Recordkeeping Workshop Courtney W Bohannon Jackson Area Office

Recordkeeping Workshop Courtney W. Bohannon Jackson Area Office

Learning Objectives v At the end of the training the participants should be able to: Ø Identify the employers and employees who are covered under OSHA’s Recordkeeping requirements. Ø Differentiate between medical treatment and first aid. Ø Complete the OSHA 300 Log.

Where are we today? • Federal Register Notice July 3 rd • Implement most of the rule on Jan. 1, 2002 • Take another look at: – Hearing loss criteria – MSD definition and column • Comment period ended September 4 th – Delay of effective date – Hearing loss criteria

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 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 Exemption • Employers 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

Activity #1: Recordkeeping Coverage

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.

Is this employer required to keep records? • 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.

Is this employer required to keep records? • 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.

Is this employer required to keep records? • Dental Office (SIC 8021) that employs 20 people. • No - partially exempt based on SIC

Is this employer required to keep records? • Temporary staffing firm (SIC 7663) that employs 30 people. • Yes - temporary service agencies with more than 10 employees must keep records.

Activity #2: Recordkeeping Coverage

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.

Is this person an employee for recordkeeping purposes? • Construction worker who is an independent contractor, was injured when building a new addition. • No - Independent contractors (in any industry) are not employees.

Is this person an employee for recordkeeping purposes? • 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.

Is this person an employee for recordkeeping purposes? • The company nurse received an injury while drawing blood as an unpaid volunteer for the Red Cross. • No - Unpaid volunteers are not employees.

Is this person an employee for recordkeeping purposes? • 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 Ø Ø Ø Ø Ø 1904. 4 1904. 5 1904. 6 1904. 7 1904. 8 1904. 9 1904. 10 1904. 11 1904. 12 1904. 29 Recording criteria Work-relatedness New case General recording criteria Needlesticks and sharps Medical removal Hearing loss Tuberculosis Musculoskeletal disorders Forms

1904. 4 – Recording Criteria • Covered employers must record each fatality, injury or illness that: ü Is work-related, and ü Is a new case, and ü Meets 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): ü Death ü Loss of consciousness ü Days away, days restricted or job transfer ü 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-workrelated 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 workrelated 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 workrelated

1904. 5 – Work at Home • Injuries and illnesses that occur while an employee is working at home are workrelated 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 • Definition and “MSD Illness Column” under further consideration • Delayed - record using the new rule - 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

To records or not record? • Medical glue was applied to close multiple lacerations. • Recordable

To records or not record? • Butterfly bandages were applied to multiple lacerations. • Not Recordable

To records or not record? • Applying non-prescription ointments on follow-up visits to prevent drying and cracking of skin. • Not Recordable

To records or not record? • Removal of an embedded foreign material from the eye. • Recordable

To records or not record? • Second or subsequent hot and cold soaks and use of whirlpool treatment. • Not Recordable

To records or not record? • Drilling a fingernail to drain the fluid and relieve the pressure. • Not Recordable

To records or not record? • One-time administration of oxygen for several minutes. • Recordable

To records or not record? • Following a chest X-Ray an employee was diagnosed with silicosis. • Recordable

To records or not record? • One time administration of prescription medication to alleviate minor discomfort. • Recordable

To records or not record? • Additional cleaning and application of antiseptic because the bandage became soiled. . • Not Recordable

To records or not record? • Medical removal as mandated by OSHA Standard due to Cadmium poisoning. • Recordable

To records or not record? • Employee injures back at work and has one chiropractic adjustment. • Recordable

To records or not record? • A brief loss of consciousness. • Recordable

To records or not record? • Following an x-ray of a rib for a fracture, x-ray indicates the rib is not broken. • Not Recordable

To records or not record? • Reaction to flu shot administered in -plant on a voluntary basis. • Not Recordable

To records or not record? • The injury is the result of choking on a sandwich from the employee’s brown bag lunch. • Not Recordable

To records or not record? • Needlestick from sharp object contaminated with potentially infectious material. • Recordable

To records or not record? • 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 300 A, 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. 29 – Privacy 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

1904. 29 – Privacy Protection – 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

1904. 29 – Privacy Protection • 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 D - Other Requirements • • • 1904. 30 1904. 31 1904. 32 1904. 33 1904. 34 1904. 35 1904. 36 1904. 37 1904. 38 Multiple business establishments Covered employees Annual summary Retention and updating Change of ownership Employee involvement Discrimination State plans Variances

1904. 30 – Multiple Business 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. 31 – Covered 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. 32 – Annual Summary • Review OSHA Form 300 for completeness and accuracy, correct deficiencies • Complete OSHA Form 300 A • Certify summary • Post summary

1904. 32 – Annual 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 300 A 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 workrelated 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 – Prohibition Against 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 workrelated 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 OSHA 300 & 300 A

Electronic Version of OSHA 300 & 300 A v If you would like a copy, e-mail me at: Ø bohannon. courtney@dol. gov Ø Type “e-300” in subject line

Activity #3: 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 3 rd 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).

Entering Information on the OSHA 300 Log • 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).

Entering Information on the OSHA 300 Log • 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.

Entering Information on the OSHA 300 Log • 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.

Entering Information on the OSHA 300 Log • 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)

Entering Information on the OSHA 300 Log • 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)

Entering Information on the OSHA 300 Log • 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

Entering Information on the OSHA 300 Log • 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.

Entering Information on the OSHA 300 Log • 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.

Entering Information on the OSHA 300 Log • 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.

Entering Information on the OSHA 300 Log • 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

Entering Information on the OSHA 300 Log • 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)}.

Entering Information on the OSHA 300 Log • 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)}.

Entering Information on the OSHA 300 Log • 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.

Entering Information on the OSHA 300 Log • 7/16/02 John Doe, Shop Foreman, had a diabetic incident that occurred while he was working. • Not Recordable {1904. 5(b)(2)(ii)}.

Entering Information on the OSHA 300 Log • 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)}

Entering Information on the OSHA 300 Log • 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).

Entering Information on the OSHA 300 Log • 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.

Entering Information on the OSHA 300 Log • 9/30/02 Loretta Lynn, Secretary to the President, received a 2 nd degree burn from a hair dryer used at work to dry her hair. • Not Recordable {1904. 5(b)(2)(vi).

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The End v Participants should now be able to: Ø Identify the employers and employees who are covered under OSHA’s Recordkeeping requirements. Ø Differentiate between medical treatment and first aid. Ø Complete the OSHA 300 Log.

Courtney W. Bohannon USDOL – OSHA Jackson Area Office 3780 I-55 North Suite 210 Jackson, MS 39211 -6323 601 -965 -4606 ext. 35 bohannon. courtney@dol. gov