OSHA-88-010-HK

                                                            5 -1 901 -1 94 5 -2

 

 

                                  STATE OF MINNESOTA

                         OFFICE OF ADMINISTRATIVE HEARINGS

 

          FOR THE MINNESOTA OCCUPATIONAL SAFETY AND HEALTH REVIEW BOARD

 

 

Ray Bohn, Commissioner,

Department of Labor and Industry,

State of Minnesota,

                                                          FINDINGS OF FACT,

                            Complainant,                  CONCLUSIONS AND

                                                                ORDER

v s

 

S.B. Foote Tanning Company,

 

                            Respondent.

 

 

    The  above-entitled  matter  came  on   for   hearing   before   Administrative   Law

Judge Howard  L.  Kaibel,  Jr.,  commencing  in  Minneapolis  at  9:30  A.M.  on  January

5,  1988 pursuant to notice and was completed the following day.              The   record

closed on March 25, 1988, upon receipt of reply briefs.

 

    Mark  Rotenberg,  of  Dorsey  &  Whitney,  Attorneys  at   Law,   2200   First   Bank

Place   East,   Minneapolis,     Minnesota   55402,    appeared   on   behalf   of    the

Respondent.     Jeffrey  Baker,  Special  Assistant  Attorney  General,  Suite  200,   520

Lafayette   Road,   St.   Paul,   Minnesota    55155,   appeared   on   behalf   of   the

Complainant.

 

    Notice  is  hereby  given,  pursuant  to  Minn.  Stat.    182.664,  subd.  5,   that

the Findings of  Fact  and  Order  of  the  Administrative  Law  Judge  may  be  appealed

to  the  Minnesota  Occupational  Safety  and  Health  Review  Board  by  the   employer,

employee  or  their   authorized   representatives   within   30   days   following   the

publication of said Findings and Order.         The procedures  for  appeal  are  set  out

at Minn.  Rule part 5215.5000.

 

                                 STATEMENT OF ISSUES

 

    (1)   Did  Respondent  establish  adequate  procedures  to  provide   its   employees

          with  a  work  place  and  working  conditions  free  from  recognized  hazards

          which  caused   or were  likely  to  cause  death  or  serious      injury   as

          required in Minn.  Stat.  182.653, subd. 2?

 

    (2)   Did   Respondent    reasonably    endeavor   to   communicate     its  safety

          precautions to the relevant employees?

 

    (3)   Did  Respondent  take  adequate  steps  to  discover  and  prevent   violations

          of its safety rules?

 

    (4)   Were  the  alleged  violations  of  the  OSHA  statute  primarily  the   result

          of unforeseeable, hidden, deliberate employee misconduct?

 


    Based   upon  all  of  the  proceedings  herein,  the  Administrative   Law   Judge

makes the following:

 

                                  FINDINGS OF FACT

 

    1.    On  December    4,  1986   and   at  all  other   relevant   times    herein,

Respondent was engaged  in  the  business  of  tanning  and  processing  leather  hides

for use in finished leather  goods  at  its  plant  located  on  Bench  Street  in  Red

Wing, Minnesota.

 

    2.    The    splitting  department    at  this  facility  contained  a    five-inch

sub-floor horizontal auger  that  was  used  to  convey  leather  shavings  and  scraps

through  the  splitting  department  to  a  vertical  auger  and  on  to  a  collecting

area.  This horizontal auger was powered by a three-horsepower motor.

 

    3.    The auger was  located  in  the  floor  directly  underneath  three  Polletto

whole  side  shavers.     These  machnes  shaved  down  leather  hides  to   a   uniform

thickness,  producing    waste  leather  shavings   and   scraps   that   had   to   be

collected for disposal.  The sub-floor auger expedited collection.

 

    4.    The  auger    is  covered  by  the  shaver  machines    themselves,   or   by

protective metal gratings, so  that  no  part  of  it  is  exposed  to  the  operators.

The metal gratings are recessed into  the  floor,  so  the  top  of  the  gratings  are

level with the floor.

 

    5.    This sub-floor auger  was  installed  in  the  splitting  department  in  the

spring of 1986.     Management  personnel  met  to  discuss  safety  issues   concerning

the  operation  of  this  new equipment.      -these  managers  concluded   that   safety

hazards created  by  the  auger's  operation  could  be  adequately  addressed  through

the following safety program:

 

    (a)   The mechanism  is  completely  enclosed  so  there  is  no  exposure  to  the

          auger  itself ,  unless  a  shaver-  machine  or  gratings  are   moved   from

          their normal position.

 

    (b)   Clean-up  procedures   require   an  operator to  leave  the  gratings     in

          place at all times.     First, operators  shut  off  their  machines  and  use

          an  air  blower  to  clean  the  machnes  and  the   surrounding   armas   of

          leather  shavings.    Operators  then  are  to  use  a  broom  to  sweep   the

          shavings  over  the  protective  metal  gratings,  through  which  they   fall

          into the auger.    Operators  are  instructed  that  shavings  which  do   not

          f a 1 1  through  the  protective  grating  must  be  swept  up,   put   into   a

          shovel, and taken to a nearby disposal cart.        Each  operator  is   given

          a  vacuum  blower,    broom,   and  shovel  for   the   clean-up    procedure.

          Operators are allowed adequate time for this cleaning.

 

    (c)   Respondent  established  a  specific  lockout  procedure  for  the  sub-floor

          auger,  accompanied  by  explicit  warnings,  to  prevent  any  exposure   by

          shaver operators to the auger while it was operating.           The    lockout

          procedure required that the  auger  must  never  be  operated  unless  it  is

          covered by the protective gratings.        A   shut-off  button  locking  down

          the auger system  is  on  a  wall  directly  facing  the  whole  side  shaver

          machines.

 

 

                                         -2-

 


    ( d   Respondent  also  installed  automatic  shut-off   buttons   on   each   of   the

          whole    side    shaver    machines    which    immediately    deactivated    the

          sub-floor auger mechanism.

 

    (e)   Respondent  posted  safety  warnings  concerning   lockout   of   the   sub-floor

          auger  mechanism  on  the  wall   facing   the   whole   side   shave   machines.

          The warning poster stated, in pertinent part:

 

                Lock  out  power  before  removing  cover  on  guard.

 

 

 

                TO  AVOID  UNSAFE  OR  HAZARDOUS  CONDITIONS,   THE   FOLLOWING

                MINIMUM PROVISIONS MUST BE STRICTLY OBSERVED.

 

          1.(A)   SCREW  CONVEYORS  SHALL  NEVER   BE   OPERATED   UNLESS   THE

                  CONVEYOR  HOUSING  COMPLETELY  ENCLOSES  THE         CONVEYOR

                  MOVING   ELEMENTS.     All   necessary     housings,  covers,

                  safety    guards,     railings,    gratings     and     power

                  transmission    guards   must    be  in   place.      If   the

                  conveyor  is  to  be  opened  for  inspection,  cleaning   or

                  observation,  the  motor  driving  the  conveyor  is  to   be

                  locked  out  electrically  in   such   a   manner   that   it

                  cannot  be  started  by  anyone,  however  remote  from   the

                  area  unless  the  conveyor  housing  has  been  closed   and

                  all  guards are in place.       THE  HOUSINGS,   COVERS,   AND

                  GUARDS    ARE    NECESSARY     T 0  PREVENT     ANYONE   FROM

                  ENTERING,  REACHING,   OR   FALLING   INTO   THE   MACHINERY,

                  WHICH  MAY  RESULT  IN  SERIOUS  PERSONAL   INJURY.

 

    b.    Dayle  Banitt,  Bill  Benson  and   Larry   Wahlund   frequently   operated   the

whole side  shavers together on the same shift.            Burton   Christianson   was   the

supervisor  of  the  Splitting  Department   on   the   morning   shift.   On   December   4,

1986, all four worked the morning shift.

 

    7.    The   Company's   safety   policies   regarding   the   sub-floor   auger    were

communicated  to  the  whole  side  shaver   operators   through   safety   meetings   held

by the splitting department supervisor or his assistant.             Larry   Wahlund,   Bill

Benson  and   Dayle  Banitt   all   "signed-off"   on   "Supervisor's   Personal   Contact"

cards  that  they  attended  a  safety  meeting   regarding   proper   operation   of   the

sub-floor  auger.    Larry  and  Bill  signed-off  on  cards   dated   April   18,   1986.

Dayle  signed-off  on  a  card dated  June 23,  1986.        Al  1  three  of  these   cards

stated  that  the  employee  was  contacted  by  a  supervisor  about  the  "[I  lock   out

procedure on  [the]  Auger System"      The  personal  contact  card  was  part   of   S.B.

Foot's procedure for recording the occurrence of safety meetings.

 

    8.    The   safety  meetings   regarding   the   sub-floor   auger   consisted   of   a

supervisor  or  assistant  supervisor  taking  employees  to  the   warning   sign   posted

near  the  power  switches  for  the  sub-floor  auger  and  asking  them   to   read   the

sign.    The  employees  were  then  asked  if  they  had   any   questions   or   did   not

understand  this  warning  sign.       The   employees   then   signed   the    "Supervisor's

Personal  Contact'  cards and  returned to work.        Aside  from   this   meeting,   safe

operation  of  the  sub-floor  auger  was   not   discussed   with   employees   from   the

time it was installed until after Larry Wahlund's accident.

 

 

                                          -3-

 


     9  .  Sometime  in  1986,  because  of  problems   with   spotting   on   the   leather

hides,  the  Company  directed  the  whole  side   shaver   operators   to   improve   their

efforts in cleaning their machines and adjacent areas.

 

     10.   Shortly  after  the  whole  side  shavers  were  admonished  to  keep  the   area

cleaner,  they  began  to  lift  the  metal  grates  covering   the   auger   during   their

clean-up    procedure.       They   found   that   lifting   the   grates   was   the    most

expeditious  way  to  keep  leather  shavings  and  scraps  from  clogging  the   holes   in

the grates.

 

     11.   Dayle   Banitt    and   Bill   Benson   often   worked    together    on   their

clean-up.     One would sometimes lift up one side of the grate stile             -the  other

swept debris into the auger.         Larry Wahlund often had no assistance        and  would

sometimes remove the grate while he swept waste into the auger.

 

     12.    Dayle  Banitt  and  Bill  Benson  had  been  lifting the grate        and  Larry

Wahlund    had      sometimes  removed  the   grate    during   the   cleaning      process,

frequently  for  one-to-two  months  prior   to   Larry   Wahlund's   injury   on   December

4, 1986.

 

     13.   Each  of  the  operators  was     aware  of,   and   understood,    the    posted

warnings   and    procedures.

 

     14.   Employees   were   cautioned   by   Respondent    that    violations    of    the

Company's safety rules and procedures would lead to discipline.

 

     15.   Respondent's  supervisors'  top  priority   was   to   assure   compliance   with

the  Company's    safety    rules  and  procedures.      Supervisors    were     specifically

required  to  be  vigilant  for  improper  safety  practices,   and   were   instructed   by

the  personnel  manager   with   respect   to   potential   safety   problems   they   might

encounter in their areas.

 

     16.   On  a  typical  day,  the  principal  supervisor  of   the   whole   side   shaver

area    was  often   present   in   that  area,   including    specifically      during  the

clean-up period.

 

     17.   Wahlund  admitted  to  hiding  his  practice   of   removing   the   grating   in

order that no one would see him doing so.           He  also  admitted   fearing   discipline

if his misconduct were observed by the supervisors.

 

     18.   No  supervisor  ever  saw,  or  was  otherwise   aware   of,   any   whole   side

shaver  operator  removing  or  lifting  the   grating   for   clean-up   purposes   without

shutting off the auger.        Respondent's  supervisors  had   never   noticed   the   auger

running  with  the  grating  open  during  clean-up,  and   there   were   no   reports   of

such    violations.    They   had   never   encountered   any   safety   problem   with   the

sub-floor auger system, the lockout procedures, or the gratings.

 

     19.   Respondent's  supervisors  had   no   reason   to   mistrust   the   ability   or

willingness  of  the  experienced  operators  on  the  whole   side   shaver   machines   to

follow  the  clean-up  procedures  and      lockout  safety measures.       None   of   these

operators had a record of safety infractions.

 

     20.    Respondent  has  never  been  cited  for  any   serious   or   non-serrious   OSHA

violations   with     respect  to  either  the  whole    side   shaver   machines   or   the

sub-floor auger mechanism.

 

                                          -4-

 


        21.        On         December         4,         1986,         Dayle         Banitt         and         Bill         Benson         cleaned         up

together.               At        the        moment        the        accident        happened        they        were         wiping         down         their

machines        with        rags,        and        Bill        Benson        was         talking         with         their         supervisor,         Burton

Christianson.                    Meanwhile,              Larry         Wahlund         had         begun         his         clean-up         routine         by

himself.              He       had       cleaned        off        -the        whole        side        shaver        with        the        airhose,        and

removed             the    metal         grate        to        sweep        the        debris        arond         his         machine         into         the

running   auger.                    He       then       began       to       wipe       down        the        machine        without        replacing        the

metal    grate.                A        few        moments         later,         he         accidently         stepped         into         the         running

auger.

 

        22.          He         began         screaming         and         Bill         Benson         and         Day le         Banitt         simultaneously

punched   the  auger  shut-off   buttons   on   their  machines.                                                   He      had       wedged       his       foot

in   the   auger.                  Maintenance       personnel       had        to        cut        some        of        the        iron        away        to

remove            it.      As       a       result       of       the       accident,       his       right        foot        was        amputated        below

the            ankle.

 

        23.         On        January        5,        1987,        Jim        Emmons        inspected        Respondent's        facility        in        his

capacity            as      a     Senior          Safety    Investigator    for    Complainant.                                       The               accident

precipitated                  the         inspection                which           was          limited             to        the         area             and

instrumentalities  involved  in  the  injury.

 

        24.          Mr.        Emmons        held        an        opening        conference        with        David         [-         Diercks,         Plant

Superintendent,           Jerry           Dietzman,           Personnel           Manager,           and            Bernard            Carlen,            Union

President.

 

        25.         Mr.        Emmons         then         conducted         a         walkaround         inspection         of         relevant         areas

and  interviewed  Larry  Wahlund,   Dayle  Banitt  and  Bill  Benson.

 

        26.         At         a         closing         conference,         Inspector         Emmons         informed         Mr.         Diercks,         Mr.

Dietzman        and        Mr.        Carlen        that        his        investigation        was         complete         and         that         citations

might   be   issued.                  Mr.       Dietzman       stated       that       any       citation       issued       as        a        result        of

Mr.  Wahlund's  accident  would  be  contested.

 

        2 7  .      On        January        13,        1987,        the        OSHA        Director        cited        Respondent        for        violating

Minn.   Stat.     182.653,   subd.   2.                              This          statutory          section          is          commonly           referred

to  as  the  General   Duty  Clause.

 

        28.          The  citation  alleged  that:

 

                    Minn.   Stat.     182.653,   subd.   2   (1984):                               The           employer            failed

                    to     furnish          I= o      each       o f      h is      employees              conditions                  of

                    employment    and    a    p    I    ace    of    employment    free    from     recogn     i     zed

                    hazards               which  caused          or   were           likely         to      cause        death            or

                    serious   injury   to   his   employees;   specifically:                                                      Inadequate

                    instruction    and                supervision    were                  not          (sic)          provided           for

                    employees        during        cleanup        operations         on         the         three         whole         side

                    shavers        in        the         splitting         department         so         that         employees         were

                    not       (sic)       exposed        to        the        sub-floor        auger        system        on        December

                    4,         1986.      The       metal       floor        grate        was        not        secured        in        place

                    nor       was       the        lock-out        procedure        used        by        employees        on        several

                    previous                   occasions.

 

        2 9  .      On    February            13,       1987,       the          Respondent           duly           contested           the           citation

causing         Complainant  to  issue  a  complaint  on  March  13,   1987.

 

                                                                          -5-

 


    30.   In  his  Personal  Interview  Statement  executed  soon  after  the   incident

took place, Wahlund stated  that  he  knew  the  auger  was  supposed  to  be  shut  off

anytime  the  protective grating  was  raised.       Five  days   after   the   incident,

Wahlund  similarly  admitted  to  Respondent's  personnel  manager  that  he   knew   he

had been told not to  remove  the  grating  while  the  auger  was  operating,  but  did

so  nevertheless   because   he   thought   it   would   make   the   clean-up   process

"quicker."  He admitted removing the gratings was a "stupid shortcut."

 

    31.   Another  OSHA   inspector   had  inspected   Respondent's   facility     three

months before the Wahlund incident, including the whole side shaver area.              No

citation  was  made  with  respect  to  the   sub-floor   auger,   the   posted   safety

instructions, or the whole side shaver machines.

 

    3 2 .  The  National  Safety   Council's   survey  of   frequency   of  lost    time

injuries  indicates  that  Respondent  had  less  than  half  the   lost   time   injury

rate of the average tannery in Respondent's business category.

 

    33.   Complainant  gave  Respondent  the   maximum   credit   in   calculating   the

citation penalty herein because Respondent had a good overall safety record.

 

    34.   Respondent   has  disciplined    employees   when   necessary   for     safety

infractions,  and  employees  are  aware  that  safety  violations  may       lead    to

disciplinary measures.      In  1978,  a  disciplinary  layoff  of  an  employee  for   a

safety violation  led to a company-wide union walkout.          All  of   the   employees

involved  herein  were  employed  at  that  time  and   understood   the   emphasis   the

company places on safety.

 

    Based  upon  the  foregoing  Findings  of  Fact,  the   Administrative   Law   Judge

makes the following:

 

                                    CONCLUSIONS

 

    1.    That  the  Minnesota  Occupational  Safety  and  Health   Review   Board   and

the  Administrative  Law  Judge  have  jurisdiction  herein  and   authority   to   take

the  action  proposed  pursuant  to  Minn.  Stat.    182.661,  subd.  3,  182.664  and

14.50.

 

    2.    That  the  Board  gave  proper  notice   of   ithis   hearing   and   that   the

Complainant  and   the   Board   have   fulfilled   all  relevant    substantive     and

procedural requirements of law and rule.

 

    3.    That  the  Respondent   is   an   employer   as   defined   by   Minn.   Stat.

 182.651, sub. 7.

 

    4.    That  the  employees  involved  are  employees  as  defined  by  Minn.   Stat.

 182.651, subd. 9.

 

    5.    That Complainant bears  the  burden  of  proof  by  a  fair  preponderance  of

reliable  and  probative  evidence  with  respect  to  the  alleged  violation  of   the

general   duty  clause  and  Respondent   bears  that   burden  on   the     affirmative

defense of employee misconduct.

 

    6.    That  the  Respondent  recognized  that  the  sub-floor-  auger  system  posed

a  hazard  and  foresaw  that  splitting  department  employees  would  be  exposed   to

it.

 

                                       -6-

 


     7 .   That the Respondent  recognized  the  hazard  was  likely  to  cause  serious

physical   injury.

 

     8.    That  Respondent's  safety  procedures  were  adequate  to  prevent  exposure

to the recognized  hazard  in  this  case.

 

     9.    That  Complainant  has  not  shown  by  a  preponderance  of   the   evidence

that Respondent failed to render its workplace free of the recognized hazard.

 

     10.   That  there  may   have    existed  other  feasible  means   by   which   the

Respondent  could  have  abated  the  recognized  hazard   of   the   sub-floor   auger.

Such feasibility was not contested by Respondent.

 

     11.   That  Respondent's     clean-up  procedures    and   lockout    rules     were

adequately communicated to its employees.

 

     12.    That Respondent  took  legally  adequate  steps  to  assure  compliance  with

the clean-up  and  lockout  safety  rules.

 

     13.  That the Wahlund incident was not legally reasonably "foreseeable".

 

     14.   That  Larry  Wahlund's  actions  leading  up  to  the  accident  on  December

4,  1986  constituted   employee   misconduct.

 

     15.   That  Citation  1,   Item  1,   for  which  the  Complainant  proposed      a

penalty,   properly alleged  that  the  conduct,     if  proven,  would   constitute   a

serious  violation for purposes of Minn.  Stat.  182.651, subd. 12.

 

     16.   That  the  penalty  proposed  for  the  Respondent's  alleged  violation   of

Minn.   Stat.    182.653,  subd.  2  was  properly  computed  using  the   factors   set

forth in Minn.  Stat.    182.666,  subd.  6.

 

     Based  upon  the  foregoing  Conclusions,  the  Administrative  Last  Judge   makes

the following:

 

                                        ORDER

 

     IT  IS  HEREBY  ORDERED:   that  the  citation  be,  and  the   same   hereby   is,

DISMISSED.

 

 

Dated:   April  2         1988.

 

 

 

 

                                        HOWARD L. KAIBEL, JR.

                                        Administrative Law Judge

 

 

Reported:  Taped.  Transcribed by Mary Ann Hintz.

 

 

 

 

                                         -7-

 


                                       MEMORANDUM

 

    Although  able  counsel  on  both  sides  of  this  dispute  "touch  every   base"   in

arguing   the   legalities,   only   two  legal   conclusions    required   research    and

elaboration here:

 

    (1)   Did    Complainant    [)rove  that    Respondent's    safety    practices     and

procedures were inadequate?

 

    (2)   If  the policies and work rules were adequate         to  ensure  a  safe   place

of employment, did Respondent fail to adequately enforce them?

 

    There  was  no  dispute  here  over  whether  the  auger  was   a   recognized   hazard

capable of causing serious injury.         Company   posters   graphically   depicted   this

recognition  and  unambiguously   described   protective   work   rules   and   procedures.

Special   safety   equipment  was    installed   including   grates,   shutoff     switches

within  reach  of  each  employee   and   a   lockout   mechanism,   which   were   all   in

perfect working order       The  rules  and  procedures   were   fully   communicated   tco

and understood by the relevant employees.          This  case  was  not  comparable  to  the

cited  decision  in  Brown  &  Root,  Inc.-,  1980  OSHRC     24,853,  8  OSHC  (BNA)  2140

where  a  general  oral  work  rule  was  not  specific  enough  and  was  not  effectively

communicated to the employees.

 

    Here,  the  employees  knowingly  and  deliberately   violated   these   policies   and

rules   with   the   predictable   consequence   that   one   of   them    was    seriously

injured.    It  is  well  settled  that  "Actual  occurrence   of   hazardous   conduct   is

not,  by  itself,  sufficient  evidence  of  a  violation,  even  when  the   conduct   has

led to injury."     National  Realty  and  Construction   Company   v.   OSHRC,   (D.C.Cir.

1973)  489  F.2d  1257  at  1267.   Complainant  still  has  the  burden   of   establishing

that Respondent's policies and/or enforcement of them were inadequate.

 

Adequate Safety_Measures?

 

    Respondent  does  not  dispute   the   feasibility   of   alternative   approaches   to

abating the recognized hazard.        After  the  accident,   Respondent   took   additional

measures to r-ender the area safer for employees.           Respondent  properly   made   an

evidentiary  objection  to  any  consideration   of   its   subsequent   remedial   actions

which   is  herewith  SUSTAINED.      However,    the  evidence  was    admitted   at    the

hearing  because  of  the  recent  OSHA  Review  Board  decision   in   CECO   Corp.,   OAH

Docket No. OSHA-87-006-HK.       The  Administrative  Law  Judge  in  that   case   excluded

such  evidence,  expressing  concern  that  allowing   such   evidence   would   ultimately

harm  worker  safety  by  discouraging  employers   from   making   improvements   whenever

an  OSHA  citation  was    pending  or  anticipated.       The   Review   Board    reversed,

contending  that  the  evidentiary  rule  (407)  was   for   the   protection   of   juries

rather  than   Administrative   Law   Judges   who   should   be   able   to   overlook   the

prejudicial  nature of  such evidence because they are learned in the law.                In

judicial  proceedings,    the   exclusionary    rule  for  such   evidence    is    applied

equally,  whether  the  case  is  tried  by  a  judge  or  to  a  jury,  recognizing   that

both  are  human  and  potentially swayed  by  improper or unfair evidence.              The

Review  Board   decision   does   not   explain   why   administrative   hearing    records

which  are  ordinarily  reviewed  by  agency   commissioners   or   other   reviewers   who

are not necessarily learned in the law should contain such evidence.

 

    The  evidentiary  rule  has  a  permissive  exception   where   "feasibility"   is   an

issue  and  "feasibility"  was  specifically  raised  in  that  case  as   an   affirmative

 

                                          -8-

 


defense.     He re, Respondent has exp I ic it 1y st ipu Iated that the f ea s i b i 1 ity of

alternative  abatement  procedures  or methods  is  not an  issue.          Under    these

circumstances, if the rule  is  to  have  any  meaning  at  all,  the  evidence  must  be

excluded.      However,  because  of  the  CECO  decision,  Complainant  was  allowed   to

make a  record  on  the  matter  which  has  been  and  ought  to  continue  to  be  duly

disregarded herein.

 

     Respondent    requests   only   that    the   protective   methods,      procedures,

equipment and work rules that it selected and installed be judged adequate.

 

           Where the employer has a mechanism      designed to eliminate a

           hazardous  condition,   the  burden    is  on  the  secretary  to

           establish   that  the  employer's  measures  were     inadequate.

           Inland Steel, 1986 OSHD   27,647, 12 OSHC (BNA) 1986.

 

Inland  was  a  case  where  an  employee  was  killed  in  a  railroad   car   accident.

The respondent  proved  that  it  had  adopted  rules  which  were  adequate  to  prevent

the  accident  and  that  those  rules  were  properly  communicated  tco  the   relevant

employees,  were  posted  and  were  understood  by  those  employees  who   filled   out

safety  contact  cards  which  were   maintained   by   the   company   in   its   safety

records.     Although  some  switchmen  had  sometimes  clearly  violated   these   safety

rules,   the  Commission  decided  that  there  was     no  general   duty     violation.

Inland     had  monitored    compliance    and   disciplined    employees    for     past

infractions.       The    Commission    upheld    the   Administrative     Law     Judge's

determination  that  the  rules  were  adequate  and  properly   communicated   tc)   the

employees   and  that   the   evidence   did  not  sustain  the   allegation   that   the

employer failed to adequately enforce its rules.          There  was  no  evidence   there

(as    here)  to  indicate  that  any   other   industry   anywhere   had   adopted   more

rigorous abatement measures to deal with this commonly recognized danger.

 

     In    this  case,   the   Employer's    carefully   selected    hazard     abatement

procedures ware manifestly     adequate,  including  the   "lock-out"   mechanism   where

employees put the  key  in  their  pocket  to  ensure  that  the  auger  could  never  be

energized  whenever  the  protective  grating was  removed.          The   equipment   and

"fail-safe"  redundant  work  rules  and  procedures   were   more   than   adequate   to

provide    a  safe  work  place,  absent  deliberate  disobedience.       As  in    Pelron

Corp.,  1986  OSHD       27,605,   where   the   employer   adopted   a   4-step   safety

procedure   and   adequately    communicated  those  precautions   to   thE    employees,

complainant  must  do  more  than  merely  assert  that  respondent's  safety  method  is

inadequate.     He must produce evidence substantiating such a conclusion.            Here,

Complainant   did   not   introduce   evidence   that   the   safety   procedures    were

substandard or somehow inherently unsafe.          Consequently,   Complainant   has   not

established   by   a  preponderance    of  the  evidence   that   Respondent's     hazard

abatement program was inadequate.

 

Adequaty Enforcement?

 

    "Paper"  work  rules  and  procedures  do  not  render   3   workplace   safE-   from

recognized    hazards.    Employers   cannot  "look  the   other   way"   when   employees

violate    work  rmles  and  subsequently   hide   behind   the   employee   "misconduct".

Employers  mwst  take  reasonably  adequate  steps  to   ensure   that   their   programs

and  rules  are  enforced.

 

    The  adequacy  of  an  employer's  "hands-on"  enforcement  protocol   is   difficult

to second guess.     The  question  arises  infrequently  because  it  only  needs  to  be

 

                                         -9-

 


addressed when a conscientious employer has legally  come  four-f  ifths  of  the

way  to    unquestionable  compliance:    (1)  It   recognized   the  hazard;   (2)    it

adopted  adequate  precautionary  policies  and  rules  to  eliminate  the  hazard;  (3)

it  adequately  communicated  these  policies  and  rules  to  the  employees;  and  (4)

it  made  it  clear  generally  to  both  employees  and  supervisors  that  infractions

of  safety   rules    would  be  important  enough  to  the  company  to     result    in

meaningful discipline.

 

    The  last     one-fifth  of  -this  formulation  involves   enforcement   of   safety

rules.    Employers  are  not  required  to   have   a   supervisor-enforcer   constantly

looking  over  the  shoulder  of  every  employee  at  all  times,  particularly   where

the  employees  are  skilled  and  experienced.     Brennan  v.  OSHRC  (Hanovia   Lamp

Division),  (3rd.Cir.   1974)   502 F Ad 946.     The  more  a  respondent   looks   over

employees'   shoulders    however,   the   more   likely   it   is  that     supervisors

overlooking misconduct will be found guilty      of inadequate enforcement.       On  the

other  hand,  they   must  look  over employees'     shoulders  with  at   least   enough

frequency   to   properly  enforce  the  company  safety  rules.       If   the   company

doesn't  employ  adequate  trained,  conscientious  supervisors  in  the   worksite   to

insure  safety,  it   would  also be guilty of negligent enforcement.      The   ultimate

question   presented     is  always  consequently    whether   Respondent     adequately

supervised  its  worksite,    without  being  impliedly   negligent   for   failure   to

discover any breaches of its safety rules.

 

    Here,  the  question  must  be  answered  affirmatively.       The   employees   were

skilled, experienced and had no record of safety violations.           Safety   personnel

regularly  inspected   the  workplace,    including   OSHA  inspectors    recently   and

supervisors (who knew that  safety  was  the  most  important  part  of  their  job)  on

a  daily  basis.       There  was  not  the   slightest   hint  to   the  company    that

enforcement supervision was inadequate.

 

    Complainant  cites  Jensen  Construction  Company,  1979  OSHD  1   23,664  for  the

proposition that Respondent's enforcement was inadequate.          This  is  not  Jensen,

where there was  evidence  that  the  supervisor  was  aware  of  several  instances  of

recent violations   of -the  work  rule  including  one  where  a  worker  at  the  same

site had recently   fallen  to  his  death  and  the  supervisor  had  himself  breached

the company safety  policy.

 

    Likewise, this  is  not  the  second  case  cited  by  Complainant,  Ted  Wilkerson,

Inc . ,  1 981  OSHD    25,551.   There,  three  employees  working  in   different   parts

of the worksite were  working  without  fall  protection  in  plain  view  of  both  the

supervisor  responsible  for  enforcing  the  work  rule   and   the   OSHA   inspector.

Respondent  had  been  twice  cited  before  for  failure  to  require   safety   belts,

causing  the  Commission  to  conclude  that  Respondent  was   legally   on-notice   of

the need  for more effective enforcement of its work rule.           In  this  case,  the

employee  acknowledged  hiding  his  violations   from   supervisors   and   there   was

nothing to put  Respondent  on  notice  of  the  need  for  more  effective  enforcement

of auger safety precautions.

 

    The  only  other  case  cited  by  Complainant  is   New   England   Telephone   and

Telegraph Company, 1983 OSHD   26,535.        This  case  highlights  the  difficulty  of

judging the employer's hands-on enforcement efforts.         -We  employer  had  a  work

rule  requiring  the  use  of  plainly  visible  pole-guards  which   had   never   been

enforced.   One employee  testified  that  he  did  not  use  pole-guards  on  more  than

50  previous   occasions.    The  rule  had  not   been   effectively   communicated   to

another employee.

 

                                        -10-

 


     A  divided  Commission  nonetheless  vacated  a   citation   for   failure   to   use

pole-guards.      One  Commissioner  felt  that  the  employer  did  not   have   effective

legal knowledge  of  the  violation  and  another  concluded  that  this  was  a  case  of

employee misconduct.       However,  the  Commission  affirmed  a  citation   for   failure

to  enforce  use  of  insulated  gloves,  contending  that   more   rigorous   enforcement

of  this   rule  was  required  because  the  failure  to  use   gloves   could   not   be

detected by ordinary observation.

 

     The  attached  Report  concludes  that  this  is  a  case  of  unforeseen  misconduct

by   employees   who    all  admitted  that  they  knew  better.       It  is  similar   to

Consolidated Edison  Company  of  New  York,  1980  OSHD     24,406  8  OSHA  (BNA)  1550,

where  respondent was  not  held      liable  for  the   unforeseeable   recklessness   of

three  employees  who  removed   a   protective   barrier,   ignoring   prohibitive   work

rules.    C.F. 2nd Montclair 1979 OSHD   23,697, 70 OSHC (BNA) 1698.

 

     The  most  strikingly  similar  legal     precedent  encountered    in    researching

this matter was not cited by either party, but appears indistinguishable.                In

Cerro  Metal  Products  Division._  Marmon  Group  Inc.,  12  BNA  OSHC  1822,  1986  OSHD

  27,579,    employees    performed  maintenance  on  a    recognized    hazard    without

de-energizing  it.      The  de-energization  rule  was  communicated   to   all   of   the

relevant employees and was posted at the site of the hazard.            One  employee   was

killed.     The  surviving  employee   was   an   experienced   worker   with   specialized

knowledge of the operation to be performed.          There  was  no  history  of  accidents

involving    the     hazard  and   all   of    the  employees     fully  understood    the

precautionary     work    rule.    nonetheless,    employees    testified    that    short

maintenance    operations   of   15   to  20   minutes   were   sometimes   made   without

de-energization  and  no  employee  had  ever  been  disciplined  for   a   violation   of

the    rule.    There    was  no  evidence     that  supervisors    were  aware  of   these

violations.     A  shift  foreman  who  spent  about  one-third  of  his  time  supervising

maintenance  and  repairs  on  the  hazardous  equipment  testified  that  he  had   never

seen  maintenance  or  repair   work   performed   while   the   hazardous   equipment   was

energized.     There  had  been  ro  previous  accidents  or  injuries  caused  by  failure

to  de-energize  or  any  reports  of  any  rule  violations.        Both   operators   had

perfect   safety   records.     The   evidence   did  not  establish    that    supervisory

personnel  could  have  foreseen  the  need  for  additional  precautions  at   the   time

of   the  accident.     Noting  that  there  was  a     "clear  admission  of      employee

misconduct"    by  one    of  the  employees,    the  Review  Commission    reversed    an

Administrative  Law  Judge's  decision  and   vacated   the   citation.   The  same   result

is appropriate in this case.

 

 

 

                                     H.L.K.,   Jr.