OSHA Recordkeeping, OSHA Recordkeeping, Reporting & InspectionsReporting & Inspections

INSY 3020/7976INSY 3020/7976

Spring 2008Spring 2008

OSHA RecordkeepingOSHA Recordkeeping

Revised Recordkeeping rule published Revised Recordkeeping rule published in the Federal Register on January 19, in the Federal Register on January 19, 2001 2001

Affects 1.4 million establishmentsAffects 1.4 million establishments

Effective January 1, 2002Effective January 1, 2002

1904.1 – Size Exemption1904.1 – Size Exemption

Based on the entire company’s Based on the entire company’s peak employment during last peak employment during last calendar year calendar year

If at any time during the previous If at any time during the previous calendar year a company had 11 calendar year a company had 11 or more full-time workers, they or more full-time workers, they will not be size exempt from will not be size exempt from recordkeeping.recordkeeping.

Remember the BasicsRemember the Basics

Difference between Reportable and Difference between Reportable and Recordable injuries:Recordable injuries:

A case is both reportable and recordable if A case is both reportable and recordable if it includes a fatality or a catastrophe (3 or it includes a fatality or a catastrophe (3 or more employees injured and hospitalized). more employees injured and hospitalized).

Every other injury involving restriction or Every other injury involving restriction or transfer to another job or days away from transfer to another job or days away from work is recordable only.work is recordable only.

1904.4 – Recording Criteria1904.4 – Recording Criteria

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

contained in sections 1904.7 contained in sections 1904.7 through 1904.11through 1904.11

Work-RelatednessWork-Relatedness

Cases are work-related if:Cases are work-related if:

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

An event or exposure in the work An event or exposure in the work environment significantly aggravates a environment significantly aggravates a pre-existing injury or illness.pre-existing injury or illness.

Day CountsDay Counts

Eliminates the term “lost workdays” Eliminates the term “lost workdays” and focuses on days away or days and focuses on days away or days restricted or transferredrestricted or transferred

Includes new rules for counting that Includes new rules for counting that rely on calendar days instead of rely on calendar days instead of workdays.workdays.

DAFWII & DART DAFWII & DART

• DAFWII – Days Away From Work, Injury DAFWII – Days Away From Work, Injury or Illnessor Illness

Actual # of calendar days between first day Actual # of calendar days between first day missed due to injury & returning daymissed due to injury & returning day

Do not count the day of injuryDo not count the day of injury

• DART – Days Away, Restricted or DART – Days Away, Restricted or TransferTransfer

Includes days of missed work as well as days Includes days of missed work as well as days of “light duty,” etc.of “light duty,” etc.

Generally a larger number than DAFWIIGenerally a larger number than DAFWII

Why Change to Calendar Days?Why Change to Calendar Days?

Easier to calculateEasier to calculate More consistent dataMore consistent data Better measure of severityBetter measure of severity

Recording Criteria Flowchart

Travel StatusTravel Status

Any 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.

OSHA FormsOSHA Forms

OSHA Form 300 – Log of Work-OSHA Form 300 – Log of Work-Related Injuries and Illnesses Related Injuries and Illnesses

Useful for calculating accident rates & often Useful for calculating accident rates & often requested by OSHA during an inspectionrequested by OSHA during an inspection

OSHA Form 301 – Injury and Illness OSHA Form 301 – Injury and Illness Incident ReportIncident Report

Detailed investigation of incidents Detailed investigation of incidents OSHA Form 300A – Summary of OSHA Form 300A – Summary of

Work-Related Injuries and IllnessesWork-Related Injuries and Illnesses Posted in workplace for employee referencePosted in workplace for employee reference

Consider a CaseConsider a Case

An employee, Steve, goes to work An employee, Steve, goes to work He supervises a paint shop and during He supervises a paint shop and during

maintenance, he slips and hits his head maintenance, he slips and hits his head against the wall. He reports a headache against the wall. He reports a headache and he is transferred to a different job. and he is transferred to a different job.

After 12 days, he again complains that he After 12 days, he again complains that he cannot work due to the increasing cannot work due to the increasing headaches and is rushed to the hospital. headaches and is rushed to the hospital.

After 4 days at the hospital, he diesAfter 4 days at the hospital, he dies

What to do?What to do?

Is it reportable?Is it reportable?

How will you record?How will you record?

General Recording CriteriaGeneral Recording Criteria

Requires records to include any work-related Requires records to include any work-related injury or illness resulting in one of the following: injury or illness resulting in one of the following: • Death Death • Catastrophic accidentCatastrophic accident• Days away from workDays away from work• Restricted work or transfer to another jobRestricted work or transfer to another job• Medical treatment beyond first aidMedical treatment beyond first aid• Loss of consciousnessLoss of consciousness• Diagnosis of a significant injury/illness by a physician or Diagnosis of a significant injury/illness by a physician or

other licensed health care professionalother licensed health care professional

Other Recordable’sOther Recordable’s

Needle Stick InjuriesNeedle Stick Injuries Hearing LossHearing Loss Musculoskeletal DisordersMusculoskeletal Disorders Tuberculosis & Medical RemovalTuberculosis & Medical Removal

OSHA ReportingOSHA Reporting

TO REPORT ACCIDENTS, UNSAFE TO REPORT ACCIDENTS, UNSAFE WORKING CONDITIONS, OR SAFETY & WORKING CONDITIONS, OR SAFETY & HEALTH VIOLATIONS HEALTH VIOLATIONS

Contact OSHA at 1-800-321-OSHA Contact OSHA at 1-800-321-OSHA

OSHA Compliance InspectionsOSHA Compliance Inspections

Workplace inspections are triggered to Workplace inspections are triggered to verify compliance with OSHA standards. verify compliance with OSHA standards. • Inspections are almost always conducted Inspections are almost always conducted

without prior notice.without prior notice. It is generally not in the employer’s best It is generally not in the employer’s best

interest to bar Compliance Safety and interest to bar Compliance Safety and Health Officers (Health Officers (CSHOCSHO) entrance.) entrance.• Though, employers do have this rightThough, employers do have this right

Warrants can be obtained in as little as 48 Warrants can be obtained in as little as 48 hours.hours.

Inspection PrioritiesInspection Priorities

Investigation of Imminent DangersInvestigation of Imminent Dangers Catastrophic and FatalCatastrophic and Fatal Investigation of Employee Investigation of Employee

ComplaintsComplaints Programmed High-Hazard Programmed High-Hazard

InspectionsInspections Re-inspectionsRe-inspections

ViolationsViolations

The The General Duty ClauseGeneral Duty Clause.. Willful Violations.Willful Violations.

• Knowingly acting out of compliance.Knowingly acting out of compliance. Serious Violations.Serious Violations.

• Could cause death or serious physical Could cause death or serious physical harm.harm.

• Four step process:Four step process: The type of accident or health hazardThe type of accident or health hazard

ViolationsViolations The type of injury expected.The type of injury expected. Injury could cause death or permanent injury.Injury could cause death or permanent injury. Whether the employer knew or should have known Whether the employer knew or should have known

through due diligence (if the inspector found it, the through due diligence (if the inspector found it, the employer should have found it, too).employer should have found it, too).

Other-Than-SeriousOther-Than-Serious Violations. Violations.• Would not be expected to cause death or Would not be expected to cause death or

serious physical harm.serious physical harm.• Does have a direct effect on employees’ health Does have a direct effect on employees’ health

and safety. and safety.

ViolationsViolations

Repeated Repeated Violations.Violations.• Being cited for a violation that had been Being cited for a violation that had been

previously cited or for a substantially previously cited or for a substantially similar condition.similar condition.

De MinimisDe Minimis Violations.Violations.• Trivial violations.Trivial violations.• Usually only elicits a letter of warning.Usually only elicits a letter of warning.

CitationsCitations

The written document that:The written document that:• Describes the specific nature of the Describes the specific nature of the

alleged violation, alleged violation, • Cites the standard allegedly violated, Cites the standard allegedly violated,

and and • Fixes a time for abatement.Fixes a time for abatement.

Citations for Citations for serious violationsserious violations generally carry monetary penalties.generally carry monetary penalties.

CitationsCitations

Citations should be posted near each Citations should be posted near each place an alleged violation referred to place an alleged violation referred to in the citation.in the citation.

A copy of citation shall remain until A copy of citation shall remain until the violation has been abated, or for the violation has been abated, or for 3 working days, whichever is later.3 working days, whichever is later.

An employer failing to comply with An employer failing to comply with these provisions shall be subjected to these provisions shall be subjected to citation and penalty.citation and penalty.

PenaltiesPenalties

$7,000 to $70,000 for serious to $7,000 to $70,000 for serious to repeated or willful violations.repeated or willful violations.

Egregious PolicyEgregious Policy• If OSHA considers the apparent If OSHA considers the apparent

violations as flagrant, fines for each violations as flagrant, fines for each individualindividual violation may be assessed violation may be assessed rather than for each rather than for each typetype of violation. of violation.

• Generally based upon a high accident/ Generally based upon a high accident/ injury rate or a large number of injury rate or a large number of violations.violations.

Contested CasesContested Cases

Employers have the right to contest any Employers have the right to contest any OSHA action.OSHA action.

Employers can contest citations or Employers can contest citations or penalties before Occupational Safety and penalties before Occupational Safety and Health Review Commission (OSHRC)Health Review Commission (OSHRC)

Employer or employee contesting the Employer or employee contesting the citation should notify the Area Director in citation should notify the Area Director in writing within 15 working days of the day writing within 15 working days of the day of issue of penalty.of issue of penalty.

Questions & CommentsQuestions & Comments