Risk Management Flashcards
1
Q
Risk Management Process
A
- Identify risks
- Assess/analyze risks.
- Manage risks.
- Review risks.
2
Q
5 Risk Areas
A
- Compliance - Legal
- Continuity
- Security
- Safety and Health
- Privacy in the Workplace
3
Q
HR Audit
A
Can be used to see what HR functions need to be done, to identify opportunities for improving business results, and to identify organizational risks, A comprehensive audit reviews HR activities in all functional areas.
4
Q
auditing strategy - organization of HR function
A
- Reviews org chart
- Verifies the existence of current job descriptions for all departmental positions and ensures the existence of clear accountability for different functions.
- evaluate the size and effectiveness of the HR team, ratio of HR staff to total employees, commitment to professional development for the team, and how well the team meets customer needs.
- HR programs align to organizational goals
- reviews the HCMP
- evaluates the departmental mission statement
- analyzes the budget.
5
Q
auditing workforce planning and employment
A
- Examines the recruiting philosophy and process
- whether the company promotes from within
- job posting and candidate sourcing procedures and the approval process
- existence and status of affirmative action and diversity programs
- review of the staffing needs analysis and its use in projecting the availability of candidates for future needs is based on labor market demographics
- Verifies the job analysis process and whether job descriptions include essential job functions
- The selection process is also examined.
6
Q
auditing development
A
- Looks at learning and development practices and programs
- the existence of regular training
- performance management practices.
- evaluation process is assessed for adequacy, equity, and content.
7
Q
auditing compensation and benefits
A
- Reviewed for consistency with the practices and level of communication
- Adequacy of compensation procedures is examined, and the frequency of salary survey comparisons is analyzed
- Salary administration practices, including pay ranges, compression, salary budgets, and incentive pay practices, are reviewed
- Benefits are compared to competitor programs
- Health care programs are analyzed.
- Programs for controlling absenteeism, unemployment, and other costs are analyzed
- Time off policies and accrual practices are also examined.
8
Q
auditing employee relations
A
- Assess the org’s ER philosophy for alignment with corporate goals and reviews practices for conflict-resolution and disciplinary procedures.
- Communication philosophy is reviewed, and written tools, such as handbooks, policies, procedures, work rules, code of conduct, and behavior expectations, are examined.
- Orientation programs are assessed for content and frequency.
- Absentee rates and turnover demographics are analyzed
- exit-interview practices and reporting are examined.
- Procedures for voluntary and involuntary org exits are reviewed.
- Diversity practices are analyzed.
9
Q
auditing labor relations
A
Existence of labor unions, collective bargaining agreements, and union-avoidance practices are examined.
10
Q
auditing risk management
A
Legal compliance for all applicable federal, state, and local governments are reviewed. Safety, health, and wellness programs are analyzed.
11
Q
workplace investigation
A
conducted when management receives complaints about inappropriate or unlawful behavior; identifies a potential financial loss from embezzlement or theft; receives accusations about an employee; or becomes aware of some other type of loss.
12
Q
steps for workplace investigations
A
- Begin planning the investigation immediately after receiving the complaint
- Determine whether an employee or third-party investigator would be the most appropriate for the situation.
- Develop a clear strategy before beginning to collect evidence or conduct interviews.
- Compile a list of individuals to be interviewed and documentation to be collected.
- Prepare a list of questions based on the information presented by the complainant.
- Conduct interviews, ask each interviewee to provide a signed, written statement, or to sign your notes after each interview. Interview the complainant first, then interview witnesses, then interview the accused.
- Make a note of the interviewee’s demeanor and openness at the end of each interview but do not add personal opinions or judgments
- Stress the importance of confidentiality for the integrity of the investigation, and reiterate company policy with regard to retaliation against accusers and witnesses.
- At the conclusion of the interview with the accused, clearly state that retaliation or intimidation of those interviewed during the investigation isn’t acceptable and that the accused shouldn’t attempt to discuss the situation with the complainant or witnesses.
- If the accused provides an alternate description of events, completely investigate the new information, re-interviewing witnesses if necessary.
- Conclude the investigation. Make a finding of fact based on the evidence obtained and observations during the interviews, include any relevant documentation that supports your finding, evaluate possible reasons for false accusations and the credibility of those involved, and notify the complainant and the accused of the results of the investigation.
- As appropriate, take disciplinary action consistent with the org’s policy.
- If there is no clear finding, explain and document the finding.
- Compile and close the investigation file, including signed statements from witnesses, complainant, and accused; relevant documentation, and the original handwritten notes with transcribed copies.
- Communicate resolution only to those who have a need to know.
- If necessary, and without violation of those involved, take appropriate action to subdue rumors.
13
Q
risk assessment
A
The process used to determine the likelihood that an organization will be affected by a particular risk. An assessment estimates the cost of the loss if one should happen and the impact it would have on the ability of the organization to continue operations. With this knowledge, it’s possible to identify which losses are most likely to occur and what controls must be in place to prevent them. Identifying and ranking risks provides organizations with the opportunity to be proactive and implement controls to prevent losses.
14
Q
risk related to perceived disability and ADA protection
A
If an employer believes an employee has a disability and believes that the disability would limit the employee’s ability to perform his or her job duties, causing a danger to himself or others, the employer could be liable for discrimination.
- A disability must be real, not perceived, for management to take action.
- The disability must actually impact the employee’s ability to perform essential job functions.
- Employers must engage in an interactive process to search for reasonable accommodations.
- Reasonable accommodation would result in an undue hardship to the employer.
15
Q
caregiver discrimination or childcare discrimination or family-responsibility discrimination
A
EEOC guidelines describe circumstances that constitute unlawful disparate treatment of caregivers:
- disparate treatment of female caregivers when compared to male caregivers (not hiring women with preschool children)
- stereotyping female caregivers (denying a promotion to women with young children based on the assumption that she can’t move)
- pregnancy discrimination
- discriminating against male caregivers (giving women leave but not men)
- discriminating against employees providing care for disabled persons
16
Q
Sarbanes-Oxley Act (SOX)
A
SOX requires info that materially affects an org’s financial status to be reported to the SEC when the org becomes aware of the info. For HR, this includes:
- ensuring that material liabilities from pending lawsuits or settlements of employment practices claims are reported in financial statements
- participating in the review and testing of internal controls for hiring, compensation, and termination processes.
- reporting immediately any material changes to the org’s financial condition (such as settlement of a class action lawsuit)
17
Q
SOX and Whistleblower Retaliation
A
SOX prohbits employers from retaliating against whistle-blowers who report financial conduct they reasonably believe violates federal laws designed to protect shareholders from fraudulent activity.
18
Q
Drug Free Workplace Act of 1988
A
Applies to businesses with fed contracts of $100k or more. Contractors must:
- develop and publish a written policy
- establish an awareness program
- notify employees about contract conditions
- notify the contracting agency of violations
- establish penalties for illegal drug convictions
- maintain a drug free workplace
Basically, if an employee has a conviction of a criminal drug offense, they must inform their employer within 5 days, who must then notify the contracting agency within 10 days of being informed. Within 30 days of being informed, the employer must take disciplinary action or require participation in a drug rehab program.
19
Q
Occupational Health and Safety (OSH) Act of 1970 - general duties
A
Three simple duties:
- Employers must provide every employee a place to work that is free from recognized hazards that are causing or are likely to cause death or serious physical harm
- Employers must comply with all safety and health standards disseminated in accordance with the act
- Employees are required to comply with occupational safety and health standards, rules, and regulations that impact their individual actions and behavior.
20
Q
OSHA
A
Agency that enforces the OSH Act. Has authority to develop and enforce mandatory standards applicable to all businesses engaged in interstate commerce. This is all businesses except mines (covered separately), sole proprietors without employees, and family farms.
21
Q
National Institute of Occupational Safety and Health (NIOSH)
A
Originally part of Dept of Health and Human Svcs, now part of CDC created by the OSH Act. Charged with researching and evaluating workplace hazards and recommending ways to reduce the effect of those hazards on workers. Also supports education and training in occupational safety and health by providing educational materials and training aids.
22
Q
equipment under the OSH Act
A
Employers are expected to take steps to minimize or reduce hazards; ensure that employees have and use safe tools, equipment, and personal protective equipment (PPE); and ensure that the tools and equipment are properly maintained
23
Q
communication under the OSH Act
A
Employers are responsible for informing all employees about OSHA, posting the OSHA poster in a prominent location, and making employees aware of the standards that apply in the workplace. If employees request a copy of the standard, the employer must provide it to them.
24
Q
potential hazards under the OSH Act
A
Appropriate warning signs that conform to the OSHA standards for color coding, posting, or labels must be posted where needed to make employees aware of potential hazards.
25
training under the OSH Act
Employers must educate employees about safe operating procedures and train them to follow the procedures.
26
records under the OSH Act
Businesses with 11+ employees must maintain records of all workplace injuries and illnesses and post them on form 300A from Feb 1 - April 30 each year.
27
hospitalizations and fatal accidents and OSHA
Within 8 hours of a fatal accident or an accident resulting in hospitalization for 3 or more employees, a report must be filed with the nearest OSHA office.
28
accident report log
Must be kept and made available to all employees, former employees, or representatives when reasonably requested.
29
retaliation under the OSH Act
When employees report unsafe conditions to OSHA, the employer may not retaliate or discriminate against them.
30
employer rights under the OSH Act
Employers have the right to:
- seek advise and consultation from OSHA
- be active in industry activities involved in health and safety issues
- participate in the OSHA Standard Advisory Committee process by writing or giving testimony
- contact NIOSH for info about substances used in work processes to determine whether they're toxic
- Employers may apply for temporary waivers from OSHA standards as long as the standards developed by the employer meet or exceed OSHA standards.
31
employee rights under the OSH Act
- seek health and safety on the job without fear of punishment
- know what hazards exist on the job by reviewing the OSHA standards, rules, and regulations that the employer has available at the workplace
- Be provided with the hazard-communication plan containing information about hazards in the workplace and preventive measures employees should take to avoid illness or injury, and to be trained in those measures
- Access to the medical and exposure records employers are required to keep relative to health and safety issues
- Request an OSHA inspection, speak privately with an inspector, accompany the inspector, and respond to questions from the inspector
- observe steps taken by the employer to monitor and measure hazardous materials in the workplace, and access records resulting from those steps
- request information from NIOSH regarding the potential toxic effects of substances used in the workplace
- file a complaint about workplace safety or health hazards with OSHA and remain anonymous to the employer
32
OSHA enforcement
OSHA does inspections for complaints, fatalities, and referrals. There are large monetary penalties for noncompliance, but the penalty can also depend on the type of violation (willful, repeat, etc)
33
OSHA Form 300
Log of Work-Related Injuries and Illnesses. Must be retained 5 years.
34
OSHA Form 300A
Summary of Work-Related Illnesses and Injuries. Filed as an annual summary at the end of the year, which must then be certified by a company executive as correct and complete and posted in February of the next year. Must be retained 5 years. Lists totals from Form 300.
35
OSHA Form 301
Supplemental Injury and Illness Incident Report. Explains details of what is briefed on the Form 300. Must be retained 5 years.
36
Exemptions for OSHA Forms
Industries with low injury and illness rates - include retail, service, finance, insurance, and real-estate. Do not have to file reports unless informed otherwise.
37
What must be recorded on an OSHA form?
Any injury or illness to an employee on the employer's payroll, regardless of how the employee is classified. Injuries must be work related, which means they occurred in the work place or while performing work-related duties off site, even if symptoms show up later (in the case of contagious diseases, which include basically anything but the cold or flu). Report any illness or injury that results in death, days away from work, restricted duty, medical treatment, loss of consciousness, or diagnoses by a physician.
38
privacy concern cases
It's ok to substitute a case number instead of an employee's name on the log in cases including injury or illness to an intimate body part or resulting from sexual assault, HIV infection, TB, or hepatitis, needle-stick injuries, or other illnesses where the employee ask their name not be included on the log.
39
OSHA Consultants
Free assistance from OSHA in learning safety standards, involving employees in the process, and correcting violations with a citation and penalty. If the employer doesn't abate violations, the consultant will refer the violation to an OSHA inspector.
40
Safety and Health Achievement Recognition Program (SHARP)
recognizes small, high-hazard employers that have requested a comprehensive OSHA consultation, corrected any violations, and developed an ongoing safety management program. To participate, businesses must agree to ask for additional consultations if work processes change.
41
Strategic Partnership Program
A means for businesses and employees to participate in solving health and afety programs with OSHA.
42
OSHA Alliance Program
Provides a vehicle for collaboration with employer organizations interested in promoting workplace health and safety issues. Open to trade and professional orgs, businesses, unions, educational institutions, and gov't agencies.
43
Voluntary Protection Program (VPP)
Open to employees with tough, well-established safety programs. Once they meet OSHA criteria, they are removed from routine scheduled inspection lists. Serves to motivate employees to work more safely, reduce workers' compensation costs, and encourage further improvements to safety.
44
OSHA inspections
Focused on industries with higher hazard risks; mostly random. Some occur at the request of an employer or employee in an org.
45
health hazard evaluations
NIOSH inspections. Always occur in response to request of an employee, employer, or government agency.
46
When are OSHA inspections conducted?
Without notice by a Compliance Safety and Health Officer (CSHO).
47
imminent danger hazard - 1st priority in inspection
There is a reasonable certainty that immediate death or serious injury from existing workplace hazards will occur before normal enforcement procedures can take place.
48
catastrophes and fatal accidents hazard - 2nd priority in inspection
Employers must report fatal accidents or serious injuries resulting in the hospitalization of three or more employees within 8 hours. OSHA will inspect to determine whether any safety violations contributed to the accident.
49
complaints and referrals hazards - 3rd priority in inspection
employees may request inspections when they think violations exist that threaten physical harm; OSHA also investigates referrals about hazards from any other source.
50
programmed high hazards - fourth priority in an inspection
Based on statistical analysis, OSHA conducts planned inspections of industries or jobs that have high incident rates for death, injury, and illness
51
follow-up inspections - lowest priority for an inspection
CSHOs follow up on previously issued citations to ensure that the employer has taken action to correct violations.
52
procedures for OSHA inspection
1. CSHO arrives at worksite and presents credentials.
2. CSHO holds an opening conference during which the inspector explains why the site was selected, the purpose of the visit, scope of the inspection, and discusses the standards that apply to the worksite. CSHO requests an employee representative to accompany the inspection along with a management representative.
3. Tour the facilities. The inspector determines the route and who to talk to. The CSHO may talk privately to employees.
4. The inspector holds a closing conference where the inspector, employer, and if requested, employee representative discuss the observations made and corrective actions to be taken. At this time, the employer may produce records to assist in resolving corrective actions. The CSHO discusses possible citations or penalties.
5. The OSHA area director reviews the CSHO's report and makes final determinations on citations or penalties.
53
employer's affirmative defenses for OSHA violations
- An isolated case caused by unpreventable employee misconduct. This defense may apply when the employer has established, communicated, and enforced adequate work rules that were ignored by the employee.
- Compliance is impossible based on the nature of the work, and there are no viable alternative means of protection
- Compliance with the standard would cause a greater hazard to employees, and there is no alternative means of protection.
Burden of proof is on the employer
54
What if OSHA issues a citation?
- The employer must post it at or near the worksite involved, where it must remain for 3 days or until the violation has been abated, whichever is longer
- violation must be abated within the time frame specified on the citation
- employers may file a Notice of Contest within 15 days of the citation
- within 15 days, request an extension of the abatement period if the materials, equipment, or personnel aren't available to correct the violation.
55
NIOSH Evaluations
Has health hazard evaluations (HHEs) to evaluate potential workplace hazards and recommend actions to reduce or eliminate the effects of chemicals, biological agents, work stress, excessive noise, radiation, ergonomics, and other risks found in the workplace.
56
procedures for NIOSH inspections
1. Receive request for assistance/evaluation.
2. Write response acknowledging the request.
3. Review the request, and depending on the nature and severity of the hazard, may provide reference materials or a reference to another government agency, or may assign a project officer.
4. Once a project officer is assigned, the officer telephones the requestor to discuss the request. If the request can't be resolved in a phone call, a site visit occurs.
5. NIOSH gathers information, tours the site, meets with managers and employees, and reviews records.
6. NIOSH analyzes the data and compiles a written report that is provided to the employer, employee, and any union representatives.
57
NIOSH project officer rights
1. NIOSH has the right to enter the workplace to conduct an HHE.
2. NIOSH has the right to access relevant information and records maintained by the employer.
3. NIOSH has the right to meet privately with management and employees for confidential interviews.
4. An employee requestor or other employee representative has the right to accompany NIOSH during the evaluation inspection. NIOSH may also request participation from other employees.
5. Employee representatives have the right to attend opening and closing conferences.
6. Employees and managers have the right to participate in the investigation by wearing sampling devices and to take part in medical tests or use sampling devices.
7. The interim and final HHE report must be made available to employees.
58
Mine Safety and Health Act of 1977 (MSH Act)
Established the Mine Health and Safety Administration (MSHA) to ensure the safety of workers in coal and other mines. Establishes mandatory safety and health standards for mine operators and monitors operations through the US. MSHA publishes access to info on preventing accidents, fatalities, and mine specific hazards.
59
Needlestick Safety and Prevention Act of 2000
Enacted in response to public health issue of exposure to blood-borne pathogens by health-care workers subjected to accidental needlestick or sharps injuries. The act mandates that all needlestick and aharps injuries be recorded, requires involvement of front-line employees in finding safer devices to replace needles and sharps, and protects employees who have endured needlestick injuries.
60
environmental health hazards
physical, chemical, and biological hazards.
61
chemical health hazards
Every chemical present in the worksheet should have a material safety data sheet (MSDS) from the chemical manufacturer to provide info on how to prevent and how to treat an injury. The MSDS identifies the ingredients in the substance, how the substances reacts to changes in the atmosphere, and any explosive or flammable qualities. The MSDS tells employees whether the chemical is stable or unstable, what it can't com into contact with, and when it decomposes or degrades. It also provides information on how it can be absorbed into the body, what protective equipment is required, and whether or not it's carcinogenic.
62
teratogens
Chemicals that have a harmful effect on unborn children. Some employers, concerned about the health of the employee and her child, have developed policies to protect the fetus. These policies, though well-intentioned, violate the Pregnancy Discrimination Act.
63
Automobile Workers v. Johnson Controls, Inc.
Clear bias existed in a case where female employees were required to prove that they weren't capable of conceiving children in order to work in a high lead exposure area, which violated the PDA. Decisions about the welfare of the next generation must be left to the parents who conceive, bear, support, and raise them, rather than to the employers who hire them.
64
physical health hazards
Often easy to identify and remedy; ex - a large hole in the ground without any warning signs or barriers, or electrical cord or telephone wires not secured to the ground or a walk in freezer that can be opened from the inside.
65
ergonomics
science that addresses the way the physical environment is designed and how efficient and safe that design is for people in the environment
66
musculoskelatal disorders (MSDs) or repetitive stress injuries (RSIs) or cumulative trauma injuries (CTIs)
Can be caused bhy repeated stress to various parts of the body by poor ergonomic designs. Can include tendonitis, bursitis, and carpal tunnel. Account for 1/3 of workplace injuries each year.
67
job related stress
Type of physical injury. Stress related illnesses, such as allergies, heart disease, panic attacks, and other diseases affect productivity, as does burnout, which can be the result of long-term, unrelenting job stress. High levels of job stress can result in increased turnover, low morale, increased tardiness, reduced productivity, poor product quality, and increased job accidents.
68
stress
harmful physical and emotional responses that occur when the requiremens of the job do not match the capabilities, resources, or needs of the worker
69
biological health hazards
Can come from unsanitary food prep conditions, needlestick injuries, or jobs that involve handling first line emergencies (police, fireman, EMTs).
70
HIV/AIDS
Blood borne pathogen. Risk of transmission to workers is possible in the health care industry. Workers with HIV/AIDS are protected by ADA; as long as they're able to perform essential job functions, they are entitled to remain employed.
71
HBV
Hepatitis B is another blood borne pathogen posing risks to health care workers. Transmission chiefly occurs through accidental needle sticks. CDC recommends those at high risk of infection be vaccinated to prevent them from contracting the disease.
72
tuberculosis
Lung disease spread through the air. Those at higher risk for contracting TB are people who share the same breathing space as others with TB, such as coworkers or health care workers.
73
Severe Acute Respiratory Syndrome (SARS)
Transmitted person to person when an infected person coughs or sneezes. Preventing the spread of SARS in the workplace requires frequent handwashing and the use of common household cleaners to frequently clean surfaces.
74
H5N1 (Avian Flu)
A result of person-to-person transmission. Frequent handwashing is the best way to avoid infection.
75
pandemic
Create a plan to maintain essential functions if a large number of employees are absent from work. CDC encourages employers to prepare guidelines for minimizing face-to-face contact; secure vaccines to prevent outbreaks, modify sick leave policies to allow employees time to recover so they don't spread the disease; use telecommuting, flexible hours, and shift work to minimize contact, and establish knowledge-management programs to ensure business continuity during a health crisis.
76
general duty standard, section 5
Requires employers to provide jobs and a workplace environment that are free from recognized safety and health hazards that could potentially cause death or serious physical harm. The standard also requires employers to comply with all OSHA rules, regulations, and standards. Employees are required to comply with OSHA standards and rules that apply to their own conduct in the course of performing their duties.
77
Emergency Action Plans, 1910.38
Employers are required to have emergency action plans in place to inform employees of appropriate procedures to follow during a fire or evacuation. The plan must designate employees who will remain behind during an evacuation to maintain or shut down critical operations. Employers must also develop a process to account for all employees after an evacuation and identify those employees who are responsible for carrying out rescue and medical duties in the event of an emergency. Employers must provide training for employees when the plan is first developed, when new employees are hired, and when an employee is assigned new responsibilities for execution of the plan. The plan must identify the person responsible for maintaining it who can be contacted by employees when they have questions about the plan.
78
Fire Prevention Plans, 1910.39
An OSHA-required fire-prevention plan must describe the major fire hazards and appropriate procedures for handling and storing hazardous materials to prevent fires. The employer must develop and implement procedures to control the accumulation of flammable or combustible refuse and ensre that devices on heat-producing machinery designed to prevent ignition of fires are adequately maintained. Must also inform employees about any fire hazards they will face when first assigned to a new job and what actions they should take to protect themselves in the event of a fire.
79
Occupational Nose Exposure, 1910.95
This standard establishes permissible noise levels for the workplace, establishes measurement procedures, requires implementation of hearing-conservation programs when average nose levels reach 85 decibels or greater, and requires audiometric testing for employees who work in environments with noise at those levels. Audiometric test results indicating a hearing loss of 10 decibels must be reported on the OSHA form 300.
80
Personal Protective Equipment, 1910.132
OSHA established standards for personal protective equipment (PPE) to be used on jobs in which employees come in contact with hazardous materials, compressed gases, explosives, blasting agents, liquid petroleum, and ammonia. The standard requires PPE to protect the eyes and face, respiration, head, feet, and hands. IT also requires employers to provide gear that protects employees from electrical shocks and other injuries. The standard requires that PPE be provided, used, and maintained in working condition. Employers are required to train employees in the appropriate use of PPE and are responsible for ensuring that employee-owned equipment is adequately maintained for use in hazardous situations.
81
Sanitation, 1910.141
OSHA standard requiring that the workplace be clean to the extend that the type of work allows and sets forth specific guidelines for maintaining sanitary conditions.
82
Specifications for Accident Prevention Signs and Tags, 1910.145
OSHA has developed specifications for hazard signs and tags and requires that all workplace signs conform to the OSHA specifications. These specifications describe the colors to be used for different levels of warning, and in some cases, such as bio-hazard and slow-moving vehicle signs,(among others), provide specifications for size, color, and design of the sign. Red for danger, yellow for caution, orange for warning, and fluorescent orange and orange-red for bio hazards. Lettering or symbols on signs must be of a contrasting color to the background.
83
Permit-Required Confined Spaces, 1910.46
OSHA requires permits for employees to enter spaces that may become filled with a hazardous atmosphere that is immediately dangerous to life or health. The atmosphere in confined spaces must be tested prior to an employee's entrance into them, and other personnel are required to be in close proximity to the entrance to render assistance if needed. Employees who will be entering the space have the opportunity to observe the testing process if they desire to do so.
84
The Control of Hazardous Energy (Lockout/Tagout) 1910.147
Applies to machinery that may start unexpectedly when a guard or other safety device must be removed to perform a service or maintenance process and any part of an employee's body may be subjected to injury in the course of the process.
85
Medical Services and First Aid, 1910.151
OSHA requires that employers provide adequate first-aid supplies and either have medical personnel available or ensure that one or more workers are trained in first aid to assist injured employees in an emergency.
86
General Requirements for All Machines (Machine Guarding), 1910.212
OSHA requires that woodworking machines; cooperage machinery; abrasive wheel machinery; mills; power presses; forging machines; portable power tools; welding, cutting, and brazing tools; and tools for specific industries such as paper, textile, bakery, and sawmill, among others, use guards to protect employees from injury. These guards can be barrier-type guards, two-hand tripping devices, electronic safety devices, or other guards or devices that effectively prevent injuries.
87
Selection and Use of Electrical Work Practices, 1910.333
Employers must ensure that employees who work on or around electrical equipment or circuits are protected from injury that could result from direct or indirect contact with electrical currents.
88
Blood-Borne Pathogens, 1910.1030
Blood-borne pathogens are pathogenic microorganisms in human blood that can cause disease in humans. HBV and HIV are examples. Workers in the health-care industry are those most at risk for exposure, and OSHA regulations require employers take steps to prevent exposure, including a written exposure control plan that informs employees of preventative steps, post-exposure evaluation and follow-up, record keeping, and incident evaluation procedures.
89
Hazard Communication Standard (HCS), 1910.1200
The HCS requires employers to provide employees with information about physical and health hazards related to the use of any chemicals in the workplace. Employers must develop and maintain an ongoing written HCS plan that is updated as changes occur in the materials used int he workplace. The material safety data sheets (MSDS)s provided by chemical manufacturers provide sufficient info for communicating to and training employees.
90
Risks can be managed in one of four ways:
1. Mitigation - the company minimizes the risk
2. Acceptance - the company manages the risk if it occurs
3. Avoidance - the company eliminates the risk
4. Transfer - the company uses insurance to cover the risk.
91
Dealing with ADA Claims
1. Employee Requests an Accommodation - use an accommodation request form to guide the employee in providing the information needed to proceed with an interactive process. The form requests a description of the limitation and how it affects their ability to perform one or more essential job functions. It also requests their suggestions for accommodation that would allow them to perform the function.
2. Employee Obtains Physician Certification - Employees take the written accommodation request to their physician for review, along with a copy of their job descriptions, to obtain medical certification of the need for an accommodation. The request, job description, and certification are submitted to human resources when completed.
3. HR Obtains a Supervisor Response - HR and the Supervisor discuss the requested accommodation. The supervisor assesses whether the employee is performing essential job functions satisfactorily and whether the accommodation is reasonable. If needed, additional approvals are obtained from management.
4. HR Facilitates a Meeting with Employee and Supervisor - Once all necessary approvals have been obtained, HR engages the employee and supervisor in an interactive discussion of the request and response by management.
5. Management Review - Once an agreement has been reached (or not), management is made aware of the result. Particularity when the accommodation is denied, this is a critical step.
6. Employee Appeal Process
92
Blood-Borne Pathogens, 1910.1030
Blood-borne pathogens are pathogenic microorganisms in human blood that can cause disease in humans. HBV and HIV are examples. Workers in the health-care industry are those most at risk for exposure, and OSHA regulations require employers take steps to prevent exposure, including a written exposure control plan that informs employees of preventative steps, post-exposure evaluation and follow-up, record keeping, and incident evaluation procedures.
93
Hazard Communication Standard (HCS), 1910.1200
The HCS requires employers to provide employees with information about physical and health hazards related to the use of any chemicals in the workplace. Employers must develop and maintain an ongoing written HCS plan that is updated as changes occur in the materials used int he workplace. The material safety data sheets (MSDS)s provided by chemical manufacturers provide sufficient info for communicating to and training employees.
94
Risks can be managed in one of four ways:
1. Mitigation - the company minimizes the risk
2. Acceptance - the company manages the risk if it occurs
3. Avoidance - the company eliminates the risk
4. Transfer - the company uses insurance to cover the risk.
95
Dealing with ADA Claims
1. Employee Requests an Accommodation - use an accommodation request form to guide the employee in providing the information needed to proceed with an interactive process. The form requests a description of the limitation and how it affects their ability to perform one or more essential job functions. It also requests their suggestions for accommodation that would allow them to perform the function.
2. Employee Obtains Physician Certification - Employees take the written accommodation request to their physician for review, along with a copy of their job descriptions, to obtain medical certification of the need for an accommodation. The request, job description, and certification are submitted to human resources when completed.
3. HR Obtains a Supervisor Response - HR and the Supervisor discuss the requested accommodation. The supervisor assesses whether the employee is performing essential job functions satisfactorily and whether the accommodation is reasonable. If needed, additional approvals are obtained from management.
4. HR Facilitates a Meeting with Employee and Supervisor - Once all necessary approvals have been obtained, HR engages the employee and supervisor in an interactive discussion of the request and response by management.
5. Management Review - Once an agreement has been reached (or not), management is made aware of the result. Particularity when the accommodation is denied, this is a critical step.
6. Employee Appeal Process
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SOX Section 301
Requires the BOD audit committee to establish procedures to receive and address complaints regarding accounting practices, internal accounting controls, and auditing matters, including confidential or anonymous complaints submitted by employees. Methods for submitting anonymous complaints can include internet forms, a toll free number, contact to general counsel, or contact to the audit committee directly.
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SOX Section 401
Requires that financial statements for public companies include all material liabilities, obligations, or transactions that aren't reflected on the balance sheet. Could include potential lawsuit judgements or pending employee settlements.
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SOX Section 404
Requires organizations to review and test their internal controls for financial transactions. Includes employment offers conform to internal requirements for approvals and are consistent with established guidelines. Also the documentation of salary increases.
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SOX Section 406
Requires a code of ethics and regular training for key officers on its requirements.
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SOX Section 409
Requires orgs to report on an urgent basis material changes to financial condition. May include a lawsuit with a demand for significant damages.
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SOX Section 802
Provides criminal penalties for actions that obstruct or otherwise attempt to influence an investigation into allegations of fraudulent financial reporting practices.
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SOX Section 806
Whistle-blower protection; those who report questionable financial transactions are protected.
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safety
identifying possible hazards in the workplace and reducing the likelihood that an accident will happen by correcting the hazard.
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4 characteristics of effective safety and health-management plans
1. Senior management is committed to a safe work environment, and employees are involved in the decisions and activities to make it happen.
2. The company is engaged in an ongoing worksite analysis to identify potential safety and health hazards
3. The company has active hazard-prevention and control programs in place to correct hazards before injury or illness occurs
4. Safety and health training is an ongoing process in the company.
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fellow servant rule
common law doctrine absolved employers of responsibility if a coworkers actions contributed to an employees injury
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doctrine of contributory negligence
used to mitigate the employer's responsbility if the worker's actions contributed in any way to the injury
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voluntary assumption of risk
Workers who know the dangers of the job when they take it assume the associated risk, and the level of pay they accept reflect the amount of danger involved, so the employer has no responsibility when death or injury occurs.
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Federal Employee's Compensation Act (FECA) of 1916
Administered by the DOL and is the equivalent of worker's comp for federal employees, providing similar benefits for workers injured during the course of performing their jobs.
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Longshore and Harbor Workers' Compensation Act (LHWCA) of 1927
Provides worker's comp benefits for maritime workers whose injuries occur on the navigable waters of the US or on piers, docks, or terminals.
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Black Lung Benefits Act (BLBA) of 1969, amended in 1977
Provides benefits to coal miners who have been disabled by pneumoconiosis as a result of work in the mines. Benefits are also paid to surviving dependents if the miner dies from the disease.
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Energy Employees Occupational Illness Compensation Program Act (EEOICPA) of 2000
Created to provide compensation for employees and contractors of the Dept of Energy who were subjected to excessive radiation while producing and testing nuclear weapons.
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Safety Training Programs - OSHA guidelines
1. Analysis - Determine whether training is needed
2. Analysis - Identify the training needs.
3. Design - Develop the objectives for the training.
4. Develop the training.
5. Implement the training.
6. Evaluate the training.
7. Rinse and repeat - adjust the training based on the evaluation to improve effectiveness.
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internal controls for financial assets
Make cash and negotiable securities more difficult to mishandle. Separates job duties so that, for example, the person invoicing customers is not the same person opening the mail and handling bank deposits. Usually implemented by the CFO.
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intellectual property agreement (IPA) or nondisclosure agreement (NDA)
- should identify what the company considers to be confidential info (customer lists, financial info, trade secrets)
- list how the use of confidential info is limited
- explain how long the info must remain confidential after the agreement expires
- should state materials containing confidential info are the property of the company and may not be removed.
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workplace violence
Under OSHA's general duty clause, employers are required to be aware of employees exhibiting the signs of possible violent behavior and take steps to prevent its occurrence. Managers and supervisors should be trained in recognizing signs, so that employees having issues can be referred to EAP.
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6 Components of Effective Substance Abuse Program
1. Support for the substance-abuse policy from top management
2. A written policy clearly stating that substance abuse won't be tolerated in the workplace.
3. Training for managers and supervisors to ensure that they understand and can explain the policy, are able to recognize the signs of substance abuse, understand the importance of documenting poor performance, and know what steps to take when they become aware of a substance abuser.
4. Education programs for new hires and employees to inform them of the policy.
5. An EAP that provides confidential counseling for substance abusers as needed.
6. An ongoing, fair, and consistent drug-testing program that complies with federal, state, and local laws and union contracts. The program should identify who will be tested, when tests will occur, which drugs will be tested for, and what happens if the tests are positive.
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drug testing programs
Must be implemented in a fair and consistent manner. Types include pre-employment testing, random testing, scheduled testing, and reasonable suspicion testing.
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pre-employment drug testing
Lawful only after an offer of employment has been made. Before beginning a testing program, the employer must decide which applicants will be tested This decision may be based on the type of work done in different jobs; for example, a company may decide to test all employees who operate machiner. The test must be conducted fairly and consistently on all applicants for the designated job.
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random drug testing
Done on an arbitrary, unscheduled basis. To make the testing truly random and reduce the risk of legal challenges, employers may want to use a computer program that randomly selects employees. Should be implemented with legal counsel to avoid violating privacy rights.
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scheduled drug testing
Can be useful when monitoring rehab progress but limited value because employees who may be currently using are generally able to stop long enough before the test to clear their systems.
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reasonable-suspicion drug testing
Can be used any time there has been an accident in which an employee's actions contributed to the cause of the accident in the workplace or when a supervisor suspects, based on behavior, that an employee is under the influence.
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return to work (RTW) programs
Can reduce the risk of re-injury when an employee has had an absence due to an illness or injury. Answer the following questions when designing:
- What is the goal or objective of the RTW program?
- Who is eligible?
- Are there policy or procedure differences between a work related medical leave of absence (MLOA) and a non work related MLOA?
- What is the impact of an MLOA on employee compensation and benefits?
- Under what conditions will the organization accommodate modified work assignments that will allow employees to transition back to work before they have recovered completely?
- What are the employee's responsibilities with regard to their leave and RTW?
- What are the employer's responsibilities with regard to their leave and RTW?
- What are the responsibilities of the HR department with regard to the leave and RTW?
- What type of medical release does the organization require prior to accepting workers back on the job?
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types of RTW programs
modified duty assignments and reasonable accommodations
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modified duty assignment - RTW
Because many injured workers are willing and able to perform some but not all of the essential job duties, modifying specific tasks or functions may be necessary to allow an employee to return to work. May include eliminating essential functions or creating a short-term job for the employee until they're able to return to full duty. Short term option used for injured workers who are expected to be able to return to full duty. Only required for occupationally injured employees.
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reasonable accommodations - RTW
Similar to ADA; identify options such as reduced schedule, additional unpaid time, and reassignment to a vacant position for which the disabled individual is qualified for.
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independent medical exam (IME) or fit for duty exams
Effective tool to use to determine if an employee is capable of returning to work without causing harm to themselves or others. Allow for an impartial review of the employee's medical status. For employers, IMEs can help prevent fraud and deal with excessive extensions of time off due to lack of proper diagnosis or treatment. For employees, these are helpful when the employee doesn't agree with the doctor's findings.
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business continuity planning (BCP)
planning for the eventual risks that will disrupt business operations; results in a business continuity plan.
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business continuity plan
Written document used to describe possible disruptions to operations and actions taken to minimize those disruptions and assign responsibility for executing the plan. Includes other emergency plans like emergency response plan and disaster recovery plan.
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emergency response plan (ERP)
Describes how the org will react to different emergency situations or natural disasters if they occur. The OSHA emergency action plan becomes part of the ERP.
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disaster recovery plan (DRP)
Describes activities that take place once the initial response to the emergency is over. How to reestablish essential business operatoins. Must include compliance with SOX requirements for information safety.
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continuity of operations plan (COOP)
generally refers to plans created to move from the disaster-recovery phase, during which critical functions are maintained but normal operations may not be taking place, back to pre-emergency service operating levels.
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Electronic Communications Privacy Act of 1986 (ECPA)
Employers are prohibit to intercept electronic communications unless employees give consent or communication occurs during the normal course of business.
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reasonable expectation of privacy
Used in cases to determine whether workplace searches are legit. Is there a privacy policy in place? How has employer handled similar situations in the past? A legitimate business reason to conduct a search in combination with a clearly stated policy that the employer can demonstrate was communicated will help justify a search.
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Fraser v. Nationwide Mutual Insurance Company
If email is stored on a company server, and not intercepted during transmission, and the company has a reasonable need to conduct a search of email, a search of email does not violate the ECPA.
