# Presentation: 099277

## Part 1904Recording and Reporting Occupational Injuries and Illnesses

- The New Recordkeeping Standard

- PRESENTED BY:	Joan M. Spencer	*Compliance Assistance Specialist **	**Tampa Area Office    813-626-1177**	*

## purpose

- require employers to record and report work-related fatalities, injuries and illnesses
- note: does not mean that the employer or employee was at fault, that an OSHA rule has been violated, or that the employee is eligible for workers' compensation or other benefits

## definitions

*Injury or illness* - an abnormal condition or disorder
*Physician or Other Licensed Health Care Professional** - *an individual whose legally permitted scope of practice (i.e., license, registration, or certification) allows him or her to independently perform, or be delegated the responsibility to perform, the activities described by this regulation

## definitions

*preexisting condition* - an injury or illness that resulted solely from a non-work-related event or exposure that occurred outside the work environment

## definitions

*Establishment** - *a single physical location where business is conducted or where services or industrial operations are performed. For activities where employees do not work at a single physical location, such as construction; transportation; communications, electric, gas and sanitary services; and similar operations, the establishment is represented by main or branch offices, terminals, stations, etc. that either supervise such activities or are the base from which personnel carry out these activities.

## definitions

- one business location can include two or more establishments
- each of the establishments represents a distinctly separate business
- each business is engaged in a different economic activity
- no one industry description in the Standard Industrial Classification Manual (1987) applies to the joint activities of the establishments
- separate reports are routinely prepared for each establishment on the number of employees, their wages and salaries, sales or receipts, and other business information

## definitions

- an establishment can include more than one physical location
- the employer operates the locations as a single business operation under common management
- the locations are all located in close proximity to each other
- the employer keeps one set of business records for the locations, such as records on the number of employees, their wages and salaries, sales or receipts, and other kinds of business information

## what’s the work environment?

- the establishment and other locations where one or more employees are working or are present as a condition of their employment
- also the equipment or materials used by the employee during the course of his or her works

## scope

- all employers covered by the occupational safety and health act (OSH act) are covered
- however, most employers, due to partial exemptions, do not have to keep OSHA injury and illness records unless OSHA or the bureau of labor statistics (BLS) informs them in writing

## exceptions

- ten (10) or fewer employees at all times during the last calendar year
- all employers covered by the OSH Act must report to OSHA any fatality or the hospitalization of three or more employees
- BLS or OSHA request

## exception implementation

- entire company

- is the partial exemption for size based on the size of the entire company or on the size of an individual business establishment?

## exceptions

- business establishment is classified in a specific low hazard retail, service, finance, insurance or real estate industry listed in Appendix A
- all employers covered by the OSH Act must report to OSHA any fatality or the hospitalization of three or more employees
- BLS

## keeping records for more than one agency

- OSHA will consider other government agency's injury and illness records if OSHA accepts the other agency's records under a MOU with the agency, or if the other agency's records contain the same information

## recordkeeping forms andrecording criteria

- must record each fatality, injury and illness that:
- is work-related; and
- is a new case; and
- meets one or more of the general recording criteria:
- death
- days away from work
- restricted work or transfer to another job
- medical treatment beyond first aid
- loss of consciousness
- a significant injury or illness diagnosed by a physician

## a "significant" diagnosed

- significant injuries for which neither medical treatment nor work restrictions may be recommended
- significant progressive diseases, such as byssinosis, silicosis, and some types of cancer, for which medical treatment or work restrictions may not be recommended at the time of diagnosis
- injuries that have no medical treatment

## recordkeeping forms andrecording criteria

**And**
**needlestick and sharps injuries**
**medical removal under OSHA standards**
**work-related tuberculosis cases**

## recordkeeping forms andrecording criteria

**What happened to **
**occupational hearing loss**
**and**
**work-related musculoskeletal disorders**

**?**

## guide to recordability

- Did the employee experience an injury or illness?

- Is the injury or illness work-related?

- Is the injury or illness a new case?

- Does the injury or illness meet the general recording criteria or the application to specific cases?

- Update the previously entered recorded injury or illness if necessary

- Record the injury or illness

- Do not record the injury or illness

**yes**

**yes**

**yes**

**yes**

**no**

**no**

**no**

**no**

## work-related

*must consider an injury or illness to be work-related if:*
- an event or exposure in the work environment either caused or contributed to the resulting condition or significantly aggravated a pre-existing injury or illness
- some exceptions

**Notes:**
How do I handle a case if it is not obvious whether the precipitating event or exposure occurred in the work environment or occurred away from work?
	In these situations, you must evaluate the employee's work 		duties and environment to decide whether or not one or more 	events or exposures in the work environment either caused or 	contributed to the resulting condition or significantly a		aggravated a pre-existing condition.

How do I know if an event or exposure in the work environment "significantly aggravated" a preexisting injury or illness?
	 A preexisting injury or illness has been significantly 		aggravated, for purposes of OSHA injury and illness 		recordkeeping, when an event or exposure in the work 		environment results in any of the following:

 	Death, Loss of consciousness, One or more days away from 	work, or days of restricted work, or days of job transfer, 		Medical treatment in a case where no medical treatment was 	needed for the injury or illness before the workplace event or 	exposure, or a change in medical treatment was necessitated by 	the workplace event or exposure.
An injury or illness is a preexisting condition if it resulted solely from a non-work-related event or exposure that occurred outside the work environment.

## significantly aggravated

- a preexisting injury or illness has been significantly aggravated, when an event or exposure in the work environment results in any of the following:
- death
- loss of consciousness
- one or more days away from work, or days of restricted work, or days of job transfer
- medical treatment in a case where no medical treatment was needed before the workplace event or exposure, or a change in medical treatment was necessitated by the workplace event or exposure.

## how do you handle a case if it is not obvious whether the precipitating event or exposure occurred in the work environment or occurred away from work?

- evaluate the employee's work duties and environment, decide whether or not the events or exposures in the work environment either caused or contributed to the resulting condition or significantly aggravated a pre-existing condition.

## situations where an injury or illness occurs in the work environment and is not considered work-related

- member of the general public
- signs or symptoms that surface at work
- voluntary participation in a wellness program or in a medical, fitness, or recreational activity such as blood donation, flu shot, exercise class, or baseball
- the result of personal grooming, self medication for a non-work-related condition, or is intentionally self-inflicted
- result of an employee doing personal tasks at the establishment outside of the employee's assigned working hours

## situations where an injury or illness occurs in the work environment and is not considered work-related

- the result of an employee eating, drinking, or preparing food or drink for personal consumption
*note:* food contaminated by workplace contaminants or gets food poisoning from food supplied
- caused by a motor vehicle accident and occurs on a company parking lot or company access road while the employee is commuting to or from work.
- the illness is the common cold or flu
- the illness is a mental illness unless the employee voluntarily provides the employer with an opinion

## travel status

*work-related if:*
- at the time of the injury or illness, the employee was engaged in work activities "in the interest” of the employer
- travel to and from customer contacts
- conducting job tasks
- entertaining or being entertained to transact, discuss, or promote business
*exceptions:*
- establishes a "home away from home”
- on a personal detour from a reasonably direct route of travel

**Notes:**
You must evaluate the employee's activities
            after he or she checks into the hotel, motel, or other
            temporary residence for their work-relatedness in the same
            manner as you evaluate the activities of a non-traveling
            employee. When the employee checks into the temporary
            residence, he or she is considered to have left the work
            environment. When the employee begins work each day, he or
            she re-enters the work environment. If the employee has
            established a "home away from home" and is reporting to a
            fixed worksite each day, you also do not consider injuries or
            illnesses work-related if they occur while the employee is
            commuting between the temporary residence and the job
            location.
  (

## home work

*work-related if:*
- employee is performing work for pay or compensation in the home
- the injury or illness is directly related to the performance of work
- _not_ recordable if injury or illness is related to the general home environment or setting

## determination of new cases

- had not previously experienced a recorded injury or illness of the same type that affects the same part of the body
- the employee previously experienced a recorded injury or illness of the same type that affected the same part of the body but had recovered completely

## determination of new cases

- When an employee experiences the signs or symptoms of a chronic work-related illness, do you need to consider each recurrence of signs or symptoms to be a new case?

***no***

***yes***

- When an employee experiences the signs or symptoms of an injury or illness as a result of an event or exposure in the workplace, such as an episode of occupational asthma, must you treat the episode as a new case?

**Notes:**
No, for occupational illnesses where the signs or symptoms may recur or continue in the absence of an exposure in the workplace, the case must only be recorded once. Examples may include occupational cancer, asbestosis, byssinosis and silicosis.

Yes, because the episode or recurrence was caused by an event or exposure in the workplace, the incident must be treated as a new case.

May I rely on a physician or other licensed health care professional to determine whether a case is a new case or a recurrence of an old case?
You are not required to seek the advice of a physician or other licensed health care professional. However, if you do seek such advice, you must follow the physician or other licensed health care professional's recommendation about whether the case is a new case or a recurrence. If you receive recommendations from two or more physicians or other licensed health care professionals, you must make a decision as to which recommendation is the most authoritative (best documented, best reasoned, or most authoritative), and record the case based upon that recommendation.

## recording days away

**record a work-related injury or illness that results in days away from work**
**enter the number of calendar days away from work including weekends, holidays, or other days the employee would not have worked **
**must enter an estimate of the days that the employee will be away, if unknown extended periods, update**

## recording days away

- begin count on the day after the injury occurred or the illness began
- record the number of calendar days away recommended by the physician or other licensed health care professional
- you may "cap" the total days away at 180 calendar days
- stop counting days if an employee retires or leaves the company
- extended cases into new year

## recording days away

- how do you record a case in which a worker is injured or becomes ill on a Friday and reports to work on a Monday, and was not scheduled to work on the weekend?
- how do you record a case in which a worker is injured or becomes ill before scheduled time off such as a holiday, a planned vacation, or a temporary plant closing?

- you need to record this case only if you receive information from a physician or other licensed health care professional indicating that the employee should not have worked, or should have performed only restricted work, during the weekend

## what’s a restricted day

- you keep or a physician (or other LHCP) recommends the employee from performing one or more of the routine functions of his or her job, or from working the full workday that he or she would otherwise have been scheduled to work
- for recordkeeping purposes, an employee's routine functions are those work activities the employee regularly performs at least once per week

## recording restricted days

**do not have to record restricted work or job transfers if the restriction or transfer is only for the day on which the injury occurred or the illness began**
**vague restrictions from a physician or LHCP**

## recording restricted days

- count days of job transfer or restriction in the same way you count days away from work
- if you permanently assign the injured or ill employee to a job that has been modified or permanently changed in a manner that eliminates the routine functions the employee was restricted from performing, you may stop the day count when the modification or change is made permanent
- you must count at least one day of restricted work or job transfer for such cases

## definition of medical treatment

- the management and care of a patient to combat disease or disorder
- does not include:
- visits to a physician or other licensed health care professional solely for observation or counseling
- diagnostic procedures, such as x-rays and blood tests, including the administration of prescription medications used solely for diagnostic purposes
- “first aid" as defined

## first aid

- using a nonprescription medication at nonprescription strength
- administering tetanus immunizations
- cleaning, flushing or soaking wounds on the surface of the skin;
- using wound coverings such as bandages, Band-AidsTM, gauze pads, etc.; or using butterfly bandages or Steri-StripsTM
- using hot or cold therapy
- using any non-rigid means of support, such as elastic bandages, wraps, non-rigid back belts, etc.

## first aid

- using temporary immobilization devices while transporting an accident victim
- drilling of a fingernail or toenail to relieve pressure, or draining fluid from a blister
- using eye patches
- removing foreign bodies from the eye using only irrigation or a cotton swab
- removing splinters or foreign material from areas other than the eye by irrigation, tweezers, cotton swabs or other simple means
- using finger guards
- using massages
- drinking fluids for relief of heat stress

- what if a physician or other licensed health care professional recommends medical treatment but the employee does not follow the recommendation?

- you must record the case

## forms

- must use OSHA 300, 300-A, and 301 forms, or equivalent forms
- OSHA 300 form - the Log of Work-Related Injuries and Illnesses
- OSHA 300-A form - the Summary of Work-Related Injuries and Illnesses
- OSHA 301 form - the Injury and Illness Incident Report

## OSHA 300

## OSHA 300A

## OSHA 301

## forms

- enter each recordable injury or illness on the OSHA 300 Log and 301 Incident Report within seven (7) calendar days of receiving information that a recordable injury or illness has occurred
- may keep information on computer if equivalent forms can be produced

## privacy concerns

- may not enter the employee's name on the OSHA 300 Log
- enter "privacy case" in the space normally used for the employee's name.
- must keep a separate,confidential list of the case numbers and employee names for your privacy concern cases
- complete list of all injuries and illnesses considered privacy concern cases

## privacy concerns

- an injury or illness to an intimate body part or the reproductive system
- an injury or illness resulting from a sexual assault
- mental illnesses
- HIV infection, hepatitis, or tuberculosis
- needlestick injuries and cuts from sharp objects that are contaminated with another person's blood or OPIM
- other illnesses, if the employee independently and voluntarily requests that his or her name not be entered on the log

## privacy concerns

- other identifiers
- you must enter enough information to identify the cause of the incident and the general severity of the injury or illness, but you do not need to include details of an intimate or private nature.
- must protect employee privacy if providing access to the OSHA Forms 300 and 301 to other persons

## multiple business establishments

- must keep a separate OSHA 300 Log for each establishment that is expected to be in operation for one year or longer
- may keep the records for all establishments at central location
- transmit information about the injuries and illnesses within seven (7) calendar days
- produce and send the records within the established time frames
- must link each of your transient employees with one of your establishments

- yes, however, you do not have to keep a separate OSHA 300 Log for each such establishment.

- do I need to keep OSHA injury and illness records for short-term establishments (i.e., establishments that will exist for less than a year)

## covered employees

- must record on the OSHA 300 Log the recordable injuries and illnesses of all employees on your payroll, whether they are labor, executive, hourly, salary, part-time, seasonal, or migrant workers
- must also record the recordable injuries and illnesses that occur to employees who are not on your payroll if you supervise these employees on a day-to-day basis

## covered employees

- if an employee in my establishment is a contractor's employee, must I record an injury or illness occurring to that employee?

- if the contractor's employee is under the day-to-day supervision of the contractor, the contractor is responsible for recording the injury or illness. If you supervise the contractor employee's work on a day-to-day basis, you must record the injury or illness

## annual summary

- review the OSHA 300 Log and verify that the entries are complete and accurate
- create an annual summary (OSHA 300A) of injuries and illnesses recorded on the OSHA 300 Log;
- company executive certifies the summary
- post the annual summary conspicuous place from February 1 until April 30

## annual summary

- equivalent form must also include the employee access and employer penalty statements found on the OSHA 300-A
- company executive who certifies the log must be:
- an owner
- an officer of the corporation
- the highest ranking company official working at the establishment
- the immediate supervisor of the highest ranking company official working at the establishment

## retention and updating

- must retain the OSHA 300 Log, the privacy case list, the annual summary, and the OSHA 301 Incident Report forms for five (5) years following the end of the calendar year that these records cover
- must update your stored OSHA 300 during the storage period
- not required to update the OSHA 300A annual summary or the OSHA 301 Incident Reports

## employee involvement

- employees and their representatives must be involved in the recordkeeping system
- must inform each employee of how he or she is to report an injury or illness promptly
- must provide limited access to employees or representatives
- Representatives include:
- authorized employee representative
- a designated "personal representative" of an employee or former employee
- the legal representative of a deceased or legally incapacitated employee or former employee

## employee involvement

- must give the employee, former employee, personal representative, or authorized employee representative a copy of the relevant OSHA 300 Log(s) by the end of the next business day
- cannot remove the names of the employees or any other information from the OSHA 300 Log before giving copies to an employee, former employee, or employee representative, but you may not record the employee's name on the OSHA 300 Log for certain "privacy concern cases”

## employee involvement

- a copy of the OSHA 301 must given by the end of the next business day to an employee, former employee, or personal representative
- copies of the establishment’s OSHA 301s must given within 7 calendar days to an authorized employee representative where the agent represents employees under a collective bargaining agreement
- only required to give the authorized employee representative information from the section titled "Tell us about the case," you must remove all other information

## employee involvement

- may not charge for the copies the first time they are provided
- may assess a reasonable charge for retrieving and copying the records when additional copies are requested
- Section 11(c) of the Act prohibits discriminating against an employee for reporting a work-related fatality, injury or illness, who files a safety and health complaint or asks for access to the Part 1904 records

## reporting fatalities and multiple hospitalization

- within eight (8) hours knowledge of the death of any employee from a work-related incident or the in-patient hospitalization of three or more employees as a result of a work-related incident
- by telephone or in person
- 1-800-321-OSHA (non-working hours)
- _do not_ need to report all motor vehicle accidents but must be recorded on records

## reporting fatalities and multiple hospitalization

- _do not_ to report a fatality or multiple hospitalization incident that occurs on a commercial or public transportation system
- _do_ report a fatality caused by a heart attack at work
- report a fatality or hospitalization that occurs within thirty (30) days of an incident

## providing records to government representatives

- must provide copies of the records within four (4) business hours - time zones
- the government representatives authorized to receive the records are:
- a representative of the Secretary of Labor conducting an inspection or investigation under the Act
- a representative of the Secretary of Health and Human Services (including the National Institute for Occupational Safety and Health - NIOSH) conducting an investigation
- a representative of a State agency responsible for administering a State plan

## annual OSHA injury and illness survey

- must fill it out and send it to OSHA or OSHA's designee, as stated on the survey form
- must report the following information for the year described on the form
- the number of workers you employed
- the number of hours worked by your employees
- the requested information from the records that you keep under Part 1904
- send the survey reports to OSHA, or OSHA's designee, within 30 calendar days, or by the date stated in the survey form, whichever is later

## requests from the Bureau of Labor Statistics

- must promptly complete the form and return it following the instructions contained on the survey form

## transition from the former rule

- OSHA 200 Logs in 2001 must post a 2001 annual summary from the OSHA 200 Log of occupational injuries and illnesses for each establishment
- must complete the summary by February 1, 2002
- must post a copy of the summary in each establishment in a conspicuous place from February 1, 2002 to March 1, 2002

## transition from the former rule

- must save your copies of the OSHA 200 and 101 forms for five years following the year to which they relate and continue to provide access to the data as though these forms were the OSHA 300 and 301 forms
- not required to update your old 200 and 101 forms

## Slide 64

## www.osha.gov1-800-321-OSHA

- end of presentation