This document discusses OSHA recordkeeping requirements. It provides examples of injuries and illnesses that must be recorded, such as amputations, hospitalizations, and abnormal medical conditions. It also discusses what information must be reported to OSHA, such as the establishment name and location, for incidents involving fatalities, amputations, hospitalizations or loss of an eye. The document outlines OSHA inspection categories and when reports will automatically trigger an inspection. It also discusses some notable OSHA enforcement cases from the 1980s involving recordkeeping violations.

1. OSHA Recordkeeping
and Reporting
Johnanewquist@gmail.com
815-354-6853
Draft 1 10 2019
1

2. 2

3. Oct 11 2018
• In addition, most instances of workplace drug testing are permissible
under § 1904.35(b)(1)(iv). Examples of permissible drug testing include:
• Random drug testing.
• Drug testing unrelated to the reporting of a work-related injury or
illness.
• Drug testing under a state workers’ compensation law.
• Drug testing under other federal law, such as a U.S. Department of
Transportation rule.
• Drug testing to evaluate the root cause of a workplace incident that
harmed or could have harmed employees.
• If the employer chooses to use drug testing to investigate the incident, the
employer should test all employees whose conduct could have
contributed to the incident, not just employees who reported injuries.
• https://www.osha.gov/laws-regs/standardinterpretations/2018-10-11

4. Top 13 Required Records
1) Lockout authorized
employee training records
2) Current list of all chemicals
used in the plant
3) Temporary employees
OSHA 301 or state worker com
report of injury
4) Training records for
electrical safe work practices
5) Respirator annual training
6) Lockout Audits
7) PPE training records
8) Noise Exposure Training
Records
9) Bloodborne Training
Records
10) Confined Space - Non
permit certification
11) Forklift re-certification
12) Written PPE hazard
assessment with certification
13) Hazcom training for all
employees with current
chemicals 4

5. July 2018
• The proposed rule eliminates the
requirement to electronically submit
information from OSHA Form 300 (Log of
Work-Related Injuries and Illnesses), and
OSHA Form 301 (Injury and Illness Incident
Report) for establishments with 250 or more
employees that are currently required to
maintain injury and illness records.
• These establishments would be required to
electronically submit information only from
OSHA Form 300A (Summary of Work-
Related Injuries and Illnesses).
5

6. July 2018
• More than 6,000 Texas
employees reported severe
injuries at work between Jan.
1, 2015 and June 1, 2018,
according to records from the
U.S. Occupational Safety and
Health Administration.
• OSHA received reports
of 11 severe employee
injuries at Waste
Management between Jan. 1,
2015 and June 1, 2018 in
Texas.
6

7. July 2018
• David Michaels “OSHA's reporting
regulations make data like these
available.
• This is the reason the current
Administration's refusal to
implement the regulation requiring
large establishments to send in their
injury data is a setback to worker
safety.
• And they did it without notice and
comment.
• Fortunately Public Citizen is suing: “
7

8. January 2018
• The date by
which certain
employers are
required to submit to
OSHA the information
from their completed
2017 Form 300A is July
1, 2018.

9. March 2018
• If the employer attempted to
electronically submit the information, but
was unable to do so due to technical
issues, employer may avoid being cited if
the employer can show documentation of
its attempts to submit the information.
• If the employer failed to submit, but
immediately abates during the inspection
by providing a paper copy of the records,
an Other Than Serious citation will be
issued with no penalty.
• If the employer failed to submit its CY2016
data, but shows it has already submitted
CY2017 data, an Other Than Serious
citation will be issued with no penalty.
9

10. January 2018
• Covered establishments with
250 or more employees are
only required to provide their
2017 Form 300A summary
data.
• OSHA is not accepting Form
300 and 301 information at
this time.
• OSHA announced that it will
issue a notice of proposed
rulemaking (NPRM) to
reconsider, revise, or remove
provisions of the "Improve
Tracking of Workplace Injuries
and Illnesses" final rule,
including the collection of the
Forms 300/301 data.

11. May 2016
• OSHA still needs a way to walk
those in safety roles through
what is and isn't a recordable
injury.
• I continue to see too many
people, including those with
safety degrees who are
convinced if they can get
Workers Comp to deny a claim
they can take it off the OSHA
log (I.e. Positive drug tests). –
Pam S
11

12. Fatality/Catastrophe Reporting
• Report orally within 8
hours any work-related
fatality or incident
involving 3 or more in-
patient hospitalizations
• 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
• Must report fatal heart
attacks
•1-800-321-OSHA

13. 2015 Rule
• As of January 1, 2015, all employers
must report:
• All work-related fatalities within 8
hours.
• All work-related inpatient
hospitalizations, all amputations and
all losses of an eye within 24 hours.
• You can report to OSHA by:
• Calling OSHA’s free and confidential
number at 1-800-321-OSHA (6742)
• Calling your closest OSHA Area Office
during normal business hours – Aurora
630-896-8700
• Using the new online form that will
soon be available.

14. Dec 2018
• Southern Cook County
• Dump Trump backed
over the worker’s legs
• Worker on cell phone
• Call OSHA?

15. Criminal 2013
• Walter Cardin, former safety
manger to 78 months in prison
for deliberately falsifying records
of workplace injuries
• “used the false injury reports to
claim bonuses of more than $2.5
million under the contract.”
• WALTER CARDIN
• Register Number: 44278-074
• Age: 61
• Race: White
• Sex: Male
• Located at: Butner Medium NC
• Release Date: 02/10/2019
cell

16. Further
• Only fatalities occurring
within 30 days of the
work-related incident
must be reported to
OSHA.
• Further, for an inpatient
hospitalization,
amputation or loss of an
eye, these incidents must
be reported to OSHA only
if they occur within 24
hours of the work-related
incident.
The Midwest Region in Chicago is
estimating 3000 amputations and
10,000 hospitalization called in in
2015.

17. What Information is Needed?
• Employers reporting a fatality, inpatient
hospitalization, amputation or loss of
an eye to OSHA must report the
following information:
• Establishment name
• Location of the work-related incident
• Time of the work-related incident
• Type of reportable event (i.e., fatality,
inpatient hospitalization, amputation or
loss of an eye)
• Number of employees who suffered the
event
• Names of the employees who suffered
the event
• Contact person and his or her phone
number
• Brief description of the work-related
incident
It is considered an ER
referral - almost always
inspect.
Few exceptions that allow
a phone and fax that
requires an accident
investigation, results, and
abatement verification.

18. Amputation
• An amputation is the traumatic
loss of a limb or other external
body part.
• Amputations include a part, such
as a limb or appendage, that has
been severed, cut off, amputated
(either completely or partially);
fingertip amputations with or
without bone loss; medical
amputations resulting from
irreparable damage; amputations
of body parts that have since
been reattached.
• Amputations do not include
avulsions (tissue torn away from
the body), enucleations (removal
of the eyeball), deglovings (skin
torn away from the underlying
tissue), scalpings (removal of the
scalp), severed ears, or broken or
chipped teeth.

19. Hospitalization
• No, you do not have to report an
in-patient hospitalization that
involves only observation or
diagnostic testing.
• You must only report each in-
patient hospitalization that
involves care or treatment.

20. Category 1
• OSHA Hospitalization, Amputations Reporting Inspection triggers
• In OSHA's non released but media published memo, OSHA said these
reports by companies to OSHA after an amputation or hospitalization will
automatically trigger an onsite inspection.
Category 1 reports— any of these trigger an inspection:
- a fatality;
- at least two hospitalizations;
- any injury of a worker 17 years old or younger;
- similar events at the worksite involving multiple injures that occurred in
the past year;
- employer history of repeat, willful, failure-to-abate or egregious
violations;
- employer previously designated as a severe violator;
- employer covered by national or local emphasis program; or
- any imminent danger
• Answer ‘Yes,’ Get Inspected. 20

21. Category 2
• Reports that could trigger an inspection if at least TWO of the following
questions below are answered ‘‘yes’’ will be recorded as Category 2
reports,
The Category 2 questions are:
- Were temporary workers or ‘‘other vulnerable populations’’ injured or
made ill?
- Does the employer participate in a cooperative safety program such as
the Voluntary Protection Program or an alliance?
- Are employees still exposed to factors underlying the hazards producing
the injury or illness?
- Was the incident the result of failure of a safety program such as
lockout/tagout or process safety management?
- Were employees exposed to a serious hazard such as falls, combustible
dust or heat?
- Is there a pending whistle-blower complaint or inspection?
- Does the employer have a history of OSHA inspections?
- Did another government agency make a referral?
- Were health issues such as chemical exposure and heat stress involved?21

22. Dec 21 2017
• OSHA concludes that cold
compression therapy devices are
medical treatment for purposes of
OSHA recordkeeping.
22

23. November 28 2017
• The employee sustained a work-related
injury (sprained ankle) while working in the
work environment.
• In response to the sprain, a licensed health
care professional directed the employee to
wear a rigid boot.
• For purposes of OSHA recordkeeping, the
rigid boot is an orthopedic device used to
immobilize the ankle, and therefore is
medical treatment beyond first aid.
• The fact that the rigid boot may also have
been used as a preventive, precautionary, or
prophylactic measure in this case is not
relevant to the determination that the device
was used to treat the employee's injury.
23

24. September 14 2017
• An abnormal condition or disorder for
OSHA recordkeeping purposes. Injuries
include cases such as, but not limited
to, a cut, fracture, sprain, or
amputation.
• Illnesses include both acute and
chronic illnesses, such as, but not
limited to, a skin disease, respiratory
disorder, or poisoning."
• Pain and other symptoms that are
wholly subjective are also considered
an abnormal condition or disorder.
24

25. OSHA
• Department of Labor
to enforce Safety and
Health laws
• NIOSH
• OSHRC
• Osha Training Institute
• 56 million workers at
3.5 million workplaces
in 1971
 This Act created OSHA,
the agency, which formally
came into being on April
28, 1971

26. Voluntary Compliance - 1979
• In 1979, Senator Richard
Schweiker of Pennsylvania sought
to exempt from safety inspections
all employers, large or small,
regardless of industry, who had
good safety records.
• They would still have to conform
to OSHA regulations and be
subject to health inspections.
• Labor unions objected that his
proposal would dilute
enforcement.
• It was defeated in 1980.
• Schweiker originally supported
the Act, but believed Congress
had mistakenly cast the Labor
Department as a “policeman”
for all the nation’s workplaces.
• He hoped to focus
enforcement on the smaller
number of workplaces where it
was necessary, stimulating
cooperation and voluntary
compliance in the rest.
26

27. Records Review - 1981
• In October 1981, OSHA decided
to tie its inspection procedures
in high hazard manufacturing
establishments to “lost
workday incident rates” (LWDI)
• The policy was intended to
further focus the agency’s
inspection resources on
hazardous workplaces where
injuries and illnesses were
most likely to occur.
• The records review policy
directed field staff to calculate
the LWDI rate as a key
component of targeted safety
inspections of general industry
workplaces.
• LWDI is now DART (Days Away,
Restricted and Transfers)
27

28. Electromotive 1982
• Lagrange IL
• William Havell, an employee
at had filed a claim against
GM in 1979 under the Illinois
Worker's Comp
• The basis for that claim was
that Havell "injured his body
while working.“
• In March 1982, Havell
submitted to GM, through the
law firm that represented him
in the WC claim, a signed
request for access to "[a]ll
medical and exposure
records" concerning him.
• Electromotive denied this.
• The ALJ rejected GM's
arguments, found a willful and
serious violation in all three
cases, and assessed a $10,000
penalty in each case.
• The OSHRC affirmed the
judge's findings of violations,
but find them non-willful and
impose a $1000 penalty in each
case
28

29. Employee Rights
– A safe and healthful workplace
– Know about hazardous chemicals
– Information about injuries and illnesses in your workplace
– Complain or request hazard correction from employer
– Training
– Hazard exposure and medical records
– File a complaint with OSHA
– Participate in an OSHA inspection
– Be free from retaliation for exercising safety and health rights

30. Access to Medical Records
• 1910.1020: right to examine & copy medical and exposure
records
• Examples of toxic substances and harmful physical agents are:
– Metals and dusts, such as, lead, cadmium, and silica.
– Biological agents, such as bacteria, viruses, and fungi.
– Physical stress, such as noise, heat, cold, vibration,
repetitive motion, and ionizing and non-ionizing radiation.

31. Chemical Company
• 1/31/1984
• IL
• $1000 Other
• Worker fell and broke
leg from ladder
• Citation deleted
31

32. Auto Manufacturer
• 2/12/1985
• Toledo OH
• $1000
• Company denied any injuries on
worker comp.
• Motive was to keep money for
injuries in the bank.
• Try to dry out employees and
make them poor.
• Hearings postponed to break
employees
• Put injury under personal
insurance vs work company
• Made referral to Ohio BWC
• 1080 cases not recorded
• Co felt it was an oversight.
32

33. Union Carbide
• 9/17/1985
• First Records case
• First egregious RK
• $1.30 million for the RK
violations, which occurred at two
plants in West Virginia.
• Union Carbide, which had
contested the penalty imposed
by the agency, said that it was
paying the $408,500 only to avoid
much higher legal costs if it
contested the decision in court
33

34. Food Company
• 02/04/1986
• West Chicago IL
• CSHO notices the company is one
case under the record review
exemption.
• Records are pulled and one
accident report says “This is
Yolanda’s second lost time
accident this year.”
• The first accident was not
recorded.
• The union adds others that were
missing.
• Cited $1000 Willful, settled at
$1000 serious 34

35. Auto Manufacturing
• 04/14/1986
• Belvidere IL
• Repetitive motion – not
record ergo and strain
and sprain
• $910k reduced to
$284K
35

36. Equipment Manufacturing
• 11/20/1986
• Montgomery IL
• Medical doctor were
saying back injuries are
never work related.
• $776,000 reduced to
affirmed willful of $25k.
• 6 diff categories- like
steristrips
36

37. General Dynamics
• 1986
• Quonset Point RI
• $615,000
• Failure to record and
failure to fill out
accident information.
• Reduced to $47,200
37
Therefore, an inaccurate entry on an
OSHA form 200 violates the Act until
it is corrected, just as a condition
that does not comply with a standard
issued under the Act violates the Act
until it is abated

38. Wire Manufacturer
• TX
• 3/19/90
• 385 willful at $3000 each, later reduced to $610 each
• Total $1,236,000.00
• Records review, just 0.1 above the rate
• Only had back injuries with all these metal handling
process was the tip off.
• CSHO asked for the first aid log and found 385 cases
that would be recordable.
38

39. SST - 1999
• 1999
• OSHA initiated the Site-Specific
Targeting (SST) program – an
enforcement plan intended to
target general industry (non-
construction) worksites reporting
the highest injury and illness
rates.
39

40. Screw Machine Mfr
• 7/13/2005
• $788,000
• 3 records violations
• 49 Willful and Serious
for machine guarding
and lockout.
• Missed SST because of
low recordkeeping
• Reduced to $175,000
40

41. Retail Store 2009
• Cincinnati
• 03/12/2009
• Consultant hired to
expunge records
• Broken leg was deleted.
• $30,000 reduced to
$10,000
41

42. 2010 IL
• ROCKFORD, Ill. — The U.S.
Department of Labor's Occupational
Safety and Health Administration has
cited the XXXX regional distribution
center in Rockford with $182,000 in
proposed penalties for failure to
document and report employee
injuries and illnesses, as required by
OSHA safety and health regulations
• Reduced to $95,000
42

43. 2010 TX
43
83 willful citations for failing to record and improperly recording work-
related injuries and illnesses at the company's Houston air
conditioning cooling facility. Proposed penalties total $1,215,000.

44. Volks Decision - 2012
• In 2006, OSHA issued a
citation alleging that
Volks had failed as long
ago as 2002 to record
injuries on its Form 300
injury logs and to create
Form 301 injury reports.
• Volks claimed that the
citations were untimely
because the Occupational
Safety and Health Act has
a 6-month statute of
limitations.
“No citation may be issued …
after the expiration of six months
following the occurrence of any
violation.”

45. Criminal 2014
• Sean A. Chase, 32, of
Spencer, West Virginia,
was sentenced to two
years of supervised
release.
• He was convicted earlier
this year of "making false
representations and
certifications" on mine
safety records, and one
count of "false
statements to a federal
agent."

46. Criminal 2014
• Frederick Prinz, 38, of
Marmora, N.J., pleaded
guilty before U.S. District
Judge Joseph H.
Rodriguez in Camden
federal court to an
information charging him
with making and selling
fraudulent construction
industry certification
forms, known as “OSHA
30” cards. Sentencing is
scheduled for Dec. 10.

47. Sep 2015
47

48. OSHA In Illinois
• 5 offices – Des Plaines,
• Aurora, Calumet City, Peoria,
Fairview Heights
• 2800 inspections total
National Emphasis Program (NEP)
~15 RECORDKEEPING NEP

49. Recordkeeping
Scope of Documents for
Recordkeeping Inspection
• OSHA Forms 300, 300A and 301
• Medical records AT the clinic you
use
• Worker’s compensation records
• Insurance records
• Payroll/absentee records
• Company safety incident reports
• Company first aid logs
• Disciplinary records relating to
injuries and illness
49 | © 2013 Seyfarth Shaw LLP

50. 50
Forms
• Three recordkeeping forms
– OSHA Form 300 – Log of Work-Related Injuries
and Illnesses
– OSHA Form 301 – Injury and Illness Incident
Report
– OSHA Form 300A – Summary of Work-Related
Injuries and Illnesses
1904.29

51. Who Keeps Records?
• Employers with only 10 or less employees.
• Low hazard industries. (See end slides)
51

52. 52
OSHA Form 300

53. Calculation of the DART
• DART = Days Away,
Restricted or
Transferred
• DART= #cases x 200,000/ #hours
53

54. OSHA 300
• Summary
• Review OSHA 300
• Dart Exercise on Sample
Prefilled Form
• Fatalities are recorded
on Column G and M
• What is the DART of the
company listed on the
handout?
• Hours = 100,000
54

55. DART Comparison
• BLS DART 2017
• Private sector 0.9
• Mining 1.0
• Construction 1.8
• Manufacturing 2.0
• Education 0.8
• Trucking 2.9
• Warehousing 3.3
• Utilities 1.1
• Agriculture 1.7
55

56. 56

57. Safety Pays
• Total costs
• Average $37,000
• Amputation $138,881
• Foreign Body in eye $40,494
• Fracture $112,261
• Puncture $53,575
• Strain $69,213
57

58. Feb 2018
• $5 million dollar payroll in
highway construction.
• Annual premium.
• $428,000 EMR 1.0
• $238,000 EMR 0.8
• $635,000 EMR 1.3
• Indiana 44% lower.

59. TCIR
• 3.0 million work-related
injuries and illnesses
• The national TCIR rate
for the private sector in
2013 was 3.3 per 100
workers (down from
3.7)
• Total Incident Case Rate
= TCIR

60. DAFW or “Lost Time” Rate
• DAFW = days away from
work cases
• Usually only to see physical
injuries cases involving lost
time.
• Used by Ford and several
other companies.
• Not restricted or
transferred counted.
• National DAFW is 0.7
60

61. Severity Rate
• Uses number of days vs.
number of cases.
• Example of a
calculation.
61

62. 62OSHA Form 301

63. OSHA 301
• Summary
• Exercise using IL45 form
63

64. 64
OSHA Form 300A

65. OSHA 301
• Summary
• Exercise using the
prefilled OSHA 300
form
65

66. 66

67. 67
OSHA Audit Recordkeeping
• Ask Employer policy for reporting
• Determine if employer discourages
reporting
• Ask about Incentive programs
Obtain copies of employer policies

68. 68
Recordkeeping Documentation
• If employers maintain records
electronically then get them
electronically.
• Where citations are issued for
Recordkeeping violations:
– Identify the injury or Illness
– Describe the work-relationship
– Indicate one or more of the general
recording criteria

69. 69
Recordkeeping Citations
• When an employer fails to record an injury or illness
case on the OSHA 300 Log or equivalent form:
– Cite 1904.4(a)
• When an employer fails to record a case correctly
(e.g., incorrectly recorded a Days Away from Work
case as Restricted Work/Job Transfer or as Other
Recordable case)
– Cite 1904.7(b)(3) or 1904.7(b)(4)

70. 70
Recordkeeping Citations
(Continued)
• When an employer fails to fill out or did not
accurately complete an OSHA 301 or equivalent
form for each injury or illness case
– Cite 1904.29(b)(2)
• When an employer fails to complete an OSHA
Form 300A
– Cite 1904.32(a)(2)

71. Work Comp IL
• Illinois: What are the time limits for notifying the employer of a workplace
accident?
• Generally, the employee must notify the employer as soon as practicable,
but no later than 45 days after the accident. Any delay in the notice to the
employer can delay the payment of benefits.
• For injuries resulting from radiological exposure, the employee must
notify the employer 90 days after the employee knows or suspects that he
or she has received an excessive dose of radiation.
• For occupational diseases, the employee must notify the employer as
soon as practicable after he or she becomes aware of the condition.
71

72. 72
Recording and Reporting Occupational
Injuries and Illnesses
Overview of the Rule

73. Employee Definition
• Covered Employees
- Employees on payroll
- Employees not on payroll
who are supervised on
day-to-day basis
- Temporary help agencies
should not record temp
workers when supervised
by the using firm.

74. 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
– Medical treatment beyond first aid
– Loss of consciousness
– Significant injury or illness diagnosed by
a physician or other licensed health care
professional (even if it doesn’t result in
any of the above)

75. Days Away Cases
• Check the days away box and
enter calendar days away from
work
• Do not include day of injury or
illness
• 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

76. Days Away Cases
• 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

77. Restricted Work/Job Transfer
• Restricted work activity
occurs when:
– An employee is kept from
performing one or more
routine functions of his or her
job (work activities the
employee performs at least
once per week); or
– An employee is kept from
working a full workday; or
– The employer, a physician or
licensed health care
professional recommends
either of the above

78. • A case does not involve
restricted work activity if
the restriction is limited to
the day of the injury or
illness
• Production of fewer goods
or services is not
considered restricted work
activity
Restricted Work/Job Transfer
Vague restrictions from
licensed health care
professional (e.g. take it easy
for a week) need to be
clarified or recorded as
restricted work.

79. • Job transfer occurs when:
– An injured or ill employee
is assigned to a job other
than his or her regular job
for part of the day. Note:
Does not include the day
on which the injury or
illness occurred.
• Both job transfers and
restricted work cases are
recorded in the same box
Restricted Work/Job Transfer

80. OSHA 2015
80
$7000

81. OSHA 2015
81
Grouped with previous

82. Medical Treatment
• Medical treatment is the
management and care of
a patient to combat
disease or disorder. It
does not include:
– Visits to licensed
health care
professional solely for
observation or
counseling
– Diagnostic procedures
– First aid

83. First Aid
• Only treatment listed in
1904.7(b)(5)(ii) is
considered First Aid
• All other treatment is
considered medical
treatment and is
recordable
(Remember: observation,
counseling, diagnostic
procedures are neither of
the above!)

84. • 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
First Aid – 1904.7(b)(5)(ii)

85. • 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
First Aid – 1904.7(b)(5)(ii)

86. Exercise
• First Aid or Recordable?
• Use FA for First Aid and R for Recordable
• NONE lost a day of work.
86

87. 87
Recording Criteria Decision Tree
Did the employee experience an
injury or illness?
Is the injury
or illness a new case?
Is the injury or
illness work-related?
Does the injury or illness meet
the generalrecording criteria
or the application to specific cases?
Update the previously
recorded injury or illness
entry if necessary.
NO
YES
YES
YES
YES
Record the
injury or illness
Do not record the
injury or illness
NO
NO
NO
1904.4

88. 88
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

89. 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
exposures occurring in the work
environment
1904.5

90. Significant Injury or Illness
• A significant injury or
illness is recordable even
if it does not result in
death, days away,
restricted days, job
transfer, loss of
consciousness or medical
treatment
• Examples are: Work-related cases of
cancer, chronic irreversible disease,
fractured or cracked bone or
punctured eardrum.

91. 91
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
(Regardless of where signs or symptoms surface, a
case is work-related only if a work event or
exposure is a discernable cause of the injury or
illness or of a significant aggravation to a pre-
existing condition.)
• Voluntary participation in wellness program,
medical, fitness or recreational activity
• Eating, drinking or preparing food or drink for
personal consumption

92. 92
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

93. 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

94. 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 they are
directly related to the
performance of work rather
than the general home
environment.
Lead miniatures

95. 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
body; or
– The employee previously experienced a
recordable injury or illness of the same type
that affects the same part of body but had
recovered completely and an event or
exposure in the work environment caused
the signs and symptoms to reappear
Hernia

96. New Case
• Recurring symptoms of chronic illness
are not new cases
– Cancer, asbestosis, silicosis, etc.
• Each episode caused by a new event
or exposure in the work environment
is a new case
– Occupational asthma, skin disorders
• If there is a medical opinion regarding
resolution of a case, the employer
must follow that opinion

97. Needlestick and Sharps Injuries
- Record all injuries from
needlesticks and sharps that
are contaminated with another
person’s blood or other
potentially infectious material
- Update injury case to illness
case on log if case later results
in bloodborne illness
- Record all other cut/laceration
cases only if they meet general
recording criteria
- Record splashes or other exposures to
blood or other potentially infectious
material if it results in diagnosis of a
bloodborne illness or meets the general
recording criteria

98. Medical Removal Cases
• If an employee is medically
removed under the medical
surveillance requirements of an
OSHA standard, you must record
the case on the OSHA Form 300
• 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

99. Hearing Loss
• 1904.10(b)(1)
• A Standard Threshold Shift, or STS, is
defined in the occupational noise
exposure standard as a change in
hearing threshold, relative to the
baseline audiogram for that
employee, of an average of 10
decibels (dB) or more at 2000, 3000,
and 4000 hertz (Hz) in one or both
ears AND the employee's total
hearing level is 25 decibels (dB) or
more above audiometric zero

100. 100
1904.10 – Hearing Loss (cont’d)
• Must compute the STS in accordance with OSHA’s noise
standard, 1910.95
• Compare employee’s current audiogram to the original
baseline audiogram or the revised baseline audiogram
allowed by 1910.95(g)(9)
• May adjust for aging to determine whether an STS has
occurred using tables in Appendix F of 1910.95
• May not adjust for aging to determine whether or not hearing
level is 25 dB or more above audiometric zero

101. Tuberculosis
• If an employee is exposed to someone
with a known case of active tuberculosis,
and that employee subsequently
develops a tuberculosis infection, record
as respiratory condition
• 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

102. Musculoskeletal Disorders
• There are no special recording
criteria for musculoskeletal
disorders (MSD) .
• An MSD case is recorded using
the same process used for any
other injury or illness.
• If a musculoskeletal disorder is
work-related, is a new case,
and meets one or more of the
general recording criteria, the
employer must record the MSD
on the OSHA 300 Log.
102

103. Musculoskeletal Disorders 2011
• Administrative Law Judge Augustine first
explained in his decision that for a case to be
work-related for purposes of OSHA
recordkeeping, the “employee’s work
activities do not have to be the cause of an
injury or illness, but rather a cause.”
• He then found that the company’s
ergonomic evaluation of the employee’s
work station had been “deficient,” as it did
not include an interview of the employee, an
examination of the postures, repetition, and
force necessary to move parts, or
consideration of the various risk factors
related to epicondylitis.
The Judge pointed out that the
The company’s assessment was
conducted in one day and the
assessment report was just 2
pages and 23 sentences long.
He also noted that the company
physician was not able to
establish any likely cause for the
employee’s epicondylitis, such as
sports or hobbies performed
outside of work.

104. Ergonomics
• Musculoskeletal disorders caused by ergonomic hazards are increasing
and now account for 34.7% of all serious injuries.

105. Recording Workshop
• Ten Cases EXERCISE
• For lost time – Column H and M
• Days missed – Column K
105

106. 106
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

107. 107
1904.31 – Covered Employees
• Employees on payroll
• Employees not on payroll who are supervised on a
day-to-day basis (temps)
• Exclude self-employed and partners
• Temporary help agencies should not record the
cases experienced by temp workers who are
supervised by the using firm

108. Employee Involvement & Access to Records
• Must inform each employee of how to report an
injury or illness
• Must provide limited access to injury and illness
records to employees, former employees and
their personal and authorized representatives
– Provide copy of OSHA 300 by end of next business day
– May not remove names from OSHA 300

109. 109
1904.35(b)(1)(i)
• You must establish a reasonable procedure for
employees to report work related injuries and
illnesses promptly and accurately.
• A procedure is not reasonable if it would deter or
discourage a reasonable employee from accurately
reporting a workplace injury or illness;

110. Drug Testing
• OSHA’s interprets this rule
broadly to prohibit mandatory
post-accident drug testing,
concluding that such tests
discriminate against employees
on the basis of injury and illness
reporting.
• OSHA further explains that
incentive programs are
retaliatory if they offer benefits
to employees or workforces who
do not report injuries and
illnesses
• OSHA announced that it was
delaying the enforcement date of
the new rules to November 1,
2016
Reporting guidance memo
allows latency for ergo injury
Cannot use drug testing to
discourage report injury. Ex in
the Fed Register is
Carpal tunnel.
Only drug testing an injured in
a crane incident.

111. 111
1904.40 – Providing Records to
Government Representatives
• Must provide copies of the records within 4
business hours (OSHA)
• Use the business hours of the establishment
where the records are located

112. Access to OSHA 300
• Form with Identifiers
- Employees
- Former Employees
- Authorized Representative
- Auditor hired by Company
- Workers’ Comp Processing
- Public Health/Law Enforcement
• Remove Identifiers
– All other requesters

113. 113
Employee Involvement
• Requires employers to establish a procedure for
employees to report injuries and illnesses and tell
their employees how to report
• Employers are prohibited from discriminating
against employees who do report
• Employee representatives will now have access to
those parts of the OSHA 301 form relevant to
workplace safety and health
1904.35 & 36

114. 114
Employee Privacy
• Prohibits employers from entering an individual’s
name on Form 300 for certain types of
injuries/illnesses
• Provides employers the right not to describe the
nature of sensitive injuries where the employee’s
identity would be known
• Gives employee representatives access only to
the portion of Form 301 which contains no
personal information
• Requires employers to remove employees’ names
before providing the data to persons not
provided access rights under the rule
1904.29(b)

115. What is Privacy Concern Case?
• Privacy Concern Cases
– 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
– Illness cases where the employee voluntarily
requests to keep name off

116. Privacy Concerns
• Do not enter the name of an employee on the
OSHA Form 300 for “Privacy concern cases”
• Write “Privacy case” in the name column
• Keep a separate confidential list of the case
numbers and employee names

117. 117
HIPAA
• Section 164.512(a) of the privacy regulation allows covered entities to use
or disclose protected health information, without authorization, when
they are "required" to do so by another law, provided the use or
disclosure meets or is limited to the relevant requirements of such law.
• HHS has stated this section of the regulation is intended to include the full
array of binding legal authority, including statutes, agency orders,
regulations, rules, or other Federal, State or local governmental actions
having the effect of law. 65 FR 82668.
• As a result, the privacy regulation does not allow a covered entity to
restrict or refuse to disclose protected health information required by
OSHA on the ground that the authorization of individual employees has
not been obtained.

118. 118
Annual Summary
• Requires the annual summary to be posted
for three months instead of one
• February 1 to April 30
• Requires certification of the summary by a
company executive
1904.32

119. 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

120. Change of Ownership
• Each employer responsible for recording and
reporting only for period of the year during which
he or she owned the establishment
• Old owner must transfer records to new owner
• New owner must retain records

121. January 2015
• 3118 Bakeries and tortilla
manufacturing
• 4411 Automobile dealers
• 4413 Automotive parts, accessories,
and tire stores
• 4441 Building material and supplies
dealers
• 4452 Specialty food stores
• 4453 Beer, wine, and liquor stores
• 4539 Other miscellaneous store
retailers
• 4543 Direct selling establishments
• 5311 Lessors of real estate
• 5313 Activities related to real estate
• 5322 Consumer goods rental
• 5324 Commercial and industrial machinery and
equipment rental and leasing
• 5419 Other professional, scientific, and technical
services
• 5612 Facilities support services
• 5617 Services to buildings and dwellings
• 5619 Other support services
• 6219 Other ambulatory health care services
• 6241 Individual and family services
• 6242 Community food and housing, and
emergency and other relief services
• 7111 Performing arts companies
• 7113 Promoters of performing arts, sports, and
similar events
• 7121 Museums, historical sites, and similar
institutions
• 7139 Other amusement and recreation industries
• 7223 Special food services
• 8129 Other personal services
121
New Sectors keeping
records

122. Low Rate
• 4412 Other Motor Vehicle Dealers
• 4431 Electronics and Appliance Stores
• 4461 Health and Personal Care Stores
• 4471 Gasoline Stations
• 4481 Clothing Stores
• 4482 Shoe Stores
• 4483 Jewelry, Luggage, and Leather Goods Stores
• 4511 Sporting Goods, Hobby, and Musical Instrument
Stores
• 4512 Book, Periodical, and Music Stores
• 4531 Florists
• 4532 Office Supplies, Stationery, and Gift Stores
• 4812 Nonscheduled Air Transportation
• 4861 Pipeline Transportation of Crude Oil
• 4862 Pipeline Transportation of Natural Gas
• 4869 Other Pipeline Transportation
• 4879 Scenic and Sightseeing Transportation, Other
• 4885 Freight Transportation Arrangement
• 5111 Newspaper, Periodical, Book, and Directory
Publishers
• 5112 Software Publishers
• 5121 Motion Picture and Video Industries
• 5122 Sound Recording Industries
• 5151 Radio and Television Broadcasting
• 5172 Wireless Telecommunications Carriers (except
Satellite)
• 5173 Telecommunications Resellers
• 5179 Other Telecommunications
• 5181 Internet Service Providers and Web Search Portals
• 5182 Data Processing, Hosting, and Related Services
• 5191 Other Information Services
• 5211 Monetary Authorities - Central Bank
• 5221 Depository Credit Intermediation
• 5222 Nondepository Credit Intermediation
• 5223 Activities Related to Credit Intermediation
• 5231 Securities and Commodity Contracts
Intermediation and Brokerage
• 5232 Securities and Commodity Exchanges
• 5239 Other Financial Investment Activities
• 5241 Insurance Carriers
• 5242 Agencies, Brokerages, and Other Insurance
Related Activities
• 5251 Insurance and Employee Benefit Funds
• 5259 Other Investment Pools and Funds
• 5312 Offices of Real Estate Agents and Brokers
• 5331 Lessors of Nonfinancial Intangible Assets (except
Copyrighted Works)
122
Exempted unless asked to keep by
OSHA or BLS

123. Low Rate
• 5411 Legal Services
• 5412 Accounting, Tax Preparation, Bookkeeping, and
Payroll Services
• 5413 Architectural, Engineering, and Related Services
• 5413 Architectural, Engineering, and Related Services
• 5414 Specialized Design Services
• 5415 Computer Systems Design and Related Services
• 5416 Management, Scientific, and Technical Consulting
Services
• 5417 Scientific Research and Development Services
• 5418 Advertising and Related Services
• 5511 Management of Companies and Enterprises
• 5611 Office Administrative Services
• 5614 Business Support Services
• 5615 Travel Arrangement and Reservation Services
• 5616 Investigation and Security Services
• 6111 Elementary and Secondary Schools
• 6112 Junior Colleges
• 6113 Colleges, Universities, and Professional Schools
• 6114 Business Schools and Computer and Management
Training
• 6115 Technical and Trade Schools
• 6116 Other Schools and Instruction
• 6117 Educational Support Services
• 6211 Offices of Physicians
• 6212 Offices of Dentists
• 6213 Offices of Other Health Practitioners
• 6214 Outpatient Care Centers
• 6215 Medical and Diagnostic Laboratories
• 6244 Child Day Care Services
• 7114 Agents and Managers for Artists, Athletes,
Entertainers, and Other Public Figures
• 7115 Independent Artists, Writers, and Performers
• 7213 Rooming and Boarding Houses
• 7221 Full-Service Restaurants
• 7222 Limited-Service Eating Places
• 7224 Drinking Places (Alcoholic Beverages)
• 8112 Electronic and Precision Equipment Repair and
Maintenance
• 8114 Personal and Household Goods Repair and
Maintenance
• 8121 Personal Care Services
• 8122 Death Care Services
• 8131 Religious Organizations
• 8132 Grantmaking and Giving Services
• 8133 Social Advocacy Organizations
• 8134 Civic and Social Organizations
•
123
Exempted unless asked to keep by
OSHA or BLS

124. OSHA Recordkeeping Page
124

125. Does an employer have to keep a log of the
temp worker injuries?
• Yes.
• “ The log is to be kept for an establishment.
• Under Section 1904.46 Definitions, an establishment is a
single physical location where business is conducted or where
services or industrial operations are performed.
• The controlling employer (using firm) may sub-divide the
OSHA 300 Log to provide separate listings of temporary
workers”.
• http://www.osha.gov/pls/oshaweb/owadisp.show_document
?p_table=INTERPRETATIONS&p_id=24518
125

126. Parking Lots
• " while both employees'
sustained injuries in the company
parking lot, neither case involved
a motor vehicle accident.
• Instead, the two employees were
injured when they fell out of their
parked vehicle and struck the
parking lot surface (work
environment).
• As a result, neither case meets
the exception in Section
1904.5(b)(2)(vii), and, therefore,
must be recorded on the
establishment's log, if they meet
the other recording criteria listed
in the regulation (e.g., medical
treatment, days away from work,
etc.). “
• The parking lot is recordable.
126

127. Feb 2014
• On a related topic: In the past we
had an employee on her lunch
break, outside but still on our
property, become startled by a
bee, tripped and sustained some
minor injuries beyond first aid.
• Would this be considered work-
related and therefore
recordable?
• We do not punch-in or out for
lunch periods.
127

128. Lunch
• Lunch accident would be
recordable.
• The work environment includes
any location where one or more
employees are working or are
present as a condition of their
employment.
128

129. IV Fluid
• Recordable?
129
Intravenous (IV) administration of glucose and saline: ...In the final rule ...OSHA
has decided not to include the IV administration of fluids on the first aid list
because these treatments are used for serious medical events, such as post-
shock, dehydration or heat stroke. The administration of IVs is an advanced
procedure that can only be administered by a person with advanced medical
training, and is usually performed under the supervision of a physician.

130. Chipped Tooth
• Recordable?
130
Yes, under section 1904.7(b)(7), these cases are considered a significant
injury or illness when diagnosed by a physician or other health care
professional. As discussed in the preamble of the final rule, work-related
fractures of bones or teeth are recognized as constituting significant
diagnoses and, if the condition is work-related, are appropriately recorded
at the time of initial diagnosis even if the case does not involve any of the
other general recording criteria.

131. Antibiotics Drops
• If the antibiotic was a
prescription medication, the case
is recordable regardless of
whether the medication was
given solely as a preventive
measure).
131

132. April 2015
• Worker goes to clinic on
Saturday after getting
hurt.
• Clinic said follow up w
regular doctor.
• Company doctor sees
him Monday.
• Says return to work that
day.
• How is this handled?
132

133. Trend Example Using DART
• Warehouse operators
• 2000 = 17.6
• 2001 = 21.5
• 2002 = 35.1
• 2003 = 32.9
• W.O. Upper Extremity
Injuries
• 2000 = 4.7
• 2001 = 6.3
• 2002 = 7.0
• 2003 = 8.2

134. What is the Ergo Stressor Here?
Driver facing forward
for driving
Driver is supposed
to drive backwards

135. Trend Example Using DART Rate
• Facility
• 2001 7.4
• 2002 38.8
• 2003 35.6
• Warehouse Operator
Injuries
• 2001 = 21.5
• 2002 = 38.6
• 2003 = 54.7

136. What is the Ergo Stressor Here?

137. BP 2010-2013
• DART 0.27 vs.
Construction 2.0
• $37,000 an injury.
• 11 injuries vs. 80
expected per year
• 8 million hours a year.
• Savings in four years
$10 million.

138. 138
Questions?