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This webinar qualifies for Recertification Points. Holders of CSP and related BCSP certificates may earn 0.15 Recertification Points for attending this webinar. Other certificate holders qualify for continuing education points according to their certifying agency guidelines.

Presented by: Phil Molé EHS Expert

VelocityEHS

OSHA Injury and Illness Recordkeeping: How to Tell Whether an Incident Is Recordable and Reportable

Thursday, March 30, 2017 1:30 p.m. to 3:00 p.m. Eastern

12:30 p.m. to 2:00 p.m. Central 10:30 a.m. to 12:00 p.m. Pacific

OSHA Injury and Illness Recordkeeping: How to Tell Whether an Incident Is Recordable and Reportable

Presented by:

Phil MoléEHS Expert

VelocityEHS

March 30, 2017

© Copyright 2017, VelocityEHS. Do not distribute without authorized consent.

PRESENTATION GOALS• Review Recordkeeping Rule and activity surrounding it

• Provide breakdown of OSHA Forms 300,301 and 300A — backbones of the Rule

• Explain OSHA's definition of recordable criteria

• Identify recordable/ non-recordable cases

• Discuss steps to ensure compliance/ best practices


RECORDKEEPING RULEWhat Is It?


WHAT IS RECORDKEEPING?• An OSHA regulation


A.K.A…


INCIDENT MANAGEMENT

RECORDKEEPING STANDARD

INJURY AND ILLNESS RECORDKEEPINGRECORDKEEPING RULE

29 CFR 1904

300 301300A

THE LOG

THE SUMMARY THE REPORTRKPG

INCIDENT REPORTING RULE

OSHA RECORDKEEPING


WHAT IS RECORDKEEPING?• An OSHA regulation

– First issued in 1971

• Born from the OSH Act of 1970– Requires employers to provide safe and healthful workplaces– OSH Act covers 8 million worksites– Requires subset of employers to prepare and maintain records of

occupational injuries and illnesses

• Recordkeeping Rule coverage– Currently requires ~ 750,000 employers with roughly 1.5 million

establishments to maintain injury and illness records – However, employers for all OSH-Act covered worksites must report

occupational fatalities or hospitalizations – more on that later


OSHA’s Recordkeeping Rule

Workers’ Compensation Law

WHAT THE RULE IS NOT

According to Section 1904.0 of the Standard, having an OSHA Recordable Incident does NOT necessarily mean:

• An employer was at fault

• An OSHA Rule has been violated

• An employee is eligible for Workers’ Compensation


WHO’S COVERED• Employers with 11 or more employees

in the company at any time during the calendar year, unless included on OSHA’s Partially Exempt list

– Headcount includes full-time, part-time,temporary and seasonal employees

• Partially Exempt Determination– 10 or fewer employees, or– Low hazard industries: E.g., Retail, Finance and Insurance

• List is available in Appendix A of Subpart B

• ALL employers MUST report incidents that result in: – Fatality– Hospitalization of 1 or more employees– Amputation/Loss of Eye

Partially Exempt Industries may still need to record at the request of OSHA or BLS


WHY RECORDKEEPING IS IMPORTANT• OSHA

– Inspection targeting – Measure performance – Standards development– Resource allocation– Voluntary Protection Program (VPP) eligibility– “Low-hazard" industry exemptions

• Employers & Employees– To identify, assess and correct hazards

• Compliance Officers– To analyze an establishment’s safety and health environment

• OSHA Data Initiative (ODI) / Bureau of Labor Statistics Survey of Occupational Injuries and Illnesses (SOII)

– Serves as an information source for these surveys


RECORDKEEPING RULETargeted Enforcement

Underscores Importance of Compliance


87,687 87,663

96,742

85,51478,723 78,186

67,941

38,667 39,004 40,993 40,648 40,961 39,228 36,163 35,820 37,785

0

20,000

40,000

60,000

80,000

100,000

120,000

2008 2009 2010 2011 2012 2013 2014 2015 2016

INSP

ECTI

ONS

AND

VIO

LATI

ONS

YEARS

OSHA Inspections and Violations

Violations Inspections

INSPECTION AND VIOLATION DATA


OSHA INSPECTION NUMBERSDon’t be fooled by the numbers (i.e., Inspection totals decreasing from 2010-2011, and 2013-2014)

According to Dr. Michaels’ statements from an OSHA Advisory Committee on Construction Safety and Health meeting in December 2011:

“Some of our inspections are taking longer… Health inspections take longer than safety inspections, and we’re doing more health inspections. Inspections that involve recordkeeping also take a great deal longer.”


The 2015 total of 4,836 fatal work injuries represents an increase of 15 fatalities from the final count of 4,821 fatal work injuries for 2014.

CFOI data from BLS, latest as of Dec., 2016

RECORDKEEPING STATS• 4,836 worker deaths in 2015

– 13 workers lose their lives each day – Millions of injuries & illnesses recorded– OSHA continues to focus efforts on reducing workplace

injuries and illnesses, especially those resulting in death

6217

63316632

6275

6202

6238

6055

6054

5920

5915

5534

55755764

5734

5840

56575214

4551

4690

4693

4628

4585

48214836

0100020003000400050006000700080009000

Number of Fatal Work Injuries, 1992-2015*


Workplace Injury and Illness Costs“The human cost of preventable workplace injuries and deaths is incalculable. However, according to the 2010 Liberty Mutual Workplace Safety Index, the direct cost of the most disabling workplace injuries and illnesses in 2008 amounted to $53.42 billion in U.S. workers’ compensation costs, more than one billion dollars per week." — Dr. David Michaels, Assistant Secretary of Labor

Source: OSHA I2P2 Web Page


REGULATORY ACTIVITY Surrounding the Recordkeeping Rule


ACTIVITY & INITIATIVESImprove Tracking of Workplace Injuries and Illnesses, 1218-AC49

NPRM was published on Nov. 8, 2013; Final Rule issued March 2016Does not add or change recording criteria or definitions in part 1904 Modifies how employers transmit Recordkeeping records to OSHAChanges how many establishments submit, what has to be submitted and how often

– Details:• Requires covered establishments with more than 250 employees to submit

their 1904 data electronically each quarter• Will collect case-specific data on ~900,000 work related injuries and illnesses

from 38,000 establishments. Case-specific data includes information about nature and source of the injury or illness and event/exposure that led to it.

• Will collect OSHA Form 300A from 440,000 establishments with 20 or more employees that have an industry DART rate over 2.0.

• The modernized system replaces OSHA's ODI annual survey (which currently goes out to 80,000 high-hazard establishments)


Note: Beginning in 2019, submission deadline will be March 2nd each year.

(certain high-risk industries)

ACTIVITY & INITIATIVESThe New Recordkeeping and Reporting Rule – Phase-In Timeline

Submission Year Establishments with 250 or more employees

Establishments with 20-249 employees

Submission deadline

2017 Form 300A Form 300A July 1, 2017

2018 Forms 300A, 300, 301 Form 300A July 1, 2018


ACTIVITY & INITIATIVESThe New Recordkeeping and Reporting Rule

Q. I have a facility with 20-249 employees. How do I know if my facility is considered “high risk” by OSHA and therefore required to submit information from the 300A?

A. You must submit the information from your 300A if you have 20-249 employees and your facility is listed on the “NAIC Codes for Electronic Submission Document” at OSHA’s website at:

https://www.osha.gov/recordkeeping/NAICScodesforelectronicsubmission.pdf


ACTIVITY & INITIATIVESThe New Recordkeeping and Reporting Rule – Employee’s Right to Report Free from Retaliation• Employers must inform employees of their right to report work-related

injuries and illnesses free from retaliation. This obligation may be met by posting the OSHA Job Safety and Health: It’s the Law poster from April 2015 or later.

• Employer’s procedure for reporting work-related injuries and illnesses must be reasonable and must not deter or discourage employees from reporting. A couple related points:

– Incentive programs should not demotivate reporting. Pizza lunches for no recordable injuries? Not a great idea. Recognition of good ideas to promote safety or active participation in safety? Better.

– Drug testing policies should be reviewed to ensure they are not potentially retaliatory and a deterrent to reporting.

• An employer may not retaliate against employees for reporting work-related injuries.


ACTIVITY & INITIATIVESImprove Tracking of Workplace Injuries and Illnesses, 1218-AC49

Details from OSHA Public Comment Hearings, January 9-10, 2014• Support for the regulation seen from employee unions; Dissent seen from

business organizations– Common areas of support:

Access to real-time data– Common areas of dissent:

Privacy ConcernsCompliance CostsUnderreportingFodder for Litigation

• Bottom line: the rule is expected to encourage employers to increase effort to prevent worker injuries and illnesses, in part through visibility and competition. It will also enable researchers to examine data in innovative ways, helping to spot and head off workplace injury and illness trends.


ACTIVITY & INITIATIVESChanges to Recordkeeping Rule for Federal Agencies

Final Rule Published August 5, 2013, went into effect January 1, 2014Requires Federal agencies to submit info included on the 3 OSHA Recordkeeping Forms to BLS annually

• By May 1 of each year, and then BLS will electronically transmit the data from these forms to OSHA

OSHA will use info for targeted inspections of Federal establishments with high incidence ratesClarifies that Federal agencies must include uncompensated volunteers when reporting and recording occupational injuries and illnesses

Benefit to Federal agencies - will be able to use BLS data to compare their incidence rates with national averages for similar types of organizations.


ACTIVITY & INITIATIVESInjury and Illness Prevention Program (I2P2), 1218-AC48

NPRM moved to LONG TERM ACTION– Per Directorate of Standards and Guidance, NPRM is still “a ways down the

road.”

• Background – June 2010, OSHA initiates Proposed Injury and Illness Prevention Program

(I2P2)– Would require employers to “find and fix” hazards in their workplace– 34 states and many nations around the world require or encourage such

programs– May 2011, OSHA launches I2P2 Website– January 2012, OSHA issues I2P2 White Paper– In 2013, OSHA publishes I2P2 Fact Sheet


ACTIVITY & INITIATIVES• 6 Keys to I2P2

1. Management Leadership2. Worker Participation3. Hazard Identification and Assessment4. Hazard Prevention and Control5. Education and Training6. Program Evaluation and Improvement


ACTIVITY & INITIATIVESInjury and Illness Recording and Reporting Requirements — NAICS Update and Reporting Revisions, 1218-AC50

Final Rule published 9/18/14; Became effective 1/1/15Report any fatalities within 8 hours

• No changeReport work-related amputations/loss of eye AND all in-patient hospitalizations within 24 hours

• Amputations/loss of eye currently not required; hospitalizations currently must be reported within 8 hours

Exempt industries list will be updated to reflect more recent injuryand illness data and will transition from SIC to NAICS

• Will result in some industries coming off the list and others going onto it ꟷ Proposed Rule: ~199,000 establishments with 5.3 million employees

would be added; ~119,000 establishments with 4 million employeeswould be removed


ACTIVITY & INITIATIVES


ACTIVITY & INITIATIVES• Injury and Illness Recording and Reporting Requirements — NAICS

Update and Reporting Revisions, 1218-AC50

• Rapid Response Investigations– OSHA following up on Reports under new rule– Includes Two Page Questionnaire

• Must Complete within 5 Days• Includes request for Root Cause Analysis: Focus on Why?• Why were safety procedures not being followed?• Why did a machine or safety device fail?• What factors contributed, and why were they not addressed before?• Otherwise includes data found on most 301 Forms, but asks for

witness/employee reports as well.


ACTIVITY & INITIATIVES• Clarification of Employer’s Continuing Obligation to Make and Maintain

and Accurate Record of Each Recordable Injury and Illness, 1218-AC84 (aka “the Volks Rule”) Published 12/19/16, effective 1/18/17

• Issued to address a decision of the United States Court of Appeals for District of Columbia Circuit (“Volks II” decision)

– The breakdown• OSHA has always had a 6-month statute of limitations to issue citations for

failing to record an occupational injury/illness• OSHA requirements also maintain that employers must maintain records of

occupational injuries/illnesses for 5 years• In “Volks,” OSHA attempted to argue that these time periods were additive and

they really had a total of 5.5 years in which to issue a citation. The Court disagreed.

• The new final rule clarifies that OSHA always intended the “5.5 yr” interpretation and is codifying now.

• Critics argue this is an unwarranted expansion of statute of limitations. As of March 2017, the House was attempting to use Congressional Review Act to overturn the rule.


2016 OSHA Budget“In FY 2016, OSHA will conduct 37,785 workplace safety and health inspections to abate workplace hazards, thereby reducing injuries and illnesses.”

— OSHA Congressional Budget Justification, March 2015


MORE IMPORTANT THAN EVER• ALL of these recordkeeping-related initiatives make complete,

accurate recordkeeping more important than ever


RECORDKEEPING RULEMain Components


KEY RECORDKEEPING COMPONENTS7 Main Components of the Recordkeeping Rule

• Subpart A – Purpose

• Subpart B – Scope

• Subpart C – Recordkeeping Forms and Recording Criteria

• Subpart D – Other OSHA Injury and Illness Recordkeeping Requirements

• Subpart E – Reporting Fatality, Injury and Illness Information to the Government

• Subpart F – Transition From the Former Rule

• Subpart G – Definitions


TIMING MATTERS• Must provide injury and illness records within

4 business hours of request by an OSHA representative – 1904.40*

– *If records are maintained at a location in a different time zone, you may use that location’s business hours when calculating the deadline

• Must fill out required OSHA recordkeeping forms within 7 days of a recordable incident


BACKBONES OF THE RULE

The 3 OSHA Forms


OSHA FORMS 300, 301, 300AForm 300 – Log of Work-Related Injuries and Illnesses



Form 301 –Injuries and Illnesses Incident Report


Form 300 – Log of Work-Related Injuries and Illnesses


Form 300A –Summary of Work-Related Injuries and Illnesses

OSHA FORMS 300, 301, 300A




Form 300A –Summary of Work-Related Injuries and Illnesses

If an incident meets 1 or more OSHA recording criteria, you must enter the details on Forms: 300 and 301 (or equivalent)


RECORDKEEPING FORM 300Log of Work-Related Injuries and Illnesses

• Purpose: – Acts as your log that an incident

occurred– Includes columns to classify

work-related injuries and illnesses

– Notes the extent and severity of injuries and illnesses

– Privacy purposes, don’t include employee name for certain case


RECORDKEEPING FORM 300Log of Work-Related Injuries and Illnesses

Record most serious outcome only in “Classify the Case” section


Fill out this form within 7 days of being informed that an injury or illness has occurred

RECORDKEEPING FORM 301Injuries and Illnesses Incident Report

• Purpose: – Captures detailed information

about the incident – Includes details that the 300 Form

does notPhysician contact informationDescriptive explanations of the incident


RECORDKEEPING FORM 301Injuries and Illnesses Incident Report

Physician contact infoDescriptive explanations of incident


Must be signed by a company executive and posted annually from Feb 1- April 30 in a location that’s clearly

visible to employees.

RECORDKEEPING FORM 300ASummary of Work-Related Injuries and Illnesses

• Purpose: – Numerical summary of incidents– Total cases within each category

DeathsDays away from work, Etc.

– Total days away from work or days of job transfer or restriction

– Total # of Injury and Illness typesPoisoningsHearing loss, Etc.

– Must post even if there were NO injuries/illnesses



– Numerical summary of incident Cases – Total Days Away from Work or Days of Job Transfer

or Restriction – Total # of Types



Must be signed by a company executive and posted annually from Feb 1- April 30 in a location that’s clearly visible to employees.


KEY RECORDKEEPING COMPONENTS• Must have Separate Forms for each facility

– Unless open for less than 1 year

• Must Retain Copies, and they must be accessible for 5 years* following the year of the recorded incident(s)

Kept on File and Up-To-Date

Posted in a Central Workplace Annually

Kept on File and Up-To-Date

• Forms completed and incidents recorded within 7 Days • All records must be retained for 5 years

300A

301

300

300A

301

300

300A

301

300

300A

301

300


RECORDABLE DECISION TREE

Update the previously

recorded injury or illness record, if

necessary.Don’t create a new

record

Record

1) Did the employee experience an injury/ illness?

Yes

4) Does the injury or illness meet the general or the specific additional recording criteria ?

Yes

2) Was it work-related?

Yes

3) Is event or exposure a new case?

Yes

Don’t Record

No

No

No

No


WHAT IS WORK-RELATED?• Presume Work-Related if, and only if:

– Event or exposure in the work environmentIS the cause of the injury or illness

– Event or exposure LED TO significant aggravation of a pre-existing condition

• Sidewalks• Employee parking lot• Landscape, etc.

• Geographic Presumption of Work Environment:– Establishment/ other locations where 1 or more employees are working or

present as a condition of employment, including:• Physical locations • Equipment or materials used by employees during their course of work • Employee working away from primary work establishment still

carries geographical presumption (some exceptions apply)• Geographical presumption may also include exterior of the establishment

1) injury/ illness?

2) Work-related?

3) New case?

4) Meet recording criteria

Proceed


EXCEPTIONS TO WORK-RELATED9 Main Exceptions Include – 1904.5(b)(2):1. Present as member of general public 2. Symptoms arise solely from non-work event / exposure3. Voluntary participation in wellness program or

recreational activity– Wellness/ Fitness programs (exercise class, baseball)– Medical (donating blood, flu shot)

4. Eating/ drinking/ preparing food for personal consumption5. Personal tasks outside working hours6. Personal grooming/ self-medication for non-work-related condition/

intentionally self-inflicted incident7. Motor vehicle accident while commuting

– Parking lot– Access roads

8. Common cold or flu9. Mental illness

– Unless licensed professional confirms work-relatedness

Additional Travel Exceptions - 1904.5(b)(6)

1) injury/ illness?

2) Work-related?

3) New case?


Don’t Record


NOTE ON COVERED EMPLOYEES• You must record the recordable injuries of all employees on your payroll,

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

• A few things to remember:– Self-employed persons who become ill or injured on your property are not

recorded on your log. (Not covered by the OSH Act or the recordkeeping rule).– Workers who are contracted, employed through a temp service/personnel

service or employee leasing service may or may not be recordable for you, depending on whether you supervise their work on a day-to-day basis, or if the other employer provides that supervision.

– An injury for an employee provided by a service or contractor is not recordable for both you and the other employer. You and the other employer must coordinate to make sure each work-related injury and illness is recorded only once, on the log for whichever employer provides the day-to-day supervision. Remember and review OSHA’s Temporary Worker Initiative!


NEW CASES• If employee has not previously experienced a

recorded injury or illness of the same type that affects the same part of the body

OR

• If employee previously experienced a recorded Injury or illness of the same type that affects the same part of the body BUT had recovered completely

1) injury/ illness?

2) Work-related?

3) New case?


Proceed


GENERAL RECORDING CRITERIA• If it’s a new work-related case and any one of the

general recording criteria apply, you must record within 7 days

Medical treatment beyond first aid is administeredResults in day(s) away from work/ restricted work activity/ transferIf there was a loss of consciousnessDiagnosed by doctor or licensed healthcare professional as a significant injury or illnessResults in a death

1) injury/ illness?

2) Work-related?

3) New case?


Record


FIRST AID VS. MEDICAL TREATMENT• First Aid (Non-Recordable)

– Use of non-prescription medications at non-prescription strength – Administering tetanus immunizations– Cleaning, flushing or soaking wounds on the surface of the skin– Use of wound coverings such as bandages, Band-Aids™, etc.– Use of hot or cold therapy– Use of any non-rigid means of support

• Elastic bandages, wraps, non-rigid back belts, etc. – Use of temporary immobilization devices while transporting

an accident victim • Splints, slings, neck collars, back boards, etc.

– Drilling of a fingernail or toenail to relieve pressure, or draining fluid from a blister– Use of eye patches– Removal of foreign bodies from the eye using only irrigation or a cotton swab– Removal of splinters or foreign material from areas other than the eye, by irrigation,

with tweezers, cotton swabs or other simple means– Use of finger guards– Massages – Drinking fluids for relief of heat stress

1) injury/ illness?

2) Work-related?

3) New case?


Don’t Record


FIRST AID VS. MEDICAL TREATMENT• Medical Treatment (Recordable)

– Immunizations such as Hepatitis B vaccine and rabies vaccine – Debridement

• Surgical removal of dead or contaminated tissue from a wound

– Physical therapy or chiropractic treatment– Wound-closing devices such as sutures, staples, glue, etc.– Medications in both prescription and non-prescription form

• If recommendation by a physician or other licensed healthcare professional

• Non-prescription medication at prescription strength

1) injury/ illness?

2) Work-related?

3) New case?


Record


ADDITIONAL RECORDING CRITERIA• If it’s a new work-related case and any one these

special conditions of ‘significant diagnosed injuries and illnesses’ apply, you must record within 7 days:

– Cancer – Bone cracks or fractures– Punctured eardrum/ hearing loss– Chronic irreversible disease– Needlesticks and cuts from sharp objects

contaminated with infectious material including another person’s blood

– Tuberculosis – employees exposed to TB in the workplace and subsequently develop TB

– Medical removal – employee is removed under the medical surveillance requirements of an OSHA standard

1) injury/ illness?

2) Work-related?

3) New case?


Record


TIME TO PLAY Recordable or Non-Recordable


RECORDABLE OR NON-RECORDABLE?• Scenario 1: Employee injures shoulder at work, visits physician and is

directed to take over-the-counter ibuprofen and use as directed.


RECORDABLE OR NON-RECORDABLE?• Scenario 1: Employee injures shoulder at work, visits physician and is

directed to take over-the-counter ibuprofen and use as directed.

1) injury/ illness?

2) Work-related?

3) New case?


Don’t Record

NON-RECORDABLETreatment considered first aid:

Saw doctor for diagnosisMedication non-prescription strength

If the doctor prescribed a prescription-level dosage of the over-the-counter medication, then the case would be recordable.


RECORDABLE OR NON-RECORDABLE?• Scenario 2: Employee visits doctor for work-related injury. Receives

prescription, but chooses not to take it. Employee informs supervisor of his decision to not take prescription. Company doctor then reviews case, feels prescription was not necessary. First doctor later agrees.


RECORDABLE OR NON-RECORDABLE?• Scenario 2: Employee visits doctor for work-related injury. Receives

prescription, but chooses not to take it. Employee informs supervisor of his decision to not take prescription. Company doctor then reviews case, feels prescription was not necessary. First doctor later agrees.

RECORDABLETreatment is considered medical:

Doctor prescribed prescription-strength medication

Regardless of employee’s decision to not take medication, second doctor’s disagreement andfirst doctor’s changed opinion, once a prescriptionis given, the case becomes recordable.

1) injury/ illness?

2) Work-related?

3) New case?


Record

Source: OSHA LoI 2/6/07


RECORDABLE OR NON-RECORDABLE?• Scenario 3: Employee check-in is at 8:00 a.m. Employee parks in

company parking lot at 7:30 a.m., and while proceeding to work, slips on ice-covered sidewalk, injures back and misses multiple days of work. Parking lot and sidewalks are privately owned by the employer.


RECORDABLE OR NON-RECORDABLE?• Scenario 3: Employee check-in is at 8:00 a.m. Employee parks in

company parking lot at 7:30 a.m., and while proceeding to work, slips on ice-covered sidewalk, injures back and misses multiple days of work. Parking lot and sidewalks are privately owned by the employer.

RECORDABLEGeographical presumption of workDays away from work

Regardless of the fact that the employee had not yet checked into work, the employee was on the sidewalk ─ which is owned by the company─ as a condi on of employment. The exposure does not meet the work-related exceptions found 1904.5(b)(2).

1) injury/ illness?

2) Work-related?

3) New case?


Record

Source: OSHA Recordkeeping Handbook


RECORDABLE OR NON-RECORDABLE?• Scenario 4: While at work, employee goes outside for a smoke break,

slips on ice covered sidewalk, injures back and misses multiple days of work. Company deems incident non-recordable due to non-work related activity. Sidewalks are privately owned by the employer.


RECORDABLE OR NON-RECORDABLE?• Scenario 4: While at work, employee goes outside for a smoke break,

slips on ice covered sidewalk, injures back and misses multiple days of work. Company deems incident non-recordable due to non-work related activity. Sidewalks are privately owned by the employer.

RECORDABLEGeographical presumption of workPersonal task during normal work hoursDays away from work

While the employee was not "working" at the time of the incident, the exception to work-relatedness does not apply here because the injury or illness occurred in the work environment during normal working hours.

1) injury/ illness?

2) Work-related?

3) New case?


Record



RECORDABLE OR NON-RECORDABLE?• Scenario 5: Two supervisors complete work for the day, enter an on-site

trailer to change clothes. An argument leads to a physical altercation. One employee allegedly pulls out a knife and strikes the other in the right bicep, causing a laceration, which requires sutures.


RECORDABLE OR NON-RECORDABLE?• Scenario 5: Two supervisors complete work for the day, enter an on-site

trailer to change clothes. An argument leads to a physical altercation. One employee allegedly pulls out a knife and strikes the other in the right bicep, causing a laceration, which requires sutures.

RECORDABLEGeographical presumption of workMedical treatment

Employees were in the trailer as a condition of employment. Therefore, the activity and injury occurred in the work environment, and the resulting injury required medical treatment, making it recordable.NOTE: OSHA doesn't have any exceptions to work-relatedness for violent acts.

1) injury/ illness?

2) Work-related?

3) New case?


Record



RECORDABLE OR NON-RECORDABLE?• Scenario 6: An employee with epilepsy, a pre-existing medical

condition, falls and breaks his arm during an epileptic seizure at work, resulting in missed days.


RECORDABLE OR NON-RECORDABLE?• Scenario 6: An employee with epilepsy, a pre-existing medical

condition, falls and breaks his arm during an epileptic seizure at work, resulting in missed days.

NON-RECORDABLEGeographic presumption of workException to work-relatedness

Neither the seizure or broken arm are recordable, since the injury involves signs or symptoms that surface at work BUT are the result of a NON-work-related event or exposure.

1) injury/ illness?

2) Work-related?

3) New case?



Don’t Record


RECORDABLE OR NON-RECORDABLE?• Scenario 7: Company requires employees to attend off-site lunch

meeting. Afterward, employees are free to either participate in team-building event; return to office to finish work day; or take a ½-day vacation. Employee gets injured go-carting at the team-building event, requiring medical treatment.


RECORDABLE OR NON-RECORDABLE?• Scenario 7: Company requires employees to attend off-site lunch

meeting. Afterward, employees are free to either participate in team-building event; return to office to finish work day; or take a ½-day vacation. Employee gets injured go-carting at the team-building event, requiring medical treatment.

RECORDABLEGeographic presumption of work Medical treatment

Since one or more employees were present at the go-cart facility as a condition of employment and not as members of the general public, it is considered part of the work environment. The resulting injury required medical attention beyond first-aid.


1) injury/ illness?

2) Work-related?

3) New case?


Record


RECORDABLE OR NON-RECORDABLE?• Scenario 8: Employee has pre-existing rotator cuff tendonitis. He assists

company in move, requiring lifting, etc. Afterward, shoulder is sore, he visits doctor. Doctor determines tendonitis is now rotator cuff tear. Doctor prescribes Naprelan 375 for pain and swelling.


RECORDABLE OR NON-RECORDABLE?• Scenario 8: Employee has pre-existing rotator cuff tendonitis. He assists

company in move, requiring lifting, etc. Afterward, shoulder is sore, he visits doctor. Doctor determines tendonitis is now rotator cuff tear. Doctor prescribes Naprelan 375 for pain and swelling.

RECORDABLEGeographical presumption of workWork-related aggravation of an existing condition Prescription medication

An event in the work environment significantly aggravated a pre-existing injury or illness and the injury went beyond what the worker would have experienced as a result of the pre-existing injury alone.


1) injury/ illness?

2) Work-related?

3) New case?


Record


RECORDABLE OR NON-RECORDABLE?• Scenario 9: A work-from-home employee receives a package during

workday – box containing a birthday gift. Employee is startled by phone ringing and cuts her finger while opening box.


RECORDABLE OR NON-RECORDABLE?• Scenario 9: A work-from-home employee receives a package during

workday – box containing a birthday gift. Employee is startled by phone ringing and cuts her finger while opening box.

NON-RECORDABLEGeographic presumption of workException to work-relatedness

While the presumption of geographic environment pertains to this incident, for injuries and illnesses in a work-from-home setting to be deemed work-related, they must occur as a result of the employee performing work-related tasks.

1) injury/ illness?

2) Work-related?

3) New case?



Don’t Record


The Costs of Non-ComplianceCan Add up Quickly

FinesPotential Risk & LiabilityDowntime & Internal DisruptionNegative Press & Impact to Corporate ImageLost Revenues


WHAT AN INSPECTOR WILL LOOK FOR• CSHO will review any OSHA Data Initiative (ODI) survey information

available on the establishment

• During the inspection CSHO will compare the ODI data with the OSHA 300 logs for the 3 prior calendar years at the establishment

• When onsite, an inspector will ask employer for:– OSHA Logs– Total hours worked and the number of employees worked for each year– Roster of current employees

• If CSHO has questions about a specific case on the 300 Log, s/he will request the OSHA 301s or equivalent for that case


WHAT AN INSPECTOR WILL LOOK FOR• For recorded cases, CSHOs will do a random review of 301s and medical

records that pertain to current employees

• CSHO will randomly select employees from the roster and obtain the name and address of the medical provider(s)

• If random sample shows sufficient deficiencies, then the reviewmay be expanded


PENALTIES ARE REAL• Other than Serious

– Direct relationship to job safety/ health, but probably not cause death or serious harm

– Discretionary penalty of up to $12,700 for each violation

• Serious – High probability that death or serious physical harm could result– Employer knew or should have known of hazard– Mandatory penalty of up to $12,700 for each violation

• Repeated– Re-inspection finds substantially similar violation– Up to $127,000 fine for each


PENALTIES ARE REAL• Failure to Abate Prior Violation

– Could bring civil penalty of up to $12,700 for each day following prescribed abatement date

• Willful – Employer knowingly commits or commits with plain indifference to the

law – Minimum penalty of $9,000, up to $127,000 for each violation– Convicted, and an employee death resulted

• Court-imposed fine or imprisonment for up to 6 months or both • Fines up to $450k for individual or $900k for corporation

• Additional Fines Upon Conviction – Fines for falsifying records – up to $18,000– Citation posting violations – up to $12,700– Intimidating or interfering with compliance officer, etc.

Paper manufacturer was cited and fined by (OSHA) for failing to record numerous injuries and illnesses that occurred at its mill over the duration of 3 years. The paper manufacturer

faced a total of $170,000 in fines.

An automobile manufacturer’s widespread failure to record work-related hearing losses

and other occupational injuries, as well as a variety of safety hazards, resulted

in $160,000 in fines from OSHA.


SO HOW DO I MAKESURE I’M COMPLIANT?…


STEPS FOR ACHIEVING COMPLIANCE• Determine responsibility for your recordkeeping program

– Set up a recordkeeping system that works for your particular organization– Create reporting rules for incident notification

• At each facility and throughout organization– Centralize recordkeeping into one system

• Consider electronic incident management systems / Track near-misses

• Draft and internally publish the details of your Injury and Illness Prevention Program

– Some states require it (i.e. California, Nevada)– Train your employees

• Ensure facilities maintain recordkeeping components– 300, 301, 300A forms are complete and accurate

• Utilize available resources – Use the decision-tree for every case– Consult OSHA’s Recordkeeping Handbook – Contact OSHA for assistance… they’re there to help


REMEMBER IT’S NOTJUST ABOUT…

AVOIDING CITATIONS…

…AND FINES


IT’S ALSO ABOUT…

OUR EMPLOYEES…

OUR CUSTOMERS…

OUR COMMUNITY…


THANK YOU1.888.362.2007

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*This webinar is designed to provide accurate and authoritative information about the subject matter covered. It is sold with the understanding that the publisher is not engaged in rendering legal, accounting, or other professional services. *This webinar provides general information only and does not constitute legal advice. No attorney-client relationship has been created. If legal advice or other expert assistance is required, the services of a competent professional should be sought. We recommend that you consult with qualified local counsel familiar with your specific situation before taking any action.

Before joining VelocityEHS as an EHS expert, Phil Molé served as Global EHS Coordinator for John Crane Inc., as a Senior Environmental Consultant for Gaia Tech, and Project Manager for Mostardi Platt Environmental. He has a B.S. (Chemistry) and a Master’s in Public Health (MPH). He was a NIOSH traineeship recipient (1995-1997) and is a member of ASSE and NAEM. His certifications include OSHA 30-hour training (2012), and ISO/OHSAS Internal Auditor Training (2012). As an EHS Expert at VelocityEHS, Phil tracks emerging regulatory issues and educates customers and the marketplace on environment, health, safety and sustainability compliance best practices.

Phil Molé

Documents

OSHA Injury and Illness Recordkeeping: How to Tell …events.blr.com/audio/materials/YSWA033017A.pdf · employees andyour facility is listed on the “NAIC Codes for Electronic