoco under the United States Constitution and the Occupational Safety and Health Act of 1970. The following statement should be orally read to the CSHO prior to commencement of the inspection! Conoco has complied with your request to inspect (specific area(s) referred to in the employee complaint, accident report or areajs) previously cited). Should the scope of the inspection exceed the area(s) specified, Conoco reserves its rights to challenge the validity of the inspection and to seek dismissal of any cita tions issued as a result of the inspection. K. If the purpose of the inspection is either (a) an inspection pursuant to a general employee complaint, or (b) an inspection of an item previously cited which is being contested in a pending case, the CSHO should be required to get a warrant. The following statement should be orally read to the CSHO: It is the continuing policy of Conoco to offer its complete cooperation to any governmental agency seeking to lawfully enforce federal, state or local laws or regulations. On the other hand, it is equally important to Conoco that such laws and regulations and the enforcement thereof be within the safeguards of the United States Consti tution. We have been advised by our legal counsel that the United States Supreme Court has held in Marshall v. Barlow's, Inc., 436 U.S. 307 (1978), that inspections of a company's facilities, without the employer's consent, are unconstitutional in the absence of a valid search warrant. In view of the Barlow's decision and in view of Conoco's desire not to waive its Fourth Amendment rights under the United States Constitution, we are refusing to admit you to our plant. L. If after being admitted for the purpose of making a limited inspection the CSHO attempts to broaden the scope of his inspection he should be asked to leave the work area and escorted back to the QIC's office. Do not forcibly stop CC* 0002m 5 DRAFT (421a) 12/4/80 the CSHO from inspecting any area since such action may result in criminal liability, but tell the CSHO to stop his inspection and that you want to consult your lawyer before the inspection continues. The Legal Department should be consulted immediately. M. If admission of the CSHO has been refused pursuant to paragraph K above, telephone the Area Director of OSHA, whose telephone number can be obtained from the CSHO, and explain that as a courtesy you are calling him to explain the company's position. Thereafter, read the OSHA Area Director the same statement and read to the CSHO (See Part I, paragraph K) and mail the Area Director a letter setting forth the same statement (See letter #2 of Appendix B). N. Also, after admission of the CSHO has been refused, the employee representative(s) should be immediately advised of the company's position. O. Notify the Legal Department of actions taken. II. PRESENTATION OF A WARRANT A. If the CSHO presents a search warrant, ask to see the warrant. Read the search warrant carefully, especially noting the specific machine, equipment, or condition to be inspected. Copy the contents of the search warrant. B. Immediately call the Legal Department and the Department Safety Director (See Part I, paragraph H). Again, the CSHO should be advised you are calling your lawyer. C. The following written statement of protest should be mailed to the Area Director of OSHA during the first 'day of the inspection and a copy hand-delivered to the CSHO, prior to commencement of the inspection (See letter #3 of Appendix B): A Compliance Safety and Health Officer under your supervision presented a search warrant and requested to inspect Conoco premises on (date). Conoco has complied with the request. The inspec tion, however, is totally without the consent of Conoco and it is permitting the Compliance Safety and Health Officer to enter its premises under a general protest. (A specific protest may be made at this point depending upon the particular facts CCR 000024S5 6 DRAFT (421a) 12/4/80 involved in any given inspection. Such optional language, which should be inserted only with the advice of legal counsel, begins as follows: "Without in any way limiting the foregoing general protest, Conoco specifically protests . . ."] Conoco hereby reserves any and all of its rights to challenge the validity of the inspection, to seek the suppression and exclusion of any and all evidence obtained directly or indirectly as a result of the inspection, and to seek the dismissal of any citations issued as a result of the inspec tion on the grounds that the inspection violates its rights under the United States Constitution and the Occupational Safety and Health Act of 1970. The following statement should be orally read to the CSHO prior to commencement of the inspection: Although Conoco has complied with your request to inspect its premises, the inspection is totally without its consent. Conoco is permitting you to enter its premises under a general protest, and it reserves its rights to challenge the validity of the inspection and to seek dismissal of any cita tions issued as a result of the inspection. D. Allow the CSHO to enter. Refusal of entry may result in criminal liability or a contempt of court charge. III. OPENING CONFERENCE A. During the opening conference the CSHO may upon request examine records that the company is required to keep under the Act. No other records should be provided on request or volunteered without first securing Legal Depart ment approval. CSHOs may not examine personally identifiable employee medical information, except for the sole purpose of verifying employer compliance with OSHA medical record keeping requirements, without first obtaining a written access order approved by the Assistant Secretary of Labor or specific written consent of the employee. 29 C.F.R. 1913.10. B. OSHA has previously supplied the company with notices informing employees of their protections under the Act, and the CSHO may check to see that such notices are posted in conspicuous places where employee notices are usually posted. Since the notice informs employees that ooooo^9 o ct* 7 DRAFT (421a) 12/4/80 they may contact their employer for copies of the Act, regulations and specific safety and health standards, the OIC should have a copy of the Act, regulations and standards readily available. C. The following statement should be orally read to the CSHO during the opening conference: Conoco has a number of highly confidential products and processes. We will attempt to iden tify these as the inspection proceeds and once identified, we expect OSHA to treat them confiden tially pursuant to OSHA rules and regulations. In the event we overlook a confidential product or process during the inspection, Conoco reserves the right to bring these to OSHA's attention at a later date with the expectation that OSHA will treat them with confidentiality. D. The OIC shall take the necessary steps to be sure that the CSHO complies with all company safety and health rules and practices at the facility and that he correctly wears and uses the appropriate protective clothing and equipment. E. The OIC should request that the CSHO resolve any walkaround issues prior to starting the inspection. IV. CONDUCT OF THE INSPECTION A. The OIC should bring along the following items on the inspection tour: 1. Corporate OSHA Inspection Guidelines. 2. Corporate OSHA Inspection Form to be filled out for the Legal Department. (Appendix A) 3. Note pad. (Do NOT show any notes written prior to, during or after the inspection to the CSHO under any circumstances. They need not be hidden. They simply should not be made available for inspection or review.) 4. Pre-selected camera and flash equipment. The camera should take good quality photographs and be readily available at all times. Since ordinary flash equipment cannot be used safely in certain flammable atmospheres, the flash equipment must be carefully selected so that its use does not violate any OSHA standards. CC* 000002^37 8 DRAFT (421a) 12/4/80 B. Allow the CSHO to conduct his inspection of the equipment or condition specifically mentioned in the search warrant, employee complaint, accident report or prior cita tion, as the case may be. Section 8(e) of the Act gives walk-around rights, i.e., the right to accompany the CSHO during the inspection, to both a management representative and an employee representative. The management representative should be an OIC or alternate. At least two management representatives should accompany the CSHO on the inspection tour. If there are more than two CSHOs, the number of management represen tatives should at least equal the number of CSHOs on the inspection tour. A separation of inspection tours and CSHOs should not be permitted. The OIC shall request identification of any expert assistants accompanying a CSHO, and if they are not OSHA employees, a resume should be requested. The Legal Department should then be consulted to determine if any objection to their presence should be made of record. C. The OIC should take detailed written notes of all remarks and questions asked by the CSHO. Describe the "appropriate route" the CSHO takes through the plant in these notes (See Part I, paragraph B). The OIC shall not: answer technical questions posed by the CSHO or expert assistants; or provide access to management for CSHO's or expert assistants' interview purposes; or volunteer information; or discuss matters unrelated to the inspection with employees. D. The OIC should photograph every condition photo graphed by the CSHO. Note the type of camera, flash equip ment and any special attachments used by the CSHO. At the conclusion of the inspection, request copies of all photo graphs taken by the CSHO. E. The OIC should measure, sample and observe whatever conditions the CSHO measures, samples and observes. Any variances between the monitoring results reached by the OIC during concurrent monitoring and those recorded by the CSHO should be immediately brought to the CSHO's attention and described in written notes provided, of course, the results 0ooe<8 98 DRAFT (421a) 12/4/80 of the OICs are more favorable to the company. Also, de scribe in detailed written notes the type of monitoring equipment and the monitoring procedure used by the CSHO. F. If an CSHO seeks to attach a monitoring or sampling device to an employee, the OIC should ask the CSHO to stop his inspection so that the OIC can call his lawyer. The Legal Department should be notified immediately. (See Part I, paragraph H) G. The CSHO has the right to confer privately, with employees under Section 8(a)(2) of the Act, so long as that right is exercised in a reasonable manner. Although the OIC does not have an absolute right to be present during a conversation between the OIC and an employee, he should request to be present. The names of any employees who had private conversations with the OIC should be recorded. If the CSHO would like to talk privately with an individual employee who cannot reasonably be allowed to leave his work station at that time, the CSHO should be informed of this and told that the employee will be made available as soon as possible. NOTE: It is a violation of the law to retaliate against any employee who cooperates with an CSHO. H. The OIC should not volunteer information or docu ments, or offer additional areas for inspection. Statements made by the OIC could be used as admissions against the company in a subsequent OSHA hearing. The company has the right to insist that all questions to its representatives be asked under oath in the presence of counsel. V. TRADE SECRETS A. Section 15 of the Act requires OSHA to treat any trade secret in confidence. The OIC should identify any areas which contain or might reveal a trade secret. Any information obtained by the CSHO in such areas, including all photographs and samples, should be labeled "confidential trade secret". 29 C.F.R. 1903.9. - B. If the CSHO requests to inspect any areas which contain or might reveal a trade secret, the following written statement should be mailed to the Area Director of OSHA during the first day-of 1/he inspection. (See letter #4 of Appendix B). A copy of the statement should be hand-delivered and orally read to the CSHO prior to inspecting any areas which contain or might reveal a trade secret: CCR 0000024-39 10 DRAFT (421a) 12/4/80 A Compliance Safety and Health Officer under your supervision has requested to inspect (specific areas which contain or might reveal a trade secret.) oT Conoco on (date). Since the described areas contain or might reveal a trade secret, we are requesting that any information obtained by the Compliance Safety and Health Officer in such areas, including all photographs and samples, be labeled ''confidential - trade secret", and we trust that OSHA will treat them confidentially pursuant to OSHA rules and regulations. In the event we have overlooked a confidential product or process during the present inspection, Conoco reserves the right to bring these to OSHA's atten tion at a later date with the expectation that OSHA will treat them with confidentiality. VI. CLOSING CONFERENCE A. The primary purpose of the OIC in the closing conference shall be to LISTEN; however, the CSHO should be questioned as to all areas of possible and probable viola tions. If the CSHO indicates that a citation will be issued, he should be questioned specifically as to what constitutes abatement, as an alleged violation cannot be established unless OSHA proves not only what constitutes abatement, but both the feasibility and likely utility thereof. This should give the OIC a good reading as to those items that a citation will contain. Also, it will enable the company to take evidence and begin preparing our case while the evi dence is still Mfresh". Often, citations are not received for days or even weeks. B. A request should be made for copies of all photo graphs taken by the CSHO during the inspection as well as all samples and results. C. Immediately following the conference, the informa tion received in the closing conference should be relayed to the Legal Department. (See Part I, paragraph H). VII. FOLLOWING THE INSPECTION A. The OIC should complete the Corporate OSHA Inspec tion Form (Appendix A). The Corporate OSHA Inspection Form and any notes taken during the inspection should be mailed promptly to: OCR 000003490 11 DRAFT (421a) 12/4/80 [name and address of Attorney in Corporate Legal Department designated to receive this information]. One copy of the Corporate OSHA Inspection Form and any notes taken during the inspection should be kept confidentially until notified of receipt of the originals by the Corporate Legal Department or Corporate Legal Counsel. Such copy should then be destroyed. Under no circumstances should the Corporate OSHA Inspection Form or any notes shown or given to the OSHA inspector. B. All applicable letters to the Area Director of OSHA (See Appendix B) should be mailed during the first day of the inspection in accordance with the following provi sions. of the Corporate OSHA Inspection Guidelines: Limited consent to inspection Insistence on a warrant Inspection under protest Trade secrets Part I, paragraph J Part I, paragraph K Part II/ paragraph C Part III, paragraph C One copy of each letter mailed to the Area Director of OSHA should be mailed simultaneously to: [name and address of Attorney in Corporate Legal Department designated to receive copies of the foregoing letters]. CCR 000002^-91 APPENDIX A CORPORATE OSHA INSPECTION FORM In anticipation that this inspection could lead to legal proceed ings, you are to fill out this form during every OSHA inspection to assist our company lawyers in protecting the company's rights during any hearings, trials, or other legal proceedings which might arise as a result of this inspection. For further explanation, see the applicable provisions of the Corporate OSHA Inspection Guidelines set out in parentheses. Please attach additional pages when needed to complete any question(s) and copies of the requested documents. 1. OSHA inspection coordinator: Name Date of inspection: 3. Identity of OSHA inspector: 4. OSHA Area Director: Name Name Address Title Telephone number 5. State reason(s) for inspection (Part I , F): A. Did OSHA receive an employee complaint? (Part I , F.l) If so, describe the nature of the complaint, the machine, equipment or con dition it specifically relates to, and the type of problem it involves: Attach a copy of the complaint to this form. 1 CCS 00000249? Has there been a workplace fatality? (Part I , F.2) ____________ If sc, describe the nature and location of the incident which resulted in the fatality: Attach a copy of the report supplied to OSHA within 48 hours of the incident. C. Has there been an accident which resulted in the hospitalization of five or more employees? (Part I , F.2)_______ _________________________________ If so, describe the nature and location of the accident and the result ing injuries: Attach a copy of the report supplied to OSHA within 48 hours of the accident. D. Is this a follow-up inspection of an item previously cited? (Part I , F. 3) If so, identify the previous citation, proposed penalty and abatement plan, if any: Attach a copy of the previous citation and the OSHA inspector's work sheets relating to the citation, if available. - 2- c ca 000002493 E. Is this a regional programmed inspection? (Part 1 , F. 4) _____ If so, describe the inspection program and the criteria used to select this particular facility for inspection: 6. Is this an inspection of a multi-employer worksite? (Part I' ,? )__________ If so, list the names of all other employers and the number of workers employed by each employer who are present on the worksite, with a brief description of the nature of the work being performed: 7. Is there any pending OSHA litigation in which the company is presently involved? (Part I ,H ) If so, was the Corporate Legal Department fied? noti Name of lawyer notified Time and date of notification 8. Did the OSHA inspector seek to conduct the inspection outside of regular working hours? (Part I ,H )______________________________________ __________ _ If so, state time of requested inspection and regular working hours: If so, was the Corporate Legal Department fied? _________________ Name of Lawyer notified ____________ Time and date of notification - 3- noti CCR 00000249W 9- If no search warrant was presented, did you consent to a limited inspec tion? (Part I ,1 ) ___________ A. If so, did you read an oral statement of limited consent to the OSHA inspector? (Parc I ,J ) _ Time and date oral statement read B. Describe the specific machine, equipment or condition you permitted the OSHA inspector to Inspect in your oral statement of limited consent: C. If so, did you hand-deliver a copy of a letter of limited consent add ressed to the Area Director of OSHA to the OSHA inspector? (Letter #1 of Appendix B)_____________ __________ __ Time and date letter was delivered ____ Attach a copy of the letter of limited consent which was mailed to tne Area Director of OSHA during the first day of the inspection. D. Did the OSHA inspector attempt to broaden the scope of the inspection after being admitted for the purpose of making a limited inspection? (Part I ,L) If so, describe the machines, equipment or conditions which you refused to allow the OSHA inspector to inspect and the reason(s) given for such refusal: If so, did you contact the Corporate Legal Department before objecting to the inspection?______________ Name of lawyer notified ___________________ ___________________ Time and date of notification CCR 000002^95 4 I: no search warrant was presented, did you refuse the OSKA inspector entry? (Part I , K)________________________________________________________________ ___ A. If so, did you read an oral statement to the OSHA inspector ex plaining the company's position? (Part I , K) Time and date oral statement read___________ __________________________ B. If so, did you telephone the Area Director of OSHA and explain the com pany's position? (Part I ) ___________________________________ Time and date of notification Attach a copy of the letter explaining the company's position which was mailed to the Area Director of OSHA. (Letter if 2 of Appendix B) C. If so, did you advise employee representative(s) of the company's position? (Part I ,N)______ Name of employee representative(s) notified Time and date of notification 11. Did the OSHA inspector present a search warrant upon arrival? (Part II ) A. If so, describe the contents of the search warrant and the specific machine, equipment, or condition to be inspected: Attach a copy of the search warrant if it was given to you. B. If so, was the Corporate Legal Department notified? (Part II , B)____________ Name of lawyer notified __________________________ Time and date of notification_________________ ___________ 5 CC R 000002496 C. If so, did you read an oral statement of protest to the OSHA in spector? (Part II , C)________________________________________________ ________________ Time and date oral statement read _____________________ D. If so, did you hand-deliver a copy of a letter of protest addressed to the Area Director of OSHA to the OSHA inspector? (Letter #3 of Appendix B) Time and date letter was delivered Attach a copy of the letter of protest which was mailed to the Area Director of OSHA during the first day of the inspection. . If so, did you permit the OSHA inspector to enter? _______ 12. List any records, documents or notices reviewed by the OSHA inspector (Part I , A and B): 13. Describe in detail any remarks made during the opening conference, includ ing any oral statements made to the OSHA inspector regarding confidential products and processes (Part I ): - 6- 0O0002*97 OCR 14. List all machines, equipment or conditions inspected and their exact location: 15. State the names and titles of management representatives who accompanied the OSHA inspector during the inspection tour (PartiV, B .): 16. State the names and titles of employee representatives who accompanied the OSHA inspector during the inspection tour (Part TV, B ): 17. Describe the route taken by the OSHA inspector during the inspection tour (PartiV, C): - 7- CCR. 0000024-93 13. Describe in detail any relevant remarks made during the inspection by both the OSHA inspector and any employees, and identify the speaker (PartIV, C): 19. Describe in detail any objections made prior to or during the inspection and identify the objector: 20. Identify any photographs taken by the OSHA inspector, including location, time of day, date, and the names of any employees in the photograph (PartIV, D): -8- CCR 000002499 A. Describe the type of camera, flash equipment and any special attach ments used by the OSKA inspector: B. Did you request copies of the photographs taken by the OSHA inspector? 21. Identify any photographs taken by a management representative, including photographer, location, time of day, date, and the names of any employees in the photograph (Part IV, D): A. Describe the type of camera, flash equipment and any special attach ments used by a management representative: 22. Describe any monitoring conducted by the OSHA inspector, including the equipment used, monitoring procedure, time of day, dace, and the results of such monitoring, if known (PartlV, E): 9 CCR 000002500 23. Describe any monitoring conducted by a management representative, in cluding the equipment used, monitoring procedure, time of day, date, results and any variances between results of monitoring conducted by the OSRA inspector and management. Indicate which monitoring, if any, was conducted concurrently with the OSHA inspector's monitoring (PartIV, E): 24. Did any OSHA inspector seek to attach a monitoring or sampling device to an employee? (PartIV, F) If so, describe the monitoring or sampling device and identify the em ployees involved: If so, was the Corporate Legal Department or Corporate Legal Counsel notified ? Name of lawyer notified ' ____________ Time and date of notification 25. List the names of any employees interviewed by the OSHA inspector and state whether a management representative was present during the interview. If a management representative was present, state his/her name and a summary of the interview (PartIV, G): 10 - ,q0 o* 26. Describe any area(s) identified as containing or possibly revealing a trade secret (Part V , A): A. Did you read an oral statement identifying such area(s) to the OSHA inspector? (Part V , B)___________________________________________________ _ Time and date oral statement read_________________________________ ____ B. Did you hand-deliver a copy of a letter identifying trade secrets addressed to the Area Director of OSHA to the OSHA inspector? (Letter #4 of Appendix B) . ______ __ Time and date letter vas delivered__________________________________________ Attach a copy of the letter identifying trade secrets which vas mailed to the Area Director of OSHA during the first day of the inspection. C. List any materials, such as photographs and samples, which were labeled" confidential-cridc secret" (Part V , A): 27. Describe in detail any remarks made during the closing conference anc identify the speaker: (Part VI ) 11 CCR 000002502 2S. This form*, additional pages needed to complete this form, copies of requested documents, and any notes taken during the inspection should be nailed to: [name and address of person in Corporate Legal Depart ment designated to receive the foregoing information.] One copy should be kept confidentially until notified of receipt of the originals by the Corporate Legal Department or Corporate Legal Counsel. Such copy should then be destroyed. *If this OSHA Inspection Form is to be distributed in any manner, it will be distributed only by [name of person in Corporate Legal Department or Corpo rate Legal Counsel designated to distribute the foregoing information.] - 12 - CCA 00000 2503 APPENDIX 3 LETTERS TO BE MAILED TO THE AREA DIRECTOR OF OSHA Letter if 1 Letter if 2 Letter if 3 Letter f* 4 - Limited Consent to Inspection - Insistence on a Warrant - Inspection Under Protest - Trade Secrets CCR 00000^50^ LETTER #1 Area Director Occupational Safety and Health Administration U. S. Department of Labor Dear A Compliance Safety and Health Officer under your super vision has requested to inspect (specific area(s) referred to in the employee complaint, accident report or area(s) previously cited) (plant) ("Conoco") on (date) Conoco has complied with the request. The inspection, however, is with the consent of Conoco only as to the area(s) specified herein. Should the scope of the inspec tion exceed the area(s) specified herein, Conoco hereby reserves any and all of its rights to challenge the validity of the inspection, to seek the supression and exclusion of any and all evidence obtained directly or indirectly as a result of the.inspection, and to seek dismissal of any citations issued as a result of the inspection, on the grounds that the inspection violates the rights of Conoco under the United States Constitution and the Occupational Safety and Health Act of 1970. A copy of this letter was hand-delivered to the Com pliance Officer before he began the inspection. Very truly yours, CCR 000002505 Letter #2 Area Director Occupational Safety and Health Administration U. S. Department of Labor Dear The following statement was read today to a Compliance Safety and Health Officer under your supervision: It is the continuing policy of the (plant) ("Conoco") to offer its complete cooperation to any governmental agency seeking to lawfully enforce fed eral, state or local laws or regulations. On the other hand, it is equally important to Conoco that such laws and regulations and the enforcement thereof be within the safeguards of the United States Constitution. We have been advised by our legal counsel that the United States Supreme Court has held in Marshall v. Barlow's, Inc., 436 U.S. 307 (1978), that inspections of a com pany's facilities, without the employer's consent, are unconstitutional in the absence of a valid search warrant. In view of the Barlow1s decision and in view of Conoco's desire not to waive its Fourth Amendment rights under the United States Constitution, we are refusing to admit you to our plant. Very truly yours, CC* 000**5 06 Letter #3 Area Director Occupational Safety and Health Administration U.S. Department of Labor Dear A Compliance Safety and Health Officer under your supervision presented a search warrant and requested to inspect (plant)_______ ("Conoco") premises on (date) Conoco has complied with the request. The inspection, however, is totally without the consent of Conoco and it is permitting the Compliance Safety and Health Officer to enter its premises under a general protest. [A specific protest may be made at this point depending upon the parti cular facts involved in any given inspection. Such optional language, which should be inserted only with the advise of legal counsel, begins as follows; "Without in any way limiting the foregoing general protest, Conoco specifically protests...".] Conoco hereby reserves any and all of its rights to challenge the validity of the inspection, to seek the suppression and exclusion of any and all evidence obtained directly or indirectly as a result of the inspection, and to seek the dismissal of any citations issued as a result of the inspection on the grounds that the inspection violates its rights under the United States Constitution and the Occupational Safety and Health Act of 1970. A copy of this letter was hand-delivered to the Compli ance Officer before he began the inspection. Very truly yours. CCA 000002507 Letter #4 Area Director Occupational Safety and Health Administration U.S. Department of Labor Dear A Compliance Safety and Health Officer under your supervision has requested to inspect (specific areas which contain or might reveal a trade secret) of (plant) ("Conoco") on (date) I Since the described areas contain or might reveal a trade secret, we are re questing that any information obtained by the Compliance Safety and Health Officer in such areas, including all photographs and samples, be labeled "confidential - trade secret," and we trust that OSHA will treat them confiden tially pursuant to OSHA rules and regulations. In the event we have overlooked a confidential product or process during the present inspection, Conoco reserves the right to bring these to OSHA's attention at a later date with the expection that OSHA will treat them with confidentiality. A copy of this letter was hand-delivered to the Compli ance Officer before he began inspecting areas which contain or might reveal a trade secret. Very truly yours, CC* 00oo^50a Sample OSHA Insnector Credentials Appendix C a jitja u fiy pcpartmrnt of ^Cabor JBaelpngton, <E. This is to certt LESLIE^ whose sijnanGe and ph ;sNbereon has leen duly compliSce United Sut^C$epart ^ authorized to'vdWci \ duties of that $ \L*bor. eibrsor(/ja'dpearfsosrmuchtnhies. Secretary r ^ '^vy <*Ti wj\ 5720 AJiiitani Sttrttary^f L*bor qOGOO z^9 cc* A ti n <iL cupaiiurai Sa*ety and Heanh Admmisuanon wumDia<m U.S. Dapartmant of Labor 7** term it proriM /o' mM*a taC* 911 nr rn#'I AO' ir*Ae*0 re canC'iurr m Mtimin n-*a*nr r ma a come'**'it mar M '<v>inra0 or* li*< U S 0p*rtmm>l ' UM' C 0'"-i ADOrOvaO 0 M B Ne 0*-*ai**9 S*c Bill 11 \ rn* William* $t*^*r QecwO*1iOn#i S*r*w ano waaitn Act 39 U 5 C 6S1. ^ov>om at'oiiowt i"oio*iiiq' 'ene"iiiivi e* *co*i e*i wvr mat * *^iat0'- Q> i 1w or nn'tn itanOa'O 4i4U lh|i ihfuitMcnviia1 iu'*" e mat an imminent flanae* **itt. *a9wi *n iwclton UV giving none* tn tr S*c*1w* o* n< utl'O"/0 'ao***ntit iv o' wen etation v aang*- Av a>cn noit mail 0* `mtuoma to w'tirg small |* 'o'tn nth isaio'aoi* D*rto<lv><v rn* poutsi 'o' in* notice. ne man M ign* D in* *mpi*io' 'apmaniitiv* o' tmpio***t ano J eapv mu m D'0<r>00 IP* miVOT*' O' hn *B*m no gtw 'h*n ft >ht in* o' in*e*ct<on. that iOO" 'WuMI O' in* panen giving lush net. nu nam* and tn* nomas o' inoirdusl r Qlay r*'*rr*a to martin Van not too**' m luen Cv O' or nir r*sod DvO'i*n*B '>a**a O' m*Ot t*i>aeie Ouriuint TO luenCTton (gl 0< inn lacnon |i upon roeoiot o' luen notrtieotion tn* $*er*ior* W"i tn*- sr* >*ien*0i |g>ii to 0*>i*>* in*t iwcn vioto'ion o' Song*' mm n* I'M" nan toae*" rntooeiton *n aeeerdai^a avitn tn* provitom o' tnn mtion at sen *a O'seiicaOic to Oatarmm# it suen votation v dang*r IIan il tn* Saomcv o*'*"nini tn** sr* no -Maonaoi* ground* to Salim* that a t#non 0' o*rgar *>kii n mu not.* in* ampiov*** or miwnmm o' tn* mvnrai m anitmg o' iweno*t*"nination MOTE. Saeten 11 lei o' tn* Act grove** **pit protection for tmokJvaa* **rening in*ir 'gnu. incnrdmg making la'itv ana Kutn comoramti G Emotpv** *D'**nt*lM* s' 6mce*i Otrw lwoc#rl -------- o*i*. tn*' volition at tn* toii^virg piac* o' mo<ovm*m o' n occvoatioroi '*rv o' n**'tn nandve nm amieti ioe 'atv o naaim nanno Eiteetc ) Nam* Emcet* ! Aeoraar IS&mV lOiyi 'ml Urn Cornu Taiagtiona t CmO O' enixnan 2 Soact'v tn* os'ttcvW' Building or worttit* wn** in* aiagM >oten ot. metwdirg aMt 1 Boatr* tn* nam* are pnona numee o' *meioyari agantlil m tftarga 4 Baoof 0'**iy in* nazarq omen oiiuuwi inauOing tn* aeorommat* txurmr ol amoiovam ixpOMO to or tnraatann ev arcti n*ie OSHA-7 Ifliv OCIOOT 1077) CONTiaiOeb WOvlTTU iiM CCR 000002510 u t DEPARTMENT OF LABOR OCCUPATIONAL SAFETY AND HEALTH ADMINISTRATION narrative 1. CSHO No. 2. Raoofl No U5200000 U. FOLLOW-UP INSPECTION RECOMMENDED Vat C No Raaaon. IT CSHQ S^ntiura B Oat* i| AteomoaoHO St fmm OSMA-1A mm 1. CSHO No $. Kim NO 11, SAVflOCoM OCCUPATIONAL SAFETY ANO HEALTH ADMINISTRATION US DEPARTMENT OF LAIOR WORKSHEET 2 RIBI'I Me. | 1. 0m/T.mt 4o. Tvm 40 feutfrm* inum __J___________ j ?. Sianoaro Allipodlv voliM | t. Pir0 1 Tip* All No B AVO/VhhCh IwlonnoTion 1 9 No el imi 10 NEC ij instance DESCRIPTION U hauioi-Om' 'Ow .Aot ;b Eqi>o.c iocahoa. *no 8 Inwry/m.) . MH.yHW.tl I COAI 0 | T3 PHOTO y 18 COMMENTS (6oo*it . Comoro*. CIoni* Coni l IT OTHER EMPLOYER INFORMATION Corn's 1 CLASSlF. '---------c-------- |. -- -j. **1* * '1 1 t a. Prop ol Iniuryflll. b. G'ruTvIwfl < z a No CM Don Lmeorr. PonoMr C Timn* RApooiMf D>M O* WilIlM m II S.H 0. ASiulimint factor* 21 OeoO Fi.tn )l H>foy 4> Tom #. rmpni id i Form OSH All II *fR> cca 000002512