Stop Work Authority (SWA) is the right of workers to stop unsafe work and processes until the potential hazard is thoroughly investigated and abated to the satisfaction of workers, the union and management. This publication is intended to help local unions win effective SWA processes in collective bargaining agreements with management.
A strong, participatory role for workers and local unions is essential for workplace safety and health. This includes the right of workers to pause or halt a task – or even stop a major operation or process – that they reasonably believe is unsafe or unhealthy. The right to stop unsafe work processes should continue until the hazard is thoroughly investigated and abated to the satisfaction of workers, the union and management. Workers must be able to exercise this right without fear of retaliation or discipline.
This right is called Stop Work Authority (SWA). SWA can save one’s own life and the lives of fellow workers. SWA, however, should never be the primary way to address hazards. Instead, the Hierarchy of Controls, illustrated below, should be applied to prevent or control hazards.
Stop work authority is an important administrative control and worker right that plays a key role among other, more effective strategies to prevent or control workplace hazards.
The hierarchy of controls approach shows us that SWA policies are not the USW’s top strategic choice to prevent hazards, but they are an important and potentially life-saving backstop if other steps fail.
SWA can be challenging to implement successfully. Once established, this process may require workers and union representatives to debate with – and sometimes come into conflict with – their supervisors, management and even co-workers. Management may try to retaliate against those who exercise this right. But, when other safety and health protections fail, a strong negotiated SWA policy offers workers and their representatives an essential right that may be critical to preventing injuries and saving health and lives. It gives workers and their representatives protection to do the correct and safe thing even when the pressure of getting the job done is pushing them to proceed with dangerous work that should not be done. When a worker is facing a poorly shored trench or a questionable confined space, handling poorly maintained equipment, given inadequate personal protective equipment, or working on a unit that might explode, a good SWA process allows workers to halt or stop the job or task, or even a major process or operation.
SWA is most effectively exercised by groups of workers engaged through their union rather than by individuals acting alone. Employer retaliation is much less likely when workers act together through their union.
SWA does not substitute for an employer’s legal duty under the federal Occupational Safety and Health Act (OSHA) to ensure a safe and healthy workplace. Employers must NOT use SWA policies to shift responsibility and blame workers for not stopping work. An effective SWA process in a collective bargaining agreement and in the employer’s written procedures should include a prohibition on blaming workers for failing to use this process.
SWA should be part of every employer’s written health and safety program and union collective bargaining agreement. Unions should bargain for strong SWA contract language and do this before members need to use it. Local unions should contact their USW’s district staff representative and the USW’s Health, Safety and Environment Department for assistance with SWA issues.
This publication explains what should be covered in an effective SWA process and collective bargaining agreements, offering guidance for health, safety, and environment committee members, local union leaders, and USW staff.
Neither the Occupational Safety and Health Act (OSH Act) nor the National Labor Relations Act (NLRA) offer as much protection as a strong SWA process won through collective bargaining.
Section 11(c) of the OSH Act prohibits discrimination against workers who exercise their legal rights to a safe workplace. Under this authority, OSHA has adopted regulations that provide workers the right to refuse imminently dangerous work, without fear of reprisal, until the condition can be investigated by OSHA using their standard enforcement mechanisms and, when necessary, resolved by the employer.
The NLRA also provides a limited legal right to employees to refuse unsafe work.
Yet neither the legal rights under OSHA nor those under the NLRA offer as strong of protections as SWA, which should be a collectively bargained policy that gives workers and their representatives the clear, contractual right to pause or halt a task, operation, or process until hazards are investigated and addressed. The SWA policy should include not only a right, but also a clearly communicated procedure for workers and their representatives to exercise their SWA.
While the OSH Act does not include SWA, some OSHA standards require employers to have a very limited form of SWA. These include standards for industries that use highly hazardous chemicals and for cranes and derricks in construction.
OSHA’s standard for Process Safety Management of Highly Hazardous Chemicals (PSM) covers many chemical plants, oil refineries, paper mills, and other facilities that involve using more than the specified quantities of highly hazardous chemicals. The federal PSM standard states that these employers must have procedures for Emergency shutdown, including the conditions under which emergency shutdown is required, and the assignment of shutdown responsibility to qualified operators to ensure that emergency shutdown is executed in a safe and timely manner.
OSHA’s standard for cranes and derricks in construction states;Whenever there is a concern as to safety, the operator must have the authority to stop and refuse to handle loads until a qualified person has determined that safety has been assured.”
OSHA’s PSM and crane standards, however, are not designed to empower workers acting through their union across the industry.
California OSHA implemented a new PSM standard for oil refineries in 2017 that authorizes all employees, including employees of contractors, to recommend to the operator in charge of a process unit that an operation or process be partially or completely shut-down, based on a process safety hazard. It also authorizes the qualified operator in charge of a process unit to partially or completely shut-down the operation or process, based on a process safety hazard, without having to obtain authorization from the refinery management (see Appendix II). But this standard applies only to California oil refineries.
Local unions should not wait for federal OSHA or state OSHA agencies to issue standards requiring SWA. They can achieve or improve SWA policies and procedures through collective bargaining.
The USW has won strong SWA processes in a number of local bargaining agreements. For example, an agreement at Chevron Phillips Chemical Company reads: “Work that has ceased due to Stop Work Authority/Shutdown shall not be resumed until all personnel safety aspects have been discussed with affected personnel and consensus to resume has been achieved.” The USW also successfully developed strong SWA processes, such as at Delaware City Refining in Delaware City, Delaware, as discussed in Part 2.
While there are few studies of SWA programs in the United States, it is clear that various employers already have these policies. BP reports that they “…empower anyone to stop a job if something doesn’t seem right.” The Southern Company’s SWA policy “…empowers employees and contractors to stop individual tasks or group operations when the control of health, safety, and environmental (HSE) risk is not clearly established or understood.” According to the American Petroleum Institute, the oil industry’s largest trade association, “API members support and have implemented ‘stop work authority programs’ and consider such policies a matter of their corporate safety cultures.” API even maintains – without offering evidence – that “All workers [in the oil industry] have stop work authority.”
Because there is no law mandating SWA, the SWA process is specific to an employer or workplace. The employer having a policy must not be a substitute for a negotiated SWA. The union negotiated SWA should be part of management’s safety and health written program. All levels of management, including first-line supervisors and top executives, should understand and support SWA and work with the union(s) to implement it. Having SWA in their collective bargaining agreements will allow unions to address situations where this support is lacking.
The American National Standards Institute/American Society of Safety Professionals Standard Z10-2019, Occupational Safety and Health Management Systems, is a national voluntary safety standard that may help management understand and adopt SWA. It includes a provision calling for company policies that ensure awareness among workers to:
The USW and other unions helped develop and approve this voluntary standard, along with corporations and trade associations, including Alcoa, Chevron, Nucor, Siemens, United Technologies, the American Chemistry Council, and the American Foundry Society.
This voluntary standard’s language is limited and is not a substitute for negotiating a comprehensive SWA policy. It may be useful, however, to cite employer support for this standard when pushing for and negotiating SWA at your workplace.
The Center for Chemical Process Safety of the American Institute of Chemical Engineers (CCPS) is funded by chemical and oil companies, and many of these companies have contract agreements with the USW. CCPS books on process safety state that:
The CCPS also states:
SWA decisions are typically made during upset conditions or emergencies in unforeseen, unknown, chaotic, and highly stressful circumstances when there is little or no time available for careful thought and decision-making. In some situations, such as when the process is already shut down by an incident, it’s too late to invoke SWA unless management wants to restart the process before problems have been corrected.
Also, the reality in many workplaces is that workers are extremely reluctant to pause or stop a job. This is especially true if it involves a major unit in an oil refinery, chemical plant, paper mill, or other type of operation with interconnected processes. The shutdown of such processes can sometimes be expensive, or perceived to be so, even if the incident it prevents could potentially cost far more in money, health and lives.
When workers are reluctant to use SWA, it is often for understandable reasons. These can include:
These challenges for workers who face decisions about stopping dangerous work are all the more reason for unions to negotiate safety and health programs with effective, clearly communicated SWA processes.
Under the National Labor Relations Act, health and safety is a mandatory subject of collective bargaining in private sector workplaces. Thus, at a unionized worksite, if either management or labor requests it in a collective bargaining process, the other side must bargain in good faith over safety and health issues, including SWA.
Local unions should consider negotiating with management a “Right to Act and Stop Work Authority Process.” As stated before, this is important because it takes the SWA from a policy that a worker may or may not know about or believe they have the authority to undertake, to an actual process that the worker, or group of workers and their union is empowered to start.
In 2021, USW representatives from Local 4-898 of District 4, their staff representative, the USW’s Health, Safety, and Environment Department, and management from Delaware City Refining Company worked together to improve their “Right to Act and Stop Work Authority Process.” Below is their Memorandum of Agreement from their collective efforts, as well as the text of SWA wallet cards distributed to the workforce:
The USW has won SWA language in collective bargaining with the standard steel industry that includes provisions for arbitration when the union and the employer disagree on SWA as to how a safe/unsafe issue is to be addressed and bring an issue to conclusion.
Below is the language from the master basic labor agreement with Cleveland Cliffs:
Section C.
The Right to Refuse Unsafe Work
3. If after the investigation it is determined that the condition existed, the employee will be made whole for any lost time in connection with the condition. If after the investigation the company does not agree that an unsafe condition exists, the union has the right to present a grievance in writing to the appropriate company representative and thereafter the employee shall continue to be relieved from duty on the job. The grievance will be presented without delay directly to an arbitrator, who will determine whether the employee acted in good faith in leaving the job and whether the unsafe condition was in fact present.
4. No employee who in good faith exercises his/her rights under this section will be disciplined.
5. If an arbitrator determines that an unsafe condition within the meaning of this section exists, s/he shall order that the condition be corrected and that the correction occur before the employee returns to work on the job in question and the employee shall be made whole for any lost earnings.
Across the USW, there are many other collective bargaining agreements with SWA language which the union continues to make improvements on.
Before bargaining for health and safety, use the four checklists in this section to help review your employer’s health and safety efforts and to develop SWA contract language proposals.
The written SWA process should include defined roles for individuals, including layers of management and safety and health committee(s). This process should also specify what general circumstances and specific situations could trigger the use of SWA rights.
Are there clearly defined roles for the following individuals at the site and corporate levels?
Contractor employees, union representatives, supervisors, health and safety professionals, etc. should also be covered by the SWA process.
The Occupational Safety and Health Act places legal responsibility on employers to “… furnish to each of his employees employment and a place of employment which are free from recognized hazards that are causing or are likely to cause death or serious physical harm…” But too often, employer written SWA policies say that employees and contractor employees have the authority, responsibility, and obligation [emphasis added] to use SWA if conditions warrant. This type of language must be avoided in negotiated SWA provisions to prevent employers from shifting responsibility and blaming workers.
While it is essential that workers and their union representatives have the right to use SWA without fear of consequences, management has the legal responsibility under the OSH Act to ensure workplace health and safety.
It is impossible, however, to specify in detail all circumstances when a SWA process could be used effectively.
SWA is a multi-step process that should include these nine steps:
1. Stop
2. Notify and Engage
3. Investigate
4. Correct and Verify
5. Consensus to Resume
6. Track and Assess
7. Provide Information and Training
8. Resolve Conflicts
9. Recognize SWA Use
For a SWA program to succeed, management must commit to and emphasize that there will be no retaliation for reporting hazards or exercising SWA – even if it is later found that a SWA action was unnecessary.
Appendix 1: USW Template for SWA
Appendix 2: SWA in 2017 California Oil Refinery Process Safety Rule (page 20)
Appendix 3: Lessons from U.S. Chemical Safety Board Investigations (pages 21 and 22)
Appendix 4: Letter from CSB Urging OSHA to Require SWA (page 23)
Appendix 5: Mine Safety and Health Act of 1997 (Mine Act) (page 23)
The USW’s HSE Department has five primary functions to build the union, protect health and safety and save lives:
USW Health, Safety & Environment Department
60 Boulevard of the Allies – Pittsburgh, PA 15222
(412) 562-2581
safety@usw.org
This publication focuses on bargaining for effective Stop Work Authority (SWA) processes. The content is appropriate for many industries and sectors of the USW. However, special considerations apply to mining, heath care and a few other sectors that may not be covered in this document. For specific questions about Stop Work Authority in these sectors, contact the USW HSE Department.
This publication complements the USW’s Looking for Trouble – A Comprehensive Union-Management Safety and Health System. We call that process “looking for trouble” – identifying and preventing trouble that can get workers injured, sickened, or killed. Trouble comes in many forms, from machinery that can crush an arm, to dusts that can ignite, to awkward repetitive tasks that can cripple over time, to chemicals that can cause poisoning today or death from cancer 20 years later. Looking for such trouble, and eliminating it, is the goal of this system.
For information on the right to refuse unsafe work and addressing management retaliation for health and safety activity, see Stand Up Without Fear: Understanding the OSH Act’s Retaliation Provisions by the OSH Law Project (2020).
This publication is dedicated to the late Gerard Borne of United Steelworkers (USW) Local 13-750. Brother Borne led efforts with USW Local 13-750 and site management to develop the stop work authority process at Shell’s oil refinery and chemical plant in Norco, Louisiana. Those efforts inspired this publication.
Bargaining for Stop Work Authority to Prevent Injuries and Save Lives was written by USW Health, Safety and Environment Director Steve Sallman, and Rick Engler, a former member of the U.S. Chemical Safety and Hazard Investigation Board (CSB).
The viewpoints herein are the opinion of the United Steelworkers and reflect no official support or endorsement by the U.S. Chemical Safety and Hazard Investigation Board.
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