OSHA Recordkeeping for Occupational Injuries and Illnesses

1. OSHA Recordkeeping for Occupational Injuries and Illnesses … a Practical Overview and Application of the New Revised Standard

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4. History of the Regulations • Original regulations completed 1971 • Proposed changes announced in 2/96(“The Revision of the Injury & Illness Recordkeeping System”) • Revision announced 1/18/01 • Final rule in CFR 1/19/01 • Revisions and clarifications 7/3/01 [FR Notice] • Final rule effective 1/1/02

5. Purpose and Intent of the Standard • To record/ report occupational fatalities, injuries, & illnesses. • Aid employers with recognizing workplace hazards & correcting hazardous conditions • Allow OSHA to track safety trends • Does not indicate fault, • Or OSHA violated standard, • Or injury is WC compensable

6. Why Were New Regulations Necessary? • Process simplification • New issues to track • Current form complex, difficult to understand • Current guidelines too long • Too many interpretations • Reflect more accuracy with lost time

7. Occupational Injuries & Illnesses • OSHA 2001 Revision within 29 CFR 1904 outlines employers’ responsibilities for recording and reporting work-related injuries and illnesses • Exemptions (determined by SIC code)

8. Who is Exempt from New Rules? • Employers < 10 employees at all times during the year. • Certain low hazard retail, service, financial, insurance, or real estate SICs. (See List) • http://www.osha-slc.gov/recordkeeping/RKbrochure.html • If injury records already maintained for another federal agency, (e.g., MSHA) • Self employed businesses NOTE- Temporary Staffing - If you supervise day to day, cases go on your log! • Determine in your contract

9. Employer/Employee Relationship • Who provides day-to day-supervision? • Who specifies output, product, or result to be accomplished? • Who supervises details, means, methods, and processes by which work is accomplished?

10. What Information is to be Recorded? • Within 7 days, each fatality, injury or illness that: • Is work related and, • Is a new case and, • Meets one or more of the recording criteria. • DEATH or MULTIPLE (3 or more) HOSPITALIZATIONS • (report to OSHA within 8 hours) • DAYS AWAY FROM WORK • RESTRICTED WORK OR TRANSFER • MEDICAL TREATMENT BEYOND FIRST AID • LOSS OF CONSCIOUSNESS • ILLNESS or INJURY DIAGNOSED BY A PHYSICIAN

11. Recording Criteria • Covered employers to record fatality, injuries or illnesses as defined.. • Must be work related, or • A “new” case, or • Meets 1904.7 - .12 criteria

12. Recording Criteria (Decision Tree) NO Did the employee experience an injury or illness? YES NO Is the injury or illness work related? YES Update the previously recorded injury or illness entry if necessary Is the injury or illness a new case? YES Does the injury or illness meet the general recording criteria or the application to specific cases? NO YES Record the injury or illness Do not record the Injury or illness

13. What Records Must Be Kept? • Injury & Illness Log (300) & Summary(300A) • Form 301 (unless state form has same criteria) • Form 300A must be posted (except for employee name) 2/1- 4/30 • Both forms (300/300A) must be signed by responsible company official • Accountable for certifying accuracy and completeness of the Log & Summary • Owner, officer, highest ranking company official or immediate supervisor of highest ranking official of company • All columns year end totals (includes zeros)

14. The 300A Form • This form must be posted each February 1- April 30 • Update as needed for 5 years, following the end of the year to which they relate • Changes reporting of fatalities and catastrophes to exclude some motor carrier and motor vehicle incidents • OSHA allows all recordkeeping forms and summaries to be kept on computer equipment or at alternate location

15. Form 300A Summary Information • # Cases • [Deaths, LWD’s, Job transfer/ restriction, other recordables and medical incidents] • # Days • Job transfer or restriction, # days away from work • # Injuries/ Illnesses by Types [Columns M 1-7] • Establishment Information • Name and address • Industry description and SIC code • Employment information • Annual average # of employees & total hours worked by all employees

16. OSHA Form 301 • Injury and Illness Incident Record • Required for each entry on log • Other forms (WC, insurance) may be substituted if they contain similar information • Must be completed within seven (7) days of employer receiving notice of the injury or illness • Must be kept for five (5) years following end of calendar year

17. Updating to Stay Current • During retention period, employers must revise form 300 to include newly discovered information or changes to previously recorded injuries and illnesses • If description or outcome changes, remove original entry and enter new data • Avoid “white out or erasing entries… line out • Employers must revise form 300 at least quarterly if changes have occurred • Retain for 5 years following covered year

18. Determining Work Relatedness • If event/ exposure [in the work environment] • caused or contributed to the resulting condition or • significantly aggravated a pre-existing injury or illness. • Work Environmentis defined as... • “the establishment [and other locations] where one or more employees are working or are present as a condition of employment. Includes the equipment or materials used by the employee in the course of his or her work.”

19. What is “Significantly Aggravated”? • A pre-existing injury or illness is Significantly aggravated if it results in • DEATH • LOSS OF CONSCIOUSNESS • ONE OR MORE DAYS AWAY FORM WORK • MEDICAL TREATMENT

20. Determining Work Relatedness; Company Ball Fields • Company recreational facilities are not considered part of the employer’s premises. The presumption of work relationship for these activities does not apply, unless the employer has required their use. • However, employees engaged in work-related activities at these locations are covered • Attendants or specialists working at the recreational facility employed by that facility

21. Company Parking Lots • Company parking lots are considered part of the employer’s premises; hence, injuries on these lots are presumed to be work related. • Employees engaged in work-related activities on parking lots (such as resurfacing commencing on a business trip, etc.) are covered.

22. Travel Status • Coverage includes only those activities necessary for the business trip. • Normal living activities are excluded • Not related when on a “personal Detour” • Hotel as a “home away from home” • Left work environment when checked in • Employee is considered “on the clock” until reaching their “home away from home” • Detour, for personal reasons, is not work related

23. Determining Work Relatedness: Telecommuting from Home • An injury or illness is work related if it occurs while the employee is performing work for pay at the home AND it is directly related to performance of the work rather than to the general home environment or setting.

24. What is a “New” Injury or Case? • No previously recorded injury or illness of the same type and part of body, OR... • A previously recorded injury or illness of the same type/body part, but recovered* completely and a “new” workplace event caused them to reappear. *(all signs/ symptoms had disappeared)

25. What is “First Aid”? • One-time treatment (+ follow-up observation) of minor scratches, cuts, burns, splinters, etc., which don’t require medical care • OSHA does not require recordkeeping for first aid treatments as defined in the standard

26. What is Considered 1st Aid? • Treatments [A-N] are considered First Aid, even if administered by a physician/ HCP... • A) use of a non prescription medication • B) Tetanus immunizations • C) Cleaning, flushing or soaking wounds on the skin • D) Using wound coverings I.E..... • E) Hot or Cold Therapy • F) Non rigid support (ace bandages) • G) Temporary immobilization devises

27. What is 1st Aid? (cont.) • H) Drilling of a finger / toe nail to relieve pressure • I) Eye Patches • J) Irrigating FO from eye with water or cotton • K) Removing splinters by irrigation tweezers cotton etc • L) Using finger guards • M) Using massages • N) Drinking fluids for heat stress • Most other remedies are considered “medical” treatment and must be recorded!

28. Needle Sticks/ Sharps Incident Recording • Record all which might have Bloodborne pathogen potential as an injury case • Must use the privacy provision • If splashed with blood but not cut, record as an illness case

29. Site Controlling Employer • SIC codes 15, 16, 17 must have a Site Controlling Employer (SCE) • Employer with control over performance, timing, or coordination of work • Initial total contract value $1,000,000+ • Employer retaining another employer (general contractor) • Employer with managerial or supervisory authority (manager)

30. Site Controlling Employer/ SCE (continued) • Required to keep a separate OSHA 300 form for each establishment expected in operation over 1 year • May keep one OSHA 300 form for all establishments (short term duration) • Each worker must be linked with an establishment.

31. Site Controlling Employer/ SCE (continued) • SCE: • Must keep subcontractor records • Must keep separate records for subcontractor employees if there are 11 or more • Employer of subcontractor employee: • Must complete OSHA Form 301 • Must prepare year-end summary • Must update injury/illness records Most often, however, subcontractors will be responsible for their own records as long as they fall under the criteria listed within the scope of this standard

32. Recording a “Fatality” • Check the box in the column for “Deaths” (G) • Report to OSHA within 8 hours of incident • If OSHA office is closed, call 800- 321-OSHA • Check the injury column or choose the type of illness (M)

33. Recording a “Medical Treatment” Case • Check the column under “Remained at work - Other Recordable cases” (J) • Check the injury column or choose the type of injury (M) • Medical treatment is the management and care of a patient to combat disease or a disorder.

34. Days Away From Work • A “days away from work” case may mean the employee: • Cannot work due to injury or illness • Is placed on restricted duty or assigned to another job temporarily • Note that OSHA 300 entry is under separate column from “days away from work” • Cannot work full-time • Cannot perform all duties on his/her permanent job

35. Days Away From Work (continued) • Do NOT count as days away from work: • The initial day of injury or illness • DO count days the employee would not normally work including vacation, holidays, weekends, etc. IF they weren’t able to do so • If an injured worker takes vacation during the disability period, that time counts as lost time • Disability management planning STILL vital!

36. Days Away From Work (continued) • Day count ceases if employee is terminated for reasons unrelated to injury/illness • Work schedules cannot be manipulated to avoid lost time accumulation • Extended cases defined as “180 or >” • If treating HC provider diagnoses 2 weeks L.T., and worker recovers sooner, signed verification from provider needed to stop count of LT days. • Update the log if you go over year end • Keep for 5 years

37. Recording a Lost Time (LWD) Case • Check the box under the column for “Days Away From Work ” (H) • Check the injury column or choose the type of injury (M) • Enter the number of days away from work in column (L) • Can be estimated for a long absence and updated when actual number is known • Must count all calendar days including weekends, holidays, vacations days etc. regardless of the employees work schedule.

38. Recording a Job Transfer or Restricted Case • Restricted work activity occurs when • an employee is kept from performing one or more routine functions of the job or • an employee is kept from working a full day • Check the column under “Remained at work” - “Job Transfer or Restriction” (I) • Check the injury column or choose the type of injury (M) • Enter the number of days in column (K) • Job Transfers must involve change in duties and tasks for portion of workday

39. Cases of Medical “Removal” • Under some OSHA’s standards, cases are recordable for “medical removal” • e.g.,... Lead, cadmium, methylene chloride, formaldehyde, benzene, etc. • “Poisoning” (M5) if result of a workplace chemical exposure; other illnesses include • (2) MSD - On hold until 1/1/2003 • (3) Skin Disorders • (4) Respiratory Conditions • (5) Poisoning • (6) Hearing Loss - On hold until 1/1/2003 • (7) All others illnesses

40. Who Keeps The Records? • Employers for each “establishment” must keep all records • An “establishment” is a single physical location in operation for 1 year or more, where business, services, or industrial operations are performed • Does not include parking lots unless work was being performed there at time of injury • Two distinct operations at one location are treated as separate establishments

41. Where Should Records Be Kept? • Records are kept at the establishment where the employee works: • If working offsite, keep records at establishment where they report to work • If injured at another establishment within the company, keep records where the injury/illness took place • If the employee does not report to a regular worksite, keep records at transient worksite or an established central location

42. Where Should Records be Kept? (continued) • Log may be kept at an alternate location or by data processing means, as long as: • Alternate location receives information to fill out log within seven (7) days • Copy of updated log is present at the establishment • Employee receives a copy from employer if s/he does not report to or work at a single establishment

43. Access to Records • Government representatives must be given access to Forms 300 and 301 • If request is made in person, information must be provided in hard copy within four (4) hours • If request is made in writing, information must be provided within 21 days • Forms 300 and 301 must also be made available to employees upon request • If employee (or authorized rep) requests form # 300, names must be left on • Generally, only 301 is given to employees or representatives

44. Changes to Employer Requirements • Establish procedure for employees to report injuries and illnesses • Prohibited from discriminating against employees who report injuries & Illnesses • With change of ownership, seller must turn over OSHA records to buyer

45. Changes to Employee Rights • Gives employees and their reps. access to portions of Form 301 relevant to the employee they represent • Requires employers to remove employees’ names before providing data to persons not provided access under the rule • Privacy rights • Prohibits individual employee’s name on Form 300 for certain types of injuries/illnesses Sexual assaults, HIV infections, Mental illness

46. Annual Summary • Must be verified for accuracy and updated • Must be certified by a company official • Must be posted (300A) each 2/1-4/30

47. Tuberculosis • Cases recordable when employee is exposed to known active TB source and • That employee subsequently contracts the TB infection.