recordkeeping seminar courtney w. bohannon compliance assistance specialist jackson area office...

Recordkeeping Seminar

Courtney W. Bohannon

Compliance Assistance Specialist

Jackson Area Office

Safety & Health Add Value

Learning ObjectivesAt the end of the training the

participants should be able to: Identify the employers and

employees who are covered under OSHA’s Recordkeeping requirements.

Differentiate between medical treatment and first aid.

Complete the OSHA 300 Log.

Organization of the Rule

• Subpart A - Purpose

• Subpart B - Scope

• Subpart C - Forms and recording criteria

• Subpart D - Other requirements

• Subpart E - Reporting to the government

• Subpart F - Transition

• Subpart G - Definitions

Purpose (of the rule)• To require employers to record and report work-

related fatalities, injuries and illnesses– Note: Recording or reporting a work-related

injury, illness, or fatality does not mean the the employer or employee was at fault, an OSHA rule has been violated, or that the employee is eligible for workers’ compensation or other benefits.

• OSHA injury and illness recordkeeping and Workers’ Compensation are independent of each other.

Subpart B. Scope• 1904.1 – Small employer

partial exemptions.

• 1904.2 – Industry partial exemptions (see Appendix A to Subpart B for complete list).

• 1904.3 – Keeping records for other Federal agencies.

Partial ExemptionEmployers that are partially exempt from the recordkeeping requirements because of their size or industry must continue to comply with:

– 1904.39, reporting fatalities and multiple hospitalization incidents.

– 1904.41, annual OSHA injury and illness survey (if specifically requested to do so by OSHA).

– 1904.42, BLS annual survey (if specifically requested to do so by BLS).

1904.1 – Size Exemption

• If your company had 10 or fewer employees at all times during the last calendar year, you do not need to keep the injury and illness records unless surveyed by OSHA or BLS.

• The size exemption is based on the number of employees in the entire company.

• Include temporary employees who you supervised on a day to day basis in the count.

1904.2 Industry Exemption

• All industries in agriculture, construction, manufacturing, transportation, utilities and wholesale trade sectors are covered.

• In the retail and service sectors, some industries are partially exempt.

• Appendix A to Subpart B lists partially exempt industries.

1904.2 Newly Covered Industries

• 553 Auto and home supply stores

• 555 Boat Dealers• 556 Recreational vehicle dealers• 559 Automotive dealers not

elsewhere classified• 571 Home furniture and

furnishing stores• 572 Household appliance stores• 593 Used merchandise stores• 596 Nonstore retailers• 598 Fuel dealers• 651 Real estate operators and

lessors

• 655 Land subdividers and developers

• 721 Laundry, cleaning, and garment services

• 734 Services to dwellings and other buildings

• 735 Miscellaneous equipment rental and leasing

• 736 Personnel supply services• 833 Job training and vocational

rehabilitation services• 836 Residential care• 842 Arboreta and botanical or

zoological gardens

1904.2 Newly Exempted Industries

• 525 Hardware stores• 542 Meat and fish markets• 544 Candy, nut, and

confectionary stores• 545 Dairy products stores• 546 Retail bakeries• 549 Miscellaneous food

stores• 764 Reupholstery and

furniture repair• 791 Dance studios, schools,

and halls

• 792 Producers, orchestras, entertainers

• 793 Bowling centers• 801 Offices and clinics of medical

doctors• 802 Offices and clinics of dentists• 803 Offices of Osteopathic

Physicians• 804 Offices of other health care

practitioners• 807 Medical and dental

Laboratories• 809 Health and allied services,

NEC

Recordkeeping Coverage

Activity #1

Is this employer required to keep records?

• Employer has three construction establishments in SIC 1623. Site A employees 6 people; site B employees 2 & site C employs 1.

• No. Exempt due to size.


• Employer has three establishments. Site A is a construction establishment SIC (1623) located in tupelo & employees 6 people; site B is a warehouse (SIC 4223) located in Jackson & employees 2 & site C is a manufacturing operation located in Hattiesburg that employs 4.

Answer• Yes - Based on both SIC and size (size is

calculated based on the total number of employees in the firm) all 3 sites must keep records.

• If one or more of a company’s establishments are classified in a non-partially-exempt industry, the company must keep OSHA injury/illness records for all establishments unless exempt based on size under 1904.1.


• Employer has 2 grain elevators (SIC 4221) employing a total of 50 people and 1 health food store (SIC 5499) employing 20 people.

• Grain elevator must keep records; health food store does not have to keep records because of its SIC.


• Dental Office (SIC 8021) that employs 20 people.

• No - partially exempt based on SIC.


• Temporary staffing firm (SIC 7663) that employs 30 people.

• Yes - temporary service agencies with more than 10 employees must keep records.

Recordkeeping Coverage

Activity #2:

Is this person an employee for recordkeeping purposes?

• Temporary worker, supervised by employer, was injured when running a milling.

• Yes - temporary workers who are supervised by the employer are employees.


• Construction worker who is an independent contractor, was injured when building a new addition.

• No - independent contractors (in any industry) are not employees.


• The president of a corporation who was attending a meeting in another state, was injured from a fall that occurred during the meeting.

• Yes - corporation officers who receive payment for their services are considered employees.


• The company nurse received an injury while drawing blood as an unpaid volunteer for the red cross.

• No - unpaid volunteers are not employees.


• The self-employed owner of a company was injured.

• No - Self-employed persons, sole proprietors or partners are not employees.

Recording Criteria

Recordkeeping Forms and Recording Criteria

1904.4 Recording criteria 1904.5 Work-relatedness 1904.6 New case 1904.7 General recording criteria 1904.8 Needlesticks and sharps 1904.9 Medical removal 1904.10 Hearing loss 1904.11 Tuberculosis 1904.12 Musculoskeletal disorders 1904.29 Forms

1904.4 – Recording Criteria

• Covered employers must record each fatality, injury or illness that: Is work-related, and Is a new case, andMeets one or more of the

criteria contained in sections 1904.7 through 1904.12.

1904.5 – Work-Relatedness• A case is considered work-related if an event

or exposure in the work environment either caused or contributed to the resulting condition.

• A case is considered work-related if an event or exposure in the work environment significantly aggravated a pre-existing injury or illness.

• Work-relatedness is presumed for injuries and illnesses resulting from events or exposures occurring in the work environment.

1904.5 – Work Environment

• The work environment is defined as the establishment and other locations where one or more employees are working or present as a condition of employment.

• The work environment includes not only physical locations, but also the equipment or materials used by employees during the course of their work.

1904.5 – Significant Aggravation

• A pre-existing injury or illness is significantly aggravated when an event or exposure in the work environment results in any of the following (which otherwise would not have occurred): Death. Loss of consciousness. Days away, days restricted or job

transfer. Medical treatment.

1904.5 – Exceptions• Present as a member of the general public.

• Symptoms arising in work environment that are solely due to non-work-related event or exposure.

• Voluntary participation in wellness program, medical, fitness or recreational activity.

• Eating, drinking or preparing food or drink for personal consumption.

1904.5 – Exceptions• Personal tasks outside assigned working hours.• Personal grooming, self medication for non-work-

related condition, or intentionally self-inflicted.• Motor vehicle accident in parking lot/access road

during commute.• Common cold or flu.• Mental illness, unless employee voluntarily provides

a medical opinion from a physician or licensed health care professional (PLHCP) having appropriate qualifications and experience that affirms work relatedness.

1904.5 – Travel Status

• An injury or illness that occurs while an employee is on travel status is work-related if it occurred while the employee was engaged in work activities in the interest of the employer.

• Home away from home.• Detour for personal reasons is not

work-related.

1904.5 – Work at Home

• Injuries and illnesses that occur while an employee is working at home are work-related if they:

– occur while the employee is performing work for pay or compensation in the home, and

– are directly related to the performance of work rather than the general home environment.

1904.6 – New Case• A case is new if:

– The employee has not previously experienced a recordable injury or illness of the same type that affects the same part of the body; or

– The employee previously experienced a recordable injury or illness of the same type that affects the same part of the body, but had recovered completely and an event or exposure in the work environment caused the signs and symptoms to reappear.

1904.6 – New Case• If there is a medical opinion regarding

resolution of a case, the employer must follow that opinion.

• If an exposure triggers the recurrence, it is a new case (e.g., Asthma, rashes).

• If signs and symptoms recur even in the absence of exposure, it is not a new case (e.g., Silicosis, tuberculosis, asbestosis).

1904.7 – General Recording Criteria

• An injury or illness is recordable if it results in one or more of the following:– Death.– Days away from work.– Restricted work activity.– Transfer to another job.– Medical treatment beyond first aid.– Loss of consciousness.– Significant injury or illness diagnosed by a

PLHCP.

1904.7(b)(3) Days Away Cases

• Record if the case involves one or more days away from work.

• Check the box for days away cases and count the number of days.

• Do not include the day of injury/illness.

1904.7(b)(3)Days Away Cases

• Day counts (days away or days restricted):– Count the number of calendar days the

employee was unable to work (include weekend days, holidays, vacation days, etc.).

– Cap day count at 180 days away and/or days restricted.

– May stop day count if employee leaves company for a reason unrelated to the injury or illness.

– If a medical opinion exists, employer must follow that opinion.

1904.7(b)(4)Restricted Work Cases

• Record if the case involves one or more days of restricted work or job transfer.

• Check the box for restricted/transfer cases and count the number of days.

• Do not include the day of injury/illness.

1904.7(b)(4)Restricted Work

• Restricted work activity occurs when:– An employee is kept from performing

one or more routine functions (work activities the employee regularly performs at least once per week) of his or her job; or

– An employee is kept from working a full workday; or

– A PLHCP recommends either of the above.

1904.7(b)(4) – Job Transfer

• An injured or ill employee is assigned to a job other than his or her regular job for part of the day.

• A case is recordable if the injured or ill employee performs his or her routine job duties for part of a day and is assigned to another job for the rest of the day.

1904.7(b)(5)Medical Treatment

• Medical treatment is the management and care of a patient to combat disease or disorder.

• It does not include:

– Visits to a PLHCP solely for observation or counseling

– Diagnostic procedures

– First aid

1904.7(b)(5) – First Aid• Using nonprescription medication at

nonprescription strength.• Tetanus immunizations.• Cleaning, flushing, or soaking surface

wounds.• Wound coverings, butterfly bandages,

Steri-Strips.• Hot or cold therapy.• Non-rigid means of support.• Temporary immobilization device used to

transport accident victims.

1904.7(b)(5) – First Aid• Drilling of fingernail or toenail, draining fluid from

blister.• Eye patches.• Removing foreign bodies from eye using

irrigation or cotton swab.• Removing splinters or foreign material from

areas other than the eye by irrigation, tweezers, cotton swabs or other simple means.

• Finger guards.• Massages.• Drinking fluids for relief of heat stress.

1904.7(b)(6) Loss of Consciousness• All work-related

cases involving loss of consciousness must be recorded.

1904.8 – Bloodborne Pathogens

• Record all work-related needlesticks and cuts from sharp objects that are contaminated with another person’s blood or other potentially infectious material (includes human bodily fluids, tissues and organs; other materials infected with HIV or HBV such as laboratory cultures).

• Record splashes or other exposures to blood or other potentially infectious material if it results in diagnosis of a bloodborne disease or meets the general recording criteria.

1904.9 – Medical Removal

• If an employee is medically removed under the medical surveillance requirements of an OSHA standard, you must record the case.

• The case is recorded as either one involving days away from work or days of restricted work activity.

• If the case involves voluntary removal below the removal levels required by the standard, the case need not be recorded.

1904.10 – Hearing Loss

Under the new rule, the criteria will record 10-decibel shifts from the employee's initial hearing test when they also result in an overall hearing level of 25 decibels. The old criteria recorded 25-decibel shifts.

1904.11 - Tuberculosis

• Record a case where an employee is exposed to someone with a known case of active tuberculosis, and subsequently develops a TB infection

• A case is not recordable when:– The worker is living in a household with a person

who is diagnosed with active TB.– The public health department has identified the

worker as a contact of an individual with active TB.– A medical investigation shows the employee’s

infection was caused by exposure away from work.

1904.12 Musculoskeletal Disorders

No special recording criteria.

Activity #3: Recordkeeping

Coverage

To records or not record?

• Treatment limited to cleaning, soaking, applying antiseptic and bandaging a wound.

• Not Recordable.


• Medical glue was applied to close multiple lacerations.

• Recordable.


• Butterfly bandages were applied to multiple lacerations.

• Not Recordable.


• Applying non-prescription ointments on follow-up visits to prevent drying and cracking of skin.

• Not Recordable.


• Removal of an embedded foreign material from the eye.

• Recordable.


• Second or subsequent hot and cold soaks and use of whirlpool treatment.

• Not Recordable.


• Drilling a fingernail to drain the fluid and relieve the pressure.

• Not Recordable.


• One-time administration of oxygen for several minutes.

• Recordable.


• Following a chest X-Ray an employee was diagnosed with silicosis.

• Recordable.


• One time administration of prescription medication to alleviate minor discomfort.

• Recordable.


• Additional cleaning and application of antiseptic because the bandage became soiled.

• Not Recordable.


• Medical removal as mandated by OSHA Standard due to Cadmium poisoning.

• Recordable.


• Employee injures back at work and has one chiropractic adjustment.

• Recordable.


• A brief loss of consciousness.

• Recordable.


• Following an x-ray of a rib for a fracture, x-ray indicates the rib is not broken.

• Not Recordable.


• Reaction to flu shot administered in-plant on a voluntary basis.

• Not Recordable.


• The injury is the result of choking on a sandwich from the employee’s brown bag lunch.

• Not Recordable.


• Adding drops to eye in order to dilate pupils for diagnostic purposes.

• Not Recordable.


• Needlestick from sharp object contaminated with potentially infectious material.

• Recordable.


• Employee has work-related elbow pain and is given non-prescription pain medication at prescription strength.

• Recordable.

1904.29 - Forms

• OSHA Form 300, Log of Work-Related Injuries and Illnesses.

• OSHA Form 300A, Summary of Work-Related Injuries and Illnesses.

• OSHA Form 301, Injury and Illness Incident Report.

1904.29 - Forms

• Employers must enter each recordable case on the forms within 7 calendar days of receiving information that a recordable case occurred.

1904.29 - Forms

• An equivalent form has the same information, is as readable and understandable, and uses the same instructions as the OSHA form it replaces.

• Forms can be kept on a computer as long as they can be produced when they are needed (i.e., meet the access provisions of 1904.35 and 1904.40).

1904.29Privacy Protection

• Do not enter the name of an employee on the OSHA Form 300 for “privacy concern cases”.

• Enter “privacy case” in the name column.

• Keep a separate confidential list of the case numbers and employee names.


– An injury or illness to an intimate body part or reproductive system.

– An injury or illness resulting from sexual assault.

– Mental illness.– HIV infection, hepatitis, tuberculosis.– Needlestick and sharps injuries that are

contaminated with another person’s blood or other potentially infectious material.

– Employee voluntarily requests to keep name off for other illness cases.


• Employer may use discretion in describing the case if employee can be identified

• If you give the forms to people not authorized by the rule, you must remove the names first– Exceptions for:

• Auditor/consultant,

• Workers’ compensation or other insurance,

• Public health authority or law enforcement agency.

Subpart DOther Requirements

• 1904.30 Multiple business establishments• 1904.31 Covered employees• 1904.32 Annual summary• 1904.33 Retention and updating• 1904.34 Change of ownership• 1904.35 Employee involvement• 1904.36 Discrimination• 1904.37 State plans• 1904.38 Variances

1904.30 – MultipleBusiness Establishments• Keep a separate OSHA Form

300 for each establishment that is expected to be in operation for more than a year.

• May keep one OSHA Form 300 for all short-term establishments.

• Each employee must be linked with one establishment.

1904.31Covered Employees

• Employees on payroll.• Employees not on payroll who are

supervised on a day-to-day basis.• Exclude self-employed and partners.• Temporary help agencies should not

record the cases experienced by temp workers who are supervised by the using firm.

1904.32Annual Summary

• Review OSHA Form 300 for completeness and accuracy, correct deficiencies.

• Complete OSHA Form 300A.

• Certify summary.• Post summary.

1904.32Annual Summary

• A company executive must certify the summary:– An owner of the company.– An officer of the corporation.– The highest ranking company official

working at the establishment, or– His or her supervisor.

• Must post for 3 month period from February 1 to April 30 of the year following the year covered by the summary.

1904.33 Retention and Updating

• Retain forms for 5 years following the year that they cover.

• Update the OSHA Form 300 during that period.

• Do not need to update the OSHA Form 300A or OSHA Form 301.

1904.35 Employee Involvement• Must inform each employee of

how to report an injury or illness:– You must set up a way for

employees to report work-related injuries and illnesses promptly; and

– You must tell each employee how to report work-related injuries and illnesses to you.

1904.35 Employee Involvement

• Must provide limited access to injury and illness records to employees, former employees and their personal and authorized representatives:– Provide copy of OSHA Form 300 by end of next

business day.– Provide copy of OSHA Form 301 to employee,

former employee or personal representative by end of next business day.

– Provide copies of OSHA Form 301 to authorized representative within 7 calendar days. Provide only “Information about the case” section of form.

1904.36 – ProhibitionAgainst Discrimination• Section 11(c) of the Act prohibits you from

discriminating against an employee for reporting a work-related fatality, injury or illness.

• Section 11(c) also protects the employee who files a safety and health complaint, asks for access to the Part 1904 records, or otherwise exercises any rights afforded by the OSH Act.

1904.37 – State Plans

• State-Plan States must have the same requirements as Federal OSHA for determining which injuries and illnesses are recordable and how they are recorded.

• For other Part 1904 requirements, State-Plan requirements may be more stringent.

• 1952.4 has been modified to reflect these concepts.

Subpart E - Reporting Information to the Government

• 1904.39 Fatality and catastrophe reporting.

• 1904.40 Access for Government representatives.

• 1904.41 OSHA Survey.• 1904.42 BLS Survey.

1904.39 – Fatality/Catastrophe Reporting

• Report orally within 8 hours any work-related fatality or incident involving 3 or more in-patient hospitalizations.

• Must report fatal heart attacks.• Do not need to report highway or public

street motor vehicle accidents (outside of a construction work zone).

• Do not need to report commercial airplane, train, subway or bus accidents.

1904.40 – Providing Records to Government Representatives

• Must provide copies of the records within 4 business hours.

• Use the business hours of the establishment where the records are located.

Subpart F - Transition from the Former Rule

• Must post summary of OSHA Log 200 from February 1, 2002 to March 1, 2002.

• Must retain OSHA No. 200 and OSHA No. 101 forms for 5 years - you are not required to update these forms.

Electronic Version of The Recordkeeping

Forms

Activity #4: Entering Information

Entering Information on the OSHA 300 Log

• 1/4/02, Pat James, Electrician in Maintenance, was shot in the left shoulder by his ex-wife with a shotgun. Incident occurred on the 3rd shift. Pat was hospitalized and off work or 4 weeks, returning to full duty on 2/1/02.

• Recordable {1904.7(b)(3)}, Days Away, injury (27 days away).


• 1/9/02, Carrie Smith, Accounting Clerk. Slipped on ice in the parking lot while leaving work to attend a business meeting. Broke her ankle and was off until 2/6/02.

• Recordable {1904.7(b)(3)}, Days Away, Injury (27 days away).


• 1/23/02, Allen Ghouleah, Welder in Welding Department, developed flash burn in both eyes. Received prescription medication. No days away from work.

• Recordable {1904.7(b)(5)}, Other Recordable Cases, All other illnesses.


• 2/1/02, Shawn Hogal, Maintenance Supervisor in Maintenance Department working in the boiler room. Found unconscious in boiler. Sent to hospital where he died 2/3/02. Diagnosis was death due to carbon monoxide.

• Recordable, Death, Poisoning.


• 2/6/02, Shirley Bandan, Assembly Operator in Canning Department. Reported to her supervisor that she was experiencing a pain in both wrist. Plant nurse provided her with immobilizing wrist splints to use.

• Recordable, Other Recordable Cases, All Other Illnesses (MSD).


• 3/6/02, Bob Foglia, Shipping Department Forklift Operator. Broke his right large toe, when the forklift ran over his foot. Unable to walk but was able to drive the forklift. Had another employee do work for him which required walking for 4 days. No days away from work.

• Recordable, Job Restriction, Injury (4 days job restriction).


• 3/9/02, Marilyn Rose, Canning Machine Operator in Canning Department. Foreign object in right eye (not embedded). Doctor said she could return to work but Marilyn did not return for 2 days because of eye pain.

• Not Recordable.


• 3/11/02 Carrie Nation, Maintenance Department. Employee is designated first aid responder reported that she received a needle stick to the left hand while cleaning up the Canning Area contaminated with Mark Boulware’s blood after the EMS team removed Mark. There was a recommendation for medical treatment.

• Recordable, Other recordable cases, Injury-Privacy Case.


• 4/24/02 Bob Glapsey, Lead Trainer, Training department, was on a business trip to New Orleans and had completed his training session for the day. While relaxing in his hotel room, an earthquake shook the hotel and Bob sustained severe head injuries. Off work 1 month.

• Not Recordable.


• 5/13/02 Carrie Nation, Maintenance Department. Injury from 3/11/02 has resulted in seroconversion. Diagnosed with Hepatitis C.

• Not a new case, update the log to All Other Illnesses.


• 6/21/02 Cathy Withmore, Computer Operator in the Training Department, choked on a sandwich in the lunchroom. Hospitalized for 2 days.

• Not Recordable {1904.5(b)(2)(iv)}.


• 6/26/02 Linda Cronin, Registrar in the Training Department, tripped on chair leg in the lunchroom when running to get help for Cathy Withmore above. Broke first three toes on left foot, no lost time.

• Recordable {1904.5(b)(2)(iv)}, Other Recordable Cases, Injury.


• 6/28/02 Jane Blankenburg, Accounting Clerk, was shopping in the company store. Jane broke her ankle in a fall that required 2 weeks away from work.

• Not Recordable {1904.5(b)(2)(ii)}.


• 7/10/02 Merry Dean, a clerical worker, was injured while performing aerobics in a company gymnasium during her lunch hour. Off work for 3 days per doctor’s instructions.

• Not Recordable {1904.5(b)(2)(iii)}.


• 7/15/02 Valerie Gilmore, retired Boiler Room Supervisor (4 years ago), after working 40 years. She was diagnosed with work related asbestosis.

• Recordable, Other Recordable Cases, Respiratory Condition.


• 7/16/02 John Doe, Shop Foreman, had a diabetic incident that occurred while he was working.

• Not Recordable {1904.5(b)(2)(ii)}.


• 9/9/02 David Salem, Accounting Department, was at work when he decided to go to the bank across the street to get traveler’s checks for his vacation. While crossing the street, he was hit by a car and fractured his right leg.

• Not Recordable {1904.5(b)(2)(vii)}.


• 9/30/02 Leslie Mitchell, Accounting Department, was shot in left foot during a robbery attempt at the office and was off work until 10/15/02.

• Recordable, Days Away, Injury (14 Days away).


• 9/30/02 Mike Mills, a sales employee attending a company training session after working hours, slipped and fell in the hallway. Broke right knee. Returned to work on 10/02 with restricted work until 11/15.

• Recordable, Days Away, Injury (1 day away, 44 days restriction.


• 9/30/02 Loretta Lynn, Secretary to the President, received a 2nd degree burn from a hair dryer used at work to dry her hair.

• Not Recordable {1904.5(b)(2)(vi).

The EndParticipants should now be able to:

Identify the employers and employees who are covered under OSHA’s Recordkeeping requirements.

Differentiate between medical treatment and first aid.

Complete the OSHA 300 Log.

QUESTIONS ???

DISCLAIMERThis information has been developed by an OSHA Compliance Assistance Specialist and is intended to assist employers, workers, and others as they strive to improve workplace health and safety. While we attempt to thoroughly address recordkeeping, it is not possible to include discussion of everything necessary to ensure a healthy and safe working environment in a presentation of this nature. Thus, this information must be understood as a tool for addressing workplace hazards, rather than an exhaustive statement of an employer’s legal obligations, which are defined by statute,

DISCLAIMERregulations, and standards. Likewise, to the extent that this information references practices or procedures that may enhance health or safety, but which are not required by a statute, regulation, or standard, it cannot, and does not, create additional legal obligations. Finally, over time, OSHA may modify rules and interpretations in light of new technology, information, or circumstances; to keep apprised of such developments, or to review information on a wide range of occupational safety and health topics, you can visit OSHA’s website at www.osha.gov

Courtney W. Bohannon

USDOL – OSHAJackson Area Office

3780 I-55 North Suite 210Jackson, MS 39211-6323

601-965-4606 ext. 35

[email protected]

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