Government inspections and audits can happen without warning. Whether it’s the Occupational Safety and Health Administration (OSHA), the Department of Labor (DOL), Immigration and Customs Enforcement (ICE), or another agency, employers must be prepared to respond lawfully and strategically. Mishandling an inspection can result in fines, reputational damage, and legal liability. Here's what employers should do when a government agency arrives for a worksite inspection or audit.
1. Stay Calm and Alert Key Personnel
The first step is to remain calm. Panic or hostility can escalate the situation and invite scrutiny. Designate in advance who on your team should respond to inspections—typically a manager, HR representative, or legal counsel. Notify that person immediately upon the arrival of an inspector or auditor.
2. Verify the Identity and Authority of the Agent
Ask to see official identification and credentials. Confirm the agency the person represents, their name, and the scope of their authority. Politely request a copy of any warrant, subpoena, or notice of inspection. If the inspector does not have a warrant and one is required, you may have the legal right to deny entry until one is obtained.Always involve experienced legal counsel at this stage.
3. Understand the Scope and Purpose
Clarify the nature of the inspection or audit:
- Is it random, complaint-based, or part of a targeted initiative?
- What records or areas of the workplace are they seeking to examine?
- Are they interviewing employees?
Document all details of the inspector’s request. If possible, request the scope in writing.
4. Accompany the Inspector
A company representative should accompany the inspector at all times while they are on-site. This helps you monitor what is being reviewed, photograph anything the inspector documents, and ensure they do not access areas beyond the scope of the inspection.
5. Know What They Can and Cannot Do
The limits of an agency’s authority depend on the agency and legal context. For example:
- OSHA: May inspect without a warrant under certain circumstances, but you can request one if you’re unsure.
- ICE (I-9 Audits): Must give at least three days’ notice before conducting a Form I-9 inspection, unless they have a subpoena or warrant.
- DOL: May inspect wage and hour records; employers must maintain and produce them upon request.
Consult an experienced attorney that understands the legal boundaries in these situations.
6. Protect Employee Rights
Inspectors may ask to interview employees. Employees generally have the right to choose whether to speak with inspectors and may request legal counsel. Employers should not coach employees or attempt to interfere, but can inform them of their rights.
7. Provide Only What is Required
Do not volunteer extra information or grant access to documents or areas not specifically requested or required. Keep a record of every document provided or copied. Avoid casual conversations that could be misinterpreted.
8. Document Everything
Maintain a detailed log of the inspection or audit, including:
- Arrival and departure times
- Names and titles of inspectors
- Questions asked
- Areas inspected
- Items requested or taken
This documentation can be crucial if the inspection leads to penalties or enforcement action.
9. Cooperate Without Over-Sharing
Be respectful and cooperative, but don’t overextend. An overly helpful attitude can unintentionally expand the scope of an inspection or result in sharing information that isn’t required. If in doubt, pause and consult legal counsel.
10. Follow Up
After the inspection, debrief internally and with legal counsel. If citations, notices, or follow-up requests are issued, respond promptly and in accordance with deadlines. Begin any necessary corrective actions and consider proactive compliance training or audits to prevent future issues.
Conclusion
Worksite inspections and audits are a reality for most employers. Being prepared, understanding your rights, and involving legal counsel early are essential to managing the process effectively and protecting your business. Establish a protocol before an inspection occurs, and train your management team accordingly.
This article is for informational purposes only and does not constitute legal advice. Employers should consult with legal counsel regarding their specific situation.