| DIRECTIVE NUMBER: CPL
02-00-135 |
EFFECTIVE DATE: December
30, 2004 |
| SUBJECT:
Recordkeeping Policies and Procedures Manual |
ABSTRACT
| Purpose: |
This Instruction transmits enforcement information
and provides changes and additions to CPL 02-00-131/CPL 2-0.131 of
January 1, 2002, Chapter 1; Paragraph V; Federal Program Changes and
Chapter 5, Frequently Asked Questions on OSHA's recordkeeping
regulations.
|
| Scope: |
OSHA-wide.
|
| Cancellations: |
OSHA Instruction CPL 02-00-131 of January 1,
2002.
|
| References: |
All 29 CFR Part 1904 SAVES of OSHA Instruction CPL
2.35, CH-1 and CH-5, Regulatory and General Industry SAVEs,
September 1, 1979; OSHA Instruction CPL 2.80, Handling of Cases to
be Proposed for Violation-by-Violation Penalties, October 21, 1990;
OSHA Instruction CPL 2.103, Field Inspection Reference Manual
(FRIM), September 26, 1994; OSHA Instruction CPL 2.111, Citation
Policy for Paperwork and Written Program Requirement Violations,
November 27, 1995; and OSHA Instruction CPL2-2.33, 29 CFR 1913.10,
Rules of Agency Practice and Procedure Concerning OSHA Access to
Employee Medical Records-Procedures Governing Enforcement
Activities, February 8, 1982.
|
| State Impact: |
State adoption is required in part. See Chapter 1,
Paragraph V.
|
| Action Offices: |
National, Regional, Area Office, and State Plan
States
|
| Enforcement Date: |
See Chapter 1, Paragraph IX
|
| Originating Office: |
Directorate of Evaluation and
Analysis
|
| Contact: |
Office of Statistical Analysis, Recordkeeping
Division
200 Constitution Avenue, NW N-3507
Washington, DC
20210
(202-693-1702) |
By and Under the Authority of
John L.
Henshaw
Assistant Secretary
Executive Summary
Recordkeeping Policies and Procedures Manual (RKM) was
published as OSHA Instruction CPL 2-0.131 on January 1, 2002. It was
issued for the new recordkeeping rule that was published in the Federal
Register on January 19, 2001. This manual is divided into five
chapters: Chapter 1 - Background; Chapter 2 - Enforcement Policies and
Procedures; Chapter 3 - Standard Alleged Violation Elements (SAVEs);
Chapter 4 - Comparison of Old and New rule; Chapter 5 - Frequently Asked
Questions.
This Instruction revises the manual introducing changes
to Chapter 1; Paragraph V; Federal Program Changes, amends Frequently
Asked Question (FAQ) 7-10 and adding additional FAQ's to the existing
Chapter 5 of CPL 02-00-131/CPL 2-0.131.
Significant Changes
This Instruction reintroduces the recordkeeping manual
(published as OSHA Instruction CPL 02-00-131/CPL 2-0.131 on January 1,
2002) for the recordkeeping rule that assembles recordkeeping compliance
policies and procedures from several existing OSHA Instructions.
-
State Plan States are required to adopt interpretations.
- A Compliance
Officer Checklist has been added.
This Instruction updates the
recordkeeping manual in the following manner:
- Change in the
Originating Office: Directorate of Evaluation and Analysis
- Change in
Chapter 1; Paragraph V; Federal Program Changes
- A number of new
Frequently Asked Questions (FAQ's) have been added to the existing FAQ's
in Chapter 5.
TABLE OF CONTENTS
ABSTRACT
TABLE OF CONTENTS
Chapter
1. BACKGROUND
- Purpose.
- Scope.
- Cancellations.
- References.
- Federal Program Changes.
- Significant Changes.
- Action Information.
- Action.
- Enforcement Date.
- Background.
- Transition from the Old Rule.
Figure
1-1 Changes to New Rule in October 12, 2001 Federal Register
Notice.
Chapter
2. ENFORCEMENT POLICIES AND PROCEDURES.
- Summary of the New Rule.
- Inspection and Citation Procedures.
- Physician or Other Licensed Health Care Provider's Opinion.
- Employers Exempt and Partially Exempt.
- References to Old Forms and to the LWDI/LWDII.
- Prohibition Against Discrimination.
- Definitions.
Figure
2-1 Compliance Officer Checklist
Figure
2-2 Recordkeeping Violation Documentation Worksheet
(blank)
Figure
2-3 Recordkeeping Violation Documentation Worksheet
(sample)
Figure
2-4 Health Care Practitioners' Abbreviations
Figure
2-5 Partially Exempt Industries
Figure
2-6 Newly Covered Industries
Figure
2-7 Newly Partially Exempt Industries
Figure
2-8 Incidence Rate Worksheet for ___________ Company (Optional)
Chapter
3. STANDARD ALLEGED VIOLATION ELEMENTS
Chapter
4. COMPARISON OF OLD AND NEW RULE
Chapter
5. FREQUENTLY ASKED QUESTIONS
- General Guidance.
- Section 1904.0 -- Purpose.
- Section 1904.2 -- Partial Exemption for Establishments in Certain
Industries.
- Section 1904.4 -- Recording Criteria.
- Section 1904.5 -- Determination of Work-Relatedness.
- Section 1904.6 -- Determination of New Cases.
- Section 1904.7 -- General Recording Criteria.
- Section 1904.8 -- Recording Criteria for Needlestick and Sharps
Injuries.
- Section 1904.29 -- Forms.
- Section 1904.31 -- Covered Employees.
- Section 1904.32 -- Annual Summary.
- Section 1904.35 -- Employee Involvement.
- Section 1904.37 -- State Recordkeeping Regulations.
- Section 1904.39 -- Reporting Fatalities & Multiple
Hospitalization Incidents to OSHA.
INDEX
- Purpose. This instruction gives enforcement guidance for the
Occupational Safety and Health Administration's (OSHA's) new
recordkeeping regulation, 29 Code of Federal Regulations Part
1904.
- Scope. This instruction applies OSHA-wide.
- Cancellations.
- OSHA Instruction CPL 02-00-131 of January 1, 2002.
- References.
- All 29 CFR Part 1904 SAVEs of OSHA Instruction CPL 2.35, CH-1 and
CH-5, Regulatory and General Industry SAVEs, September 1,
1979.
- OSHA Instruction CPL 2.80, Handling of Cases to be Proposed for
Violation-By-Violation Penalties, October 21, 1990.
- OSHA Instruction CPL 2.103, Field Inspection Reference Manual
(FIRM), September 26, 1994.
- OSHA Instruction CPL 2.111, Citation Policy for Paperwork and
Written Program Requirement Violations, November 27, 1995.
- OSHA Instruction CPL 2-2.33, 29 CFR 1913.10, Rules of Agency
Practice and Procedure Concerning OSHA Access to Employee Medical
Records - Procedures Governing Enforcement Activities, February 8,
1982.
- OSHA Instruction CPL 2-2.46, 29 CFR §1913.10(b)(6), Authorization
and Procedures for Reviewing Medical Records, January 5, 1989.
- OSHA Instruction STP 2.12B, State Program Requirements for
Statistical Information on the Incidence of Occupational Injuries and
Illnesses by Industry; on the Injured or Ill Worker; and on the
Circumstances of the Injuries or Illnesses, May 4, 1992.
- OSHA Instruction STP 2-1.12, State Statistical and Recordkeeping
Program Under 18(b) Plans, October 30, 1978.
- Memorandum to All Regional Administrators from Michael G. Connors,
Deputy Assistant Secretary, FIRM Change: Mandatory Collection of OSHA
200 and Lost Workday Injury and Illness (LWDII) Data During
Inspections, dated June 21, 1996.
- Federal Register, Vol. 61, page 4030, February 2, 1996,
Occupational Injury and Illness Recording and Reporting Requirements,
Notice of Proposed Rulemaking.
- Federal Register, Vol. 61, page 7758, February 29, 1996,
Occupational Injury and Illness Recording and Reporting Requirements,
Addendum to the Proposed Rule.
- Federal Register, Vol. 66, page 5916, January 19, 2001,
Occupational Injury and Illness Recording and Reporting Requirements,
Final Rule.
- Federal Register, Vol. 66, page 35113, July 3, 2001,
Occupational Injury and Illness Recording and Reporting Requirements,
Proposed delay of effective date; request for comments.
- Federal Register, Vol. 66, page 52031, October 12, 2001,
Occupational Injury and Illness Recording and Reporting Requirements,
Final Rule.
- Federal Program Changes. This instruction describes a Federal
program change which requires State action.
- Recordkeeping Regulations. The revised recordkeeping rule
at 29 CFR §1904.37 and §1952.4 requires that States adopt occupational
injury and illness recording and reporting requirements that are
substantially identical to the requirements in the Federal revision of
29 CFR Part 1904, by January 1, 2002. The requirements for determining
which injuries and illnesses are recordable and how they are recorded
must be identical to those in Part 1904, so that national statistics
are uniform. For other provisions in Part 1904 (for example, industry
exemptions, reporting of fatalities and hospitalizations, record
retention, or employee involvement), State requirements may be more
stringent than or supplemental to the Federal requirements, but any
different requirements must be approved by OSHA. The States were
expected to adopt a regulation equivalent to 29 CFR 1904 by January 1,
2002.
- The requirement that States participate in the BLS survey of
work-related injuries and illnesses or provide equivalent data under
an alternative system approved by OSHA and BLS are set out in OSHA
Instruction STP 2.12B and OSHA Instruction STP 2-1.12.
- Recording and Reporting Requirements. In order to ensure
uniform national statistics, States must adopt the interpretations in
this Instruction which relate to the determination of which injuries
and illnesses are recordable and how they are recorded. (States must
also adhere to any additional formal Federal interpretations regarding
the recording and reporting of injuries and illnesses issued through
formal letter or memorandum and/or posted on OSHA's website.) For
interpretations, including FAQs, regarding other recordkeeping issues,
States may adopt interpretations which are at least as effective as
the Federal interpretations but must submit those interpretations,
with an explanation of how the differences are at least as effective,
for OSHA approval.
Because the new recordkeeping rules are
already in effect, States must implement these interpretations as soon
as possible, but no later than six months from the date of issuance of
this Instruction or any revisions thereto, and submit the cover page
of the State's implementing guidance to the Regional
Administrator.
- Compliance Procedures. Adoption of the enforcement policies
and procedures described in this instruction is not required; however,
States are expected to have enforcement policies and procedures which
are at least as effective as those of Federal OSHA.
- Significant Changes. This Instruction creates a recordkeeping
manual for the new rule that assembles recordkeeping compliance policies
and procedures from several existing OSHA Instructions. The manual is
divided into five chapters: Chapter 1 - Background: Chapter 2 -
Enforcement Policies and Procedures; Chapter 3 - Standard Alleged
Violation Elements (SAVEs); Chapter 4 - Comparison of Old and New Rule;
Chapter 5 - Frequently Asked Questions. State Plan States are required
to adopt interpretations, and a Compliance Officer Checklist has been
added.
- Action Information.
- Responsible Office. Directorate of Information Technology
(DIT).
- Action Offices. Regional Offices, Area Offices, State Plan
States.
- Information Offices. Informational copies of this
Instruction are provided to: Consultation Project Managers, Compliance
Assistance Coordinator and Compliance Assistant Specialists.
- Action. Regional Administrators and Area Directors in Federal
enforcement states and State Designees in State Plan States will ensure
that the policies and procedures established in this instruction, or
their equivalent in State Plan States, are transmitted to and
implemented in all field offices.
- Enforcement Date. During the initial period the new
recordkeeping rule is in effect OSHA compliance officers conducting
inspections will focus on assisting employers to comply with the new
rule rather than on enforcement. OSHA will not issue citations for
violations of the recordkeeping rule during the first 120 days after
January 1, 2002, provided the employer is attempting in good faith to
meet its recordkeeping obligation and agrees to make corrections
necessary to bring the records into compliance.
- Background. On February 2, 1996 OSHA first published in the
Federal Register the proposed rule for Occupational Injury and
Illness Recording and Reporting Requirements; on February 29, 1996 OSHA
published an addendum to the proposed rule: the executive summary of the
Preliminary Economic Analysis. On January 19, 2001 the final rule was
published in the Federal Register with an effective date of
January 1, 2002.
The new rule maintains the basic structure and
recordkeeping practices of the old system, but it employs new forms and
somewhat different requirements for recording, maintaining, posting,
retaining and reporting occupational injury and illness information.
Information collection and reporting under the new rule will continue to
be done on a calendar year basis.
On July 3, 2001 OSHA issued a
notice in the Federal Register announcing it was proceeding with
implementation of the new Recordkeeping Rule effective January 1, 2002,
with two exceptions. OSHA proposed delaying for one year implementing
the criteria covering work-related hearing loss, and the definition of
musculoskeletal disorders (MSDs), including the requirement to check the
Hearing Loss and MSD columns on the OSHA 300 Log. Public comments were
accepted on this proposal through September 4.
On October 12,
2001 OSHA issued a notice in the Federal Register delaying the
effective date of three provisions of the final new rule published
January 19, 2001, They are:
Sections 1904.10(a) and (b), which
specify recording criteria for cases involving occupational hearing loss
and requires employers to check the hearing loss column;
Section
1904.12, which defines "musculoskeletal disorder (MSD)" and requires
employers to check the MSD column on the OSHA Log if an employee
experiences a work-related musculoskeletal disorder; and
Section
1904.29(b)(7)(vi), which states that MSDs are not considered privacy
concern cases.
The effective date of these provisions is delayed
until January 1, 2003.
OSHA added a new paragraph (c) to §1904.10
establishing criteria for recording cases of work-related hearing loss
during calendar year 2002. This section codified the enforcement policy
in effect since 1991, under which employers must record work-related
shifts in hearing of an average 25dB or more at 2000, 3000 and 4000
hertz in either ear. See Figure 1-1 at the end of this Chapter for the
changes to the rule.
Page 5921 of the January 19, 2001 Federal
Register notice states that the following Bureau of Labor Statistics
(BLS)/OSHA publications are withdrawn as of January 1, 2002:
Recordkeeping Guidelines for Occupational Injuries and Illnesses,
1986; and A Brief Guide to Recordkeeping Requirements for
Occupational Injuries and Illnesses, 1986. In addition, the notice
states that all letters of interpretation regarding the old rule's
injury and illness recordkeeping requirements are to be withdrawn and
removed from the OSHA CD-ROM and the OSHA Internet site.
- Transition from the Old Rule. The transition from the old
rule to the new rule includes training and outreach to familiarize
employers and employees about the new forms and requirements, as well as
informing employers in newly covered industries that they are now
required to keep OSHA Part 1904 records. An additional transition issue
for employers, who kept records under the old system and will also keep
records under the new system, is how to handle the data collected under
the old system during the transition year.
Sections 1904.43 and
1904.44 of the new rule address what employers must do to keep the
required OSHA records during the first five years that the new system is
in effect. This five-year period is called the transition period. The
majority of the transition requirements apply only to the first year,
when the data from the previous year (collected under the old rule) must
be summarized and posted during the month of February. For the remainder
of the transition period, the employer is required to retain the records
created under the old rule for five years and provide access to those
records for the government, the employer's employees, and employee
representatives.
The new rule maintains the basic structure and
recordkeeping practices of the old system, but uses new forms and
somewhat different requirements for recording, maintaining, posting,
retaining and reporting occupational injury and illness information.
Information collection and reporting under the new rule will continue to
be done on a calendar year basis.
In the transition from the old
rule to the new rule, OSHA intends employers to make a clean break with
the old system. On January 1, 2002 the new rule will replace the old
rule, and OSHA will discontinue the use of all previous forms,
interpretations and guidance. The following timetable shows the sequence
of events and postings that will occur:
| During 2001 |
Employers keep injury and illness information on
the OSHA 200 |
| January 1, 2002 |
Employers begin keeping data on the OSHA
300 |
| February 1, 2002 |
Employers post the 2001 data on the OSHA
200 |
| March 1, 2002 |
Employers may remove the 2001 posting |
| February 1, 2003 |
Employers post the 2002 data on the OSHA
300A |
| May 1, 2003 |
Employers may remove the 2002
posting |
- OSHA 200 Summary. The new rule's requirements for certification by
a company executive and a three-month posting period will not apply to
the posting of the OSHA 200 Log and Summary for the year 2001.
- Retention and Updating Old Forms. Employers still must retain the
OSHA records from 2001 and previous years for five years from the end
of the year to which they refer. The employer must provide copies of
the retained records to authorized government representatives, and to
his or her employees and employee representatives, as required by the
new rule.
OSHA will not require employers to update their old
OSHA 200 and OSHA 101 forms for years before 2002.
Figure
1-1Changes to New Rule in October 12, 2001 Federal Register
Notice (66 FR 52031)
Section 1904.10 was
amended by adding a note to the section, and by adding a new paragraph
(c), as follows:
(c) Recording criteria for calendar year
2002. From January 1, 2002 until December 31, 2002, you are required
to record a work-related hearing loss averaging 25dB or more at 2000,
3000, and 4000 hertz in either ear on the OSHA 300 Log. You must use the
employee's original baseline audiogram for comparison. You may make a
correction for presbycusis (aging) by using the tables in appendix F of 29
CFR 1910.95. The requirement of §1904.37(b)(1) that States with
OSHA-approved state plans must have the same requirements for determining
which injuries and illnesses are recordable and how they are recorded
shall not preclude the states from retaining their existing criteria with
regard to this section during calendar year 2002.
Note to §1904.10:
Paragraphs (a) and (b) of this section are effective on January 1, 2003.
Paragraph (c) of this section applies from January 1, 2002 until December
31, 2002.
Section 1904.12 was amended by adding a note to the
section as follows:
Note to §1904.12: This section is effective
January 1, 2003. From January 1, 2002 until December 31, 2002, you are
required to record work-related injuries and illnesses involving muscles,
nerves, tendons, ligaments, joints, cartilage and spinal discs in
accordance with the requirements applicable to any injury or illness under
§1904.5, §1904.6, §1904.7, and §1904.29. For entry (M) on the OSHA 300
Log, you must check either the entry for "injury" or "all other
illnesses."
Section 1904.29(b)(7)(vi) was revised to read as
follows:
(vi) Other illnesses, if the employee independently and
voluntarily requests that his or her name not be entered on the log.
Musculoskeletal disorders (MSDs) are not considered privacy concern cases.
(Note: The first sentence of this §1904.29(b)(7)(vi) is effective on
January 1, 2002. The second sentence is effective beginning on January 1,
2003.
Chapter
2. ENFORCEMENT POLICIES AND PROCEDURES
- Summary of the New Rule. The central requirements in OSHA's
recordkeeping rule, 29 CFR 1904, are summarized below.
- Coverage. The rule requires employers to keep records of
occupational deaths, injuries and illnesses, and to make certain
reports to OSHA and the Bureau of Labor Statistics. Smaller employers
(with 10 or fewer workers) and employers who have establishments in
certain retail, service, finance, real estate or insurance industries
are not required to keep these records. However, they must report any
occupational fatalities or catastrophes that occur in their
establishments to OSHA, and they must participate in government
surveys if they are asked to do so.
- Forms. Employers who operate establishments that are
required by the rule to keep injury and illness records are required
to complete three forms: the OSHA 300 Log of Work-Related Injuries and
Illnesses, the annual OSHA 300A Summary of Work-Related Injuries and
Illnesses, and the OSHA 301 Injury and Illness Incident Report.
Employers are required to keep separate 300 Logs for each
establishment that they operate that is expected to be in operation
for one year or longer. The Log must include injuries and illnesses to
employees on the employer's payroll as well as injuries and illnesses
of other employees the employer supervises on a day-to-day basis, such
as temporary workers or contractor employees who are subject to daily
supervision by the employer. Within seven calendar days of the time
the fatality, injury, or illness occurred, the employer must enter any
case that is work-related, is a new case, and meets one or more of the
recording criteria in the rule on the Log and Form 301.
- Work-Relationship. Section 1904.5(a) states that "[the
employer] must consider an injury or illness to be work-related if an
event or exposure in the work environment either caused or contributed
to the resulting condition. Work-relatedness is presumed for injuries
and illnesses resulting from events or exposures occurring in the work
environment...." Under this language, a case is presumed work-related
if, and only if, an event or exposure in the work environment is a
discernable cause of the injury or illness or of a significant
aggravation to a pre-existing condition. The work event or exposure
need only be one of the discernable causes; it need not be the sole or
predominant cause.
Section 1904.5(b)(2)(ii) states that a case
is not recordable if it "involves signs or symptoms that surface at
work but result solely from a non-work-related event or exposure that
occurs outside of the work environment." This language is intended as
a restatement of the principle expressed in section 1904.5(a),
described above. Regardless of where signs or symptoms surface, a case
is recordable 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.
Section 1904.5(b)(3) states that if it
is not obvious whether the precipitating event or exposure occurred in
the work environment or elsewhere, the employer "must evaluate the
employee's work duties and environment to decide whether or not one or
more events or exposures in the work environment caused or contributed
to the resulting condition or significantly aggravated a pre-existing
condition." This means that the employer must make a determination
whether it is more likely than not that work events or exposures were
a cause of the injury or illness, or of a significant aggravation to a
pre-existing condition. If the employer decides the case is not
work-related, and OSHA subsequently issues a citation for failure to
record, the Government would have the burden of proving that the
injury or illness was work-related.
- New Case. Only new cases are recordable. Work-related
injuries and illnesses are considered to be new cases when the
employee has never reported similar signs or symptoms before, or when
the employee has recovered completely from a previous injury or
illness and workplace events or exposures have caused the signs or
symptoms to reappear.
- General Recording Criteria. Employers must record new
work-related injuries and illnesses that meet one or more of the
general recording criteria or meet the recording criteria for specific
types of conditions. Recordable work-related injuries and illnesses
are those that result in one or more of the
following:
Death,
Days away from work,
Restricted
work,
Transfer to another job,
Medical treatment beyond first
aid,
Loss of consciousness, or
Diagnosis of a significant injury
or illness.
Employers must classify each case on the 300 Log in
accordance with the most serious outcome associated with the case. The
outcomes listed on the form are: death, days away, restricted
work/transfer, and "other recordable." For cases resulting in days
away or in a work restriction or transfer of the employee, the
employer must count the number of calendar days involved and enter
that total on the form. The employer may stop counting when the total
number of days away, restricted or transferred reaches 180.
- Restricted Work. An employee's work is considered
restricted when, as a result of a work-related injury or illness, (A)
the employer keeps the employee from performing one or more of the
routine functions of his or her job (job functions that the employee
regularly performs at least once per week), or from working the full
workday that he or she would otherwise have been scheduled to work, or
(B) a physician or other licensed health care professional recommends
that the employee not perform one or more of the routine functions of
his or her job, or not work the full workday that he or she would
otherwise have been scheduled to worked. The new rule continues the
policy established under the old rule that a case is not recordable
under section 1904.7(b)(4) as a restricted work case if the employee
experiences minor musculoskeletal discomfort, a health care
professional determines that the employee is fully able to perform all
of his or her routine job functions, and the employer assigns a work
restriction to that employee for the purpose of preventing a more
serious condition from developing
- Medical Treatment. Medical treatment means any treatment
not contained in the list of first aid treatments. Medical treatment
does not include visits to a healthcare professional for observation
and counseling or diagnostic procedures. First aid means only those
treatments specifically listed in 1904.7. Examples of first aid
include: the use of non-prescription medications at non-prescription
strength, the application of hot or cold therapy, eye patches or
finger guards, and others.
- Diagnosis of a Significant Injury or Illness. A
work-related cancer, chronic irreversible disease such as silicosis or
byssinosis, punctured eardrum, or fractured or cracked bone is a
significant injury or illness that must be recorded when diagnosed by
a physician or a licensed health care professional.
- Recording Injuries and Illnesses to Soft Tissues.
Work-related injuries and illnesses involving muscles, nerves,
tendons, ligaments, joints, cartilage and spinal discs are recordable
under the same requirements applicable to any other type of injury or
illness. There are no special rules for recording these cases: if the
case is work-related and involves medical treatment, days away, job
transfer or restricted work, it is recordable.
- Employee Privacy. The employer must protect the privacy of
injured or ill employees when recording cases. In certain types of
cases, such as those involving mental illness or sexual assault, the
employer may not enter the injured or ill employee's name on the Log.
Instead, the employer simply enters "privacy case," and keeps a
separate, confidential list containing the identifying information. If
the employer provides the OSHA records to anyone who is not entitled
to access to the records under the rule, the names of all injured and
ill employees generally must be removed before the records are turned
over.
- Certification, Summarization and Posting. After the end of
the year, employers must review the Log to verify its accuracy,
summarize the 300 Log information on the 300A summary form, and
certify the summary (a company executive must sign the certification).
This information must then be posted for three months, from February 1
to April 30. The employer must keep the records for five years
following the calendar year covered by them, and if the employer sells
the business, he or she must transfer the records to the new
owner.
- Employee Involvement. Each employer must set up a way for
employees to report work-related injuries and illnesses, and each
employee must be informed about how he or she is to report an injury
or illness. Employees, former employees, and employee representatives
also have a right to access the records, and an employer must provide
copies of certain records upon request.
- Reporting. The employer must orally report within 8 hours
work-related fatalities and incidents involving the hospitalization of
three or more employees to the nearest OSHA office, or the OSHA
Hotline at 1-800-321-OSHA. There is an exception for certain motor
vehicle or public transportation accidents. An employer also must
participate in an OSHA or BLS injury and illness survey if he or she
receives a survey form from OSHA or the BLS.
- Inspection and Citation Procedures.
- Review Records and Collect Data. All CSHOs on all
inspections must review and record the establishment's injury and
illness records for the three prior calendar years in accordance with
the Deputy Assistant Secretary's Memorandum to Regional Administrators
dated June 21, 1996 regarding FIRM Change: Mandatory Collection of
OSHA 200 and Lost Workday Injury and Illness (LWDII) Data During
Inspections. Following a records review, the CSHO may expand the
inspection as described in Chapter II, paragraph A.1.b. of the FIRM
(CPL 2.103).
At the end of this chapter are some tools to
assist the compliance officer: Figure 2-1 has a Compliance Officer
Checklist; Figure 2-2 has a blank Optional Violation Documentation
Worksheet; Figure 2-3 has a completed sample Optional Violation
Documentation Worksheet; and Figure 2-4 has the Health Care
Practitioners' Abbreviations.
For all inspections, except for
construction, as part of the CSHO's case preparation, the CSHO must
obtain any OSHA Data Initiative (ODI) survey information available on
the establishment from www.ergweb3.com:8087 (site will require user
name and password). During the inspection the CSHO will compare this
data with the OSHA 200 or OSHA 300 logs for the three prior calendar
years at the establishment. Note: The first ODI for construction
establishments will collect the 2001 injury and illness data in 2002;
the data will be available in 2003.
- Citations and Penalties for Violation of Part 1904
Requirements. The following incorporates paragraph G.2. of OSHA
Instruction CPL 2.111, and supersedes and replaces Paragraph
C.2.n.(2)(b), and Paragraphs C.2.n.(3), (4), and (5)(a) in Chapter IV
of the FIRM (CPL 2.103).
- OSHA 300 and OSHA 301 Forms. The employer must record cases on
the OSHA 300 Log of Work-Related Injuries and Illnesses, and on the
OSHA 301 Incident Report, (or equivalent form), as prescribed in
Subpart C of §1904. Where no records are kept and there have
been injuries or illnesses which meet the requirements for
recordability, as determined by other records or by employee
interviews, a citation for failure to keep records will normally be
issued.
When the required records are kept but no
entry is made for a specific injury or illness which meets the
requirements for recordability, a citation for failure to record the
case will normally be issued.
Where no records are kept
and there have been no injuries or illnesses, as determined
by employee interviews, a citation will not be issued. See II B.2.
regarding OSHA 300A, Annual Summary.
When the required
records are kept but have not been completed with the detail
required by the regulation, or the records contain minor
inaccuracies, the records will be reviewed to determine if there are
deficiencies that materially impair the understandability of the
nature of hazards, injuries and illnesses in the
workplace.
If the defects in the records materially impair
the understandability of the nature of the hazards, injuries and/or
illnesses at the workplace, an other-than-serious citation will
normally be issued.
Incompletely Recorded Cases on the
OSHA 300 or 301. If the deficiencies do not materially impair
the understandability of the information, normally no citation will
be issued. For example, an employer should not be cited solely for
misclassifying an injury as an illness or vice versa. The employer
will be provided information on keeping the records for the
employer's analysis of workplace injury trends and on the means to
keep the records accurately. The employer's promised actions to
correct the deficiencies will be recorded and no citation will be
issued.
One Citation Item Per Form. Except for
violation-by-violation citations pursuant to OSHA Instruction CPL
2.80, recordkeeping citations for improper recording of a case will
be limited to a maximum of one citation item per form per year. This
applies to both the OSHA 300 and the OSHA 301. Where the conditions
for citation are met, an employer's failure to accurately complete
the OSHA 300 Log for a given year would normally result in one
citation item. Similarly, an employer's failure to accurately
complete the OSHA 301, or equivalent, would normally result in one
citation item. Multiple cases which are unrecorded or inaccurately
recorded on the OSHA 300 or 301s during a particular year will
normally be reflected as instances of the violation under that
citation item.
For example: A single citation item for an
OSHA 300 violation would result from a case where the employer did
not properly count the days away, checked the wrong column, and did
not adequately describe the injury or illness, or where the employer
in several cases checked the wrong columns and/or did not adequately
describe the injury or illness, and these errors materially impair
the understandability of the nature of the hazards, injuries and/or
illnesses at the workplace. Note: As stated above, an employer
should not be cited solely for misclassifying injuries as illnesses
or vice versa.
For example: A single citation item for an
OSHA 301 violation would result where OSHA 301s had not been
completed, or where so little information had been put on the 301s
for multiple cases as to make the 301s materially
deficient.
Penalties. When a penalty is appropriate,
there will be an unadjusted penalty of $1,000 for each year the OSHA
300 was not properly kept; an unadjusted penalty of $1,000 for each
OSHA 301 that was not filled out at all (up to a maximum of $7,000);
and an unadjusted penalty of $1,000 for each OSHA 301 that was not
accurately completed (up to a maximum of $3,000).
Where
citations are issued, penalties will be proposed only in the
following cases:
Where OSHA can document that the employer
was previously informed of the requirements to keep records;
or,
Where the employer's deliberate decision to
deviate from the recordkeeping requirements, or the employer's plain
indifference to the requirements, can be documented.
- Posting Annual Summary Requirements. An
other-than-serious citation will normally be issued, if an employer
fails to post the OSHA 300A Summary by February as required by
§1904.32(a)(1); and/or fails to certify the Summary as required by
§1904.32(b)(3); and/or fails to keep it posted for three months,
until May 1, as required by §1904.32(b)(6). The unadjusted penalty
for this violation will be $1,000.
A citation will not be
issued if the Summary that is not posted or certified reflects no
injuries or illnesses, and no injuries or illnesses actually
occurred. The CSHO will verify that there were no recordable
injuries or illnesses by interviews, or by review of workers'
compensation or other records, including medical records.
- Reporting. In accordance with §1904.39, an employer is
required to report to OSHA within 8 hours of the time the employer
learns of the death of any employee or the inpatient hospitalization
of three or more employees, from a work-related incident. This
includes fatalities at work caused by work-related heart attacks.
There is an exception for certain work-related motor vehicle
accidents or public transportation accidents.
The employer
must orally report the fatality or multiple hospitalization by
telephone or in person to the OSHA Area Office (or State Plan
office) that is nearest to the site of the incident. OSHA's
toll-free telephone number may be used: 1-800-321-OSHA
(1-800-321-6742).
An other-than-serious citation will
normally be issued for failure to report such an occurrence. The
unadjusted penalty will be $5,000.
If the Area Director
determines that it is appropriate to achieve the necessary deterrent
effect, the unadjusted penalty may be $7,000.
If the Area
Director becomes aware of an incident required to be reported under
§1904.39 through some means other than an employer report, prior to
the elapse of the 8-hour reporting period and an inspection of the
incident is made, a citation for failure to report will normally not
be issued.
- Access to Records for Employees. If the employer fails
upon request to provide copies of records required in §1904.29(a) to
any employee, former employee, personal representative, or
authorized employee representative by the end of the next business
day, a citation for violation of §1904.35(b)(2) will normally be
issued. The unadjusted penalty will be $1,000 for each form not made
available.
For example: If the OSHA 300 or the OSHA 300A for
the current year and the three preceding years is not made
available, the unadjusted penalty will be $4,000.
If the
employer does not make available the OSHA 301s, the unadjusted
penalty will be $1,000 for each OSHA 301 not provided, up to a
maximum of $7,000.
If the employer is to be cited for failure
to keep records (OSHA 300, OSHA 300A, or OSHA 301) under §1904.4, no
citation for failure to give access under §1904.35(b)(2) will be
issued.
- Willful, Significant, and Egregious Cases. When a CSHO
determines that there may be significant recordkeeping deficiencies,
it may be appropriate to make a referral for a recordkeeping
inspection, or to contact the Region's Recordkeeping Coordinator for
guidance and assistance.
- Willful and Significant Cases. All willful recordkeeping
cases and all significant cases with major recordkeeping violations
will be initially reviewed by the Region's Recordkeeping
Coordinator.
- Egregious Cases. When willful violations are apparent,
violation-by-violation citations and penalties may be proposed in
accordance with OSHA's egregious policy as stated in OSHA
Instruction CPL 2.80.
- Enforcement Procedures for Occupational Exposure to Bloodborne
Pathogens. Compliance guidance given in paragraph X of OSHA
Instruction CPL 2-2.44D is superseded by 29 CFR 1904.8 (Recording
Criteria for Needlestick and Sharps Injuries) of the new Recordkeeping
rule.
In addition, the term "contaminated" under 29 CFR 1904.8,
Recording Criteria for Needlestick and Sharps Injuries, incorporates
the definition of "contaminated" from the Bloodborne Pathogens
Standard at 29 CFR 1910.1030(b) ("Definitions"). Thus, contaminated"
means the presence or the reasonably anticipated presence of blood or
other potentially infectious materials on an item or
surface.
Employers may use the OSHA 300 and 301 forms to meet
the sharps injury log requirement of §1910.1030(h)(5), if the employer
enters the type and brand of the device causing the sharps injury on
the Log, and maintains the records in a way that segregates sharps
injuries from other types of work-related injuries and illnesses, or
allows sharps injuries to be easily separated.
- Enforcement Procedures for Occupational Exposure to
Tuberculosis. Compliance guidance given in paragraph L.5. of OSHA
Instruction CPL 2.106 is superseded by 29 CFR 1904.11 (Recording
Criteria for Work-Related Tuberculosis Cases) of the new Recordkeeping
rule.
- Clarification of Recordkeeping Citation Policy in the
Construction Industry. Compliance guidance given in paragraph E.6.
of OSHA Instruction STD 3-1.1 is superseded by CFR 1904.30 (Multiple
Business Establishments) and 1904.31 (Covered Employees) of the new
Recordkeeping rule.
- Recording Criteria for Cases Involving Medical Removal.
Section 1904.9 requires the employer to record the case on the OSHA
300 Log if an employee is medically removed under the medical
surveillance requirements of an OSHA standard. Currently the medical
surveillance requirements of the following standards have medical
removal requirements:
- Benzene. General industry standard (§1910.1028(i)); Shipyard
standard (§1915.1028); and Construction standard
(§1926.1128)
- Cadmium. General industry standard (§1910.1027(l)); Shipyard
standard (§1915.1027); and Construction standard
(§1926.1127)
- Formaldehyde. General industry standard (§1910.1048(l));
Shipyard standard (§1915.1048); and Construction standard
(§1926.1148)
- Lead. General industry standard (§1910.1025); Shipyard standard
(§1915.1025); and Construction standard (§1926.62)
- Methylenedianiline. General industry standard (§1910.1050(m));
Shipyard standard (§1915.1050); and Construction standard
(§1926.60(n))
- Methylene Chloride. General industry standard (§1910.1052(j));
Shipyard standard (§1915.1052); Construction standard
(§1926.1152)
- Vinyl Chloride. General industry standard (§1910.1017(k));
Shipyard standard (§1915.1517); and Construction standard
(§1926.1117)
- Privacy Concern Cases. The new rule at §1904.29(b)(6)
through (10) requires the employer to protect the privacy of the
injured or ill employee. The employer must not enter an employee's
name on the OSHA 300 Log when recording a privacy case. The employer
must keep a separate, confidential list of the case numbers and
employee names, and provide it to the government upon request. If the
work-related injury involves any of the following, it is to be treated
as a privacy case:
- An injury or illness to an intimate body part or the
reproductive system;
- An injury or illness resulting from a sexual assault;
- A mental illness;
- HIV infection, Hepatitis, or Tuberculosis;
- Needlestick and sharps injuries that are contaminated with
another person's blood or other potentially infectious material as
defined by §1910.1030; or
- Other illnesses, if the employee independently and voluntarily
requests that his or her name not be entered on the OSHA 300 Log
(This does not apply to injuries. See the definition of "Injury and
Illness" in §1904.46.) Note: This is a complete
list.
- Physician or Other Licensed Health Care Provider's Opinion.
In cases where two or more physicians or other licensed health care
providers make conflicting or differing recommendations, the employer
must make a decision as to which recommendation is the most
authoritative (best documented, best reasoned, or most persuasive), and
record based on that recommendation.
- Employers Exempt and Partially Exempt.
- Federal Agencies. Except for the United States Postal
Service, federal agencies do not have to maintain OSHA injury and
illness records under Part 1904. Federal Agencies have separate
recordkeeping requirements under 29 CFR Part 1960.
- OSHA and BLS Surveys. All employers who receive the OSHA
annual survey form, or the BLS Survey of Occupational Injuries and
Illnesses Form, are required to complete and return the survey forms
in accordance with §§1904.41 and 1904.42. This requirement also
applies to those establishments under the small establishment
exemption and the low hazard industry exemption.
- Small Employer Exemption. Since 1977 the regulations have
exempted employers with ten or fewer employees at all times during the
last calendar year from the regular recordkeeping requirements. The
new rule at §1904.1 continues this small employer exemption.
- Low-Hazard Industry Exemption. Since 1982, OSHA has
exempted some low-hazard industries from maintaining injury and
illness records on a regular basis. The new rule updates the old
rule's listing of partially exempted low-hazard industries, which are
those Standard Industrial Classification (SIC) code industries within
SICs 52-89 that have an average Days Away, Restricted, or Transferred
(DART) rate at or below 75% of the national average DART rate. The new
rule at §1904.2 continues this low-hazard industry
exemption.
See Figure 2-5 at the end of the Chapter for the
list of Partially Exempt Industries. Note: In the new rule, the
description of some industry groups is abridged in the chart in
Appendix A. Industries that are not listed, such as Music Stores in
SIC 573, are nevertheless intended to be included in the list. Consult
the Standard Industrial Classification Manual 1987 for a
complete description of each industry included in each industry group.
See also Figure 2-6 for a list of Newly Covered Industries, and Figure
2-7 for a list of Newly Partially Exempted Industries.
- References to Old Forms and to the LWDI/LWDII. Beginning
January 1, 2002, references in any OSHA directive, memorandum, or other
publication to the recordkeeping forms will be considered as references
to the OSHA 300, 301 and 300A, unless it is clear that the reference is
to the forms used before January 1, 2002. Also, all references to the
Lost Workday Injury (LWDI) rate or the Lost Workday Injury and Illness
(LWDII) rate shall be considered to be a reference to the Days Away,
Restricted, or Transferred (DART) rate, unless it is clear that the
reference is to the rate in use prior to January 1, 2002.
- Prohibition Against Discrimination. Section 1904.36 is
informational only and is not a citable provision of the regulation. Any
discrimination cases related to this rule are to be handled using the
normal process under Section 11(c) of the OSH Act.
- Definitions.
- Days Away, Restricted, or Transferred (DART) Rate: This
includes cases involving days away from work, restricted work
activity, and transfers to another job and is calculated based on
(N/EH) x (200,000) where N is the number of cases involving
days away and/or job transfer or restriction, EH is the total number
of hours worked by all employees during the calendar year, and 200,000
is the base for 100 full-time equivalent employees. For
example:
Employees of an establishment (XYZ Company),
including temporary and leased workers, worked 645,089 hours at XYZ
company. There were 22 injury and illness cases involving days away
and/or restricted work activity and/or job transfer from the OSHA 300
Log (total of column H plus column I). The DART rate would be
(22/645,089) x (200,000) = 6.8.
Note: The DART rate will
replace the Lost Workday Injury and Illness (LWDII) rate. See Figure
2-8 at the end of this Chapter for an optional Incidence Rate
Worksheet.
- Establishment: An establishment is a single physical
location where business is conducted or where services or industrial
operations are performed. For activities where employees do not work
at a single physical location, such as construction; transportation;
communications, electric, gas and sanitary services; and similar
operations, the establishment is represented by main or branch
offices, terminals, stations, etc. that either supervise such
activities or are the base from which personnel carry out these
activities.
- Normally, one business location has only one establishment.
Under limited conditions, the employer may consider two or more
separate businesses that share a single location to be separate
establishments. An employer may divide one location into two or more
establishments when:
- Each of the establishments represents
a distinctly separate business;
- Each business is engaged in
a different economic activity;
- No one industry description
in the Standard Industrial Classification Manual (1987) applies to
the joint activities of the establishments; and
- Separate
reports are routinely prepared for each establishment on the number
of employees, their wages and salaries, sales or receipts, and other
business information.
For example: If an employer operates a
construction company at the same location as a lumber yard, the
employer may consider each business to be a separate
establishment.
- An establishment can include more than one physical location,
but only under certain conditions. An employer may combine two or
more physical locations into a single establishment only
when:
- The employer operates the locations as a single
business operation under common management;
- The locations
are all located in close proximity to each other; and
- The
employer keeps one set of business records for the locations, such
as records on the number of employees, their wages and salaries,
sales or receipts, and other kinds of business
information.
For example: One manufacturing establishment
might include the main plant, a warehouse a few blocks away, and an
administrative services building across the street.
For
employees who telecommute from home, the employee's home is not a
business establishment and a separate 300 Log is not required.
Employees who telecommute shall be linked to one of the employer's
establishments under §1904.30(b)(3).
- Construction work sites that are:
- Scheduled to continue for a year or more:
- A separate OSHA 300 Log must be maintained for each
establishment.
- The log may be maintained either
At the construction
site, or
At an established central location provided the
employer can:
-- Transmit information about the injuries
and illnesses from the establishment to the central location
within seven (7) calendar days of receiving information that a
recordable injury or illness has occurred, and
-- Produce
and send records from the central location to the establishment
within four business hours when the employer is required to
provide to a government representative or by the end of the next
business day when providing records to an employee, former
employee or employee representative.
- Scheduled to continue for less than a year:
- A Separate OSHA 300 Log need not be maintained for each
establishment.
- One OSHA 300 Log may be maintained to cover:
All such
short-term establishments or
All Such short-term
establishments within company divisions or geographic
regions.
- The Log may be maintained at the establishment or at a
central location under the given in 3.a.(2), above.
- First Aid: As stated in §1904.7(b)(5)(ii), first aid
means only the following treatments (any treatment not included in
this list is not considered first aid for recordkeeping
purposes): (a) Using a nonprescription medication at nonprescription
strength; (b) Administering tetanus immunizations; (c) Cleaning,
flushing or soaking wounds on the surface of the skin; (d) Using wound
coverings such as bandages, Band-Aids?, gauze pads, etc.;or using
butterfly bandages or Steri-Strips?; (e) Using hot or cold therapy;
(f) Using any non-rigid means of support, such as elastic bandages,
wraps, non-rigid back belts, etc.; (g) Using temporary immobilization
devices while transporting an accident victim; (h) Drilling of a
fingernail or toenail to relieve pressure, or draining fluid from a
blister; (i) Using eye patches; (j) Removing foreign bodies from the
eye using only irrigation or a cotton swab; (k) Removing splinters or
foreign material from areas other than the eye by irrigation,
tweezers, cotton swabs or other simple means; (l) Using finger guards;
(m) Using massages; or (n) Drinking fluids for relief of heat
stress.
- Injuries and Illnesses: An injury or illness is an abnormal
condition or disorder. 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. (Note: Injuries and
illnesses are recordable only if they are new, work-related cases that
meet one or more of the Part 1904 recording criteria.)
Note:
The distinction between injury and illness is no longer
a factor for determining which cases are recordable.
- Medical Treatment: Medical treatment means the management
and care of a patient to combat disease or disorder. For recordkeeping
purposes, it does not include (a) visits to a physician or other
licensed health care professional solely for observation or
counseling; (b) diagnostic procedures such as x-rays and blood tests,
including the administration of prescription medications used solely
for diagnostic purposes (e.g., eyedrops to dilate pupils); or (c) any
treatment contained on the list of first-aid treatments.
- Other Potentially Infectious Material (OPIM): For purposes
of 29 CFR Part 1904, this term has the same meaning as in OSHA's
bloodborne pathogens standard at 29 CFR §1910.1030, which defines OPIM
as: (1) The following human body fluids: semen, vaginal secretions,
cerebrospinal fluid, synovial fluid, pleural fluid, pericardial fluid,
peritoneal fluid, amniotic fluid, saliva in dental procedures, any
body fluid that is visibly contaminated with blood, and all body
fluids in situations where it is difficult or impossible to
differentiate between body fluids; (2) Any unfixed tissue or organ
(other than intact skin) from a human (living or dead); and (3)
HIV-containing cell or tissue cultures, organ cultures, and HIV- or
HBV-containing culture medium or other solutions; and blood, organ, or
other tissues from experimental animals infected with HIV or
HBV.
- Physician or Other Licensed Health Care Professional: A
physician or other licensed health care professional is an individual
whose legally permitted scope of practice (i.e., license registration,
or certification) allows him or her to independently perform, or be
delegated the responsibility to perform, the activities described by
this regulation.
Figure
2-1 Compliance Officer Checklist
This checklist provides guidance for a records evaluation
for inspections that do not follow a specific records evaluation protocol
of another directive, such as in the Site Specific Targeting Inspection
program or the ODI Audit and Verification
program.
PRE-INSPECTION PREP:
Check ODI data for
establishment.
Obtain any OSHA Data Initiative (ODI) survey
information available from www.ergweb3.com:8087 (site will require user
name and password). If assistance is needed, contact the OSHA Regional
Recordkeeping Coordinator for assistance. During the inspection compare
the establishment's ODI data with the OSHA 200 or OSHA 300 logs for the
five prior years or for as many years as there is ODI data. Note: For
non-construction you can use data from 1996 forward. For construction
establishments the first ODI will collect the 2001 injury and illness
data, which will not be available until 2003.
Obtaining
Administrative Subpoena/Medical Access Orders.
If it is
anticipated after review of the history of the establishment that a
subpoena or medical access orders will be needed, review the following
directives for guidance.
- OSHA Instruction ADM 4.4, Administrative
Subpoenas, August 19, 1991
- OSHA Instruction CPL 2-2.30 - 29 CFR
1913.10(b)(6), Authorization of Review of Medical Opinions, November 14,
1980
- OSHA Instruction CPL 2-2.32 - 29 CFR 1913.10(b)(6),
Authorization of Review of Specific Medical Information, January 19,
1981
- OSHA Instruction CPL 2-2.33 - 29 CFR 1913.10, Rules of
Agency Practice and Procedure Concerning OSHA Access to Employee Medical
Records - Procedures Covering Enforcement Activities, February 8,
1982
- OSHA Instruction CPL 2-2.46 - 29 CFR 1913.10(b)(6),
Authorization and Procedures for Reviewing Medical Records, January 5,
1989
ON-SITE:
Verify SIC Code.
Verify
the accuracy of the establishment's SIC code and enter the correct SIC
code on OSHA 1.
Ask for the following
Information.
Ask for the OSHA logs, the total hours worked,
and the number of employees worked for each year, and for a roster of
current employees.
If you have questions regarding a specific case
on the log, request the OSHA 301s or equivalent form for that
case.
Check if the establishment has an on-site medical facility,
where the nearest emergency room is located where employees may be
treated.
Ask your Regional Recordkeeping Coordinator for
Assistance.
If significant recordkeeping deficiencies are
suspected, you and your Area Director may request assistance from the
Regional Recordkeeping Coordinator.
In some situations the CSHO may
need to make a referral for a recordkeeping
inspection.
Procedures for a Recordkeeping
Inspection.
For recorded cases, initially do a random
review of the OSHA 301s and medical records that pertain to the current
employees.
Randomly select employees from the office roster, i.e.,
every tenth employee.
For those randomly selected employees, obtain
the name and address of the medical provider(s).
If random sample
shows sufficient deficiencies, then can expand the review.
If the
review will be expanded, contact early on Regional Recordkeeping
Coordinator for guidance and/or assistance. Early contact should be within
the first month.
To see Figure 2-2 click here
To see Figure 2-3 click here
To see Figure 2-4 click here
To see Figure 2-5 click here
To see Figure 2-6 click here
To see Figure 2-7 click here
To see Figure 2-8 click here
Chapter
3. STANDARD ALLEGED VIOLATION ELEMENTS
- Introduction. This chapter will contain the Standard Alleged
Violation Elements (SAVEs) that are to be used to issue citations under
the new recordkeeping rule. The SAVEs for 29 CFR Part 1904 (old rule) in
OSHA Instruction CPL 2.35, CH-1 and CH-5, will not be used for the new
rule.
- Introduction. Some of the specific changes in the new rule
include (a) changes in coverage; (b) the OSHA Forms; (c) the Recording
Criteria in determination of work-relationship, elimination of different
recording criteria for injuries and illnesses, days away and job
restriction/ transfer, definition of medical treatment and first aid,
recording of needlestick and sharps injuries, and recording of
tuberculosis; (d) change in ownership; (e) employee involvement; (f)
privacy protections; and (g) computerized and centralized
records.
This listing is not comprehensive of an employer's
obligations under OSHA's recordkeeping rule. Please reference 29 CFR
Part 1904 and other parts of this Instruction for all details pertaining
to all recordkeeping obligations.
| Old Rule |
New Rule |
| Forms §1904.29 |
OSHA 200 - Log and Summary
OSHA 101 -
Supplemental Record |
OSHA 300 - Log
OSHA 300A - Summary
OSHA 301
- Incident Report |
| Work-Related
§1904.5 |
| Any aggravation of a pre-existing condition by a
workplace event or exposure makes the case work-related |
Significant aggravation of a pre-existing
condition by a workplace event or exposure makes the case
work-related |
Exceptions to presumption of work
relationship:
1) Member of the general public
2) Symptoms
arising on premises totally due to outside factors
3) Parking
lot/Recreational facility |
Exceptions to presumption of work
relationship:
1) Member of the general public
2) Symptoms
arising on premises totally due to outside factors
3) Voluntary
participation in wellness program
4) Eating, drinking and
preparing one's own food
5) Personal tasks outside working
hours
6) Personal grooming, self-medication, self
infliction
7) Motor vehicle accident in parking lot/access road
during commute
8) Cold or flu
9) Mental illness unless
employee voluntarily presents a medical opinion stating that the
employee has a metal illness that is work-related. |
| New Case §1904.6 |
| New event or exposure, new case |
Aggravation of a case where signs or symptoms have
not resolved is a continuation of the original case |
| 30 day rule for CTDs |
No such criteria |
| General Recording
Criteria §1904.7 |
| All work-related illnesses are recordable |
Work-related illnesses are recordable if they meet
the general recording criteria |
Restricted work activity occurs if the
employee:
1) Cannot work a full shift
2) Cannot perform
all of his or her normal job duties, defined as any duty he or she
would be expected to do throughout the calendar year. |
Restricted work activity occurs if the
employee:
1) Cannot work a full shift
2) Cannot perform
all of his or her routine job functions, defined as any duty he or
she regularly performs at least once a week |
| Restricted work activity limited to the day of
injury makes case recordable |
Restricted work activity limited to the day of
injury does not make case recordable |
Day counts:
Count workdays
No cap on
count |
Day Counts:
Count Calendar days
180 day
cap on count |
Medical treatment does not include:
1)
Visits to MD for observation only
2) Diagnostic procedures
3)
First aid |
Medical treatment does not include:
1)
Visits to MD for observation and counseling only
2) Diagnostic
procedures (including administration of prescription medication for
diagnostic purposes)
3) First aid |
| First Aid list in Bluebook was a list of examples
and not comprehensive |
First Aid list in regulation is comprehensive. Any
other procedure is medical treatment. |
2 doses prescription med - Medical Treatment
(MT)
Any dosage of OTC med - First Aid (FA)
2 or more hot/cold
treatments - MT
Drilling a nail - MT
Butterfly
bandage/Steri-Strip - MT |
1 dose prescription med - MT
OTC med at
prescription strength - MT
Any number of hot/cold treatments -
FA
Drilling a nail - FA
Butterfly bandage/Steri-Strip -
FA |
Non-minor injuries recordable:
1)
fractures
2) 2nd and 3rd degree burns |
Significant diagnosed injury or illness
recordable:
1) fracture
2) punctured ear drum
3)
cancer
4) chronic irreversible disease |
| Specific
disorders |
| Hearing loss - Federal enforcement for 25dB shift
in hearing from original baseline |
Hearing loss - From 1/1/02 until 12/31/02 record
shift in hearing averaging 25dB or more from the employee's original
baseline |
| Needlesticks and 'sharps injuries' - Record only
if case results in med treatment, days away, days restricted or
sero-conversion |
Needlesticks and 'sharps injuries' - Record all
needlesticks and injuries that result from sharps potentially
contaminated with another persons blood or other potentially
infectious material |
| Medical removal under provisions of other OSHA
standards - all medical removal cases recordable |
Medical removal under provisions of other OSHA
standards - all medical removal cases recordable |
| TB - Positive skin test recordable when known
workplace exposure to active TB disease. Presumption of work
relationship in 5 industries |
TB - Positive skin test recordable when known
workplace exposure to active TB disease. No presumption of work
relationship in any industry |
| Other issues |
| Must enter the employees name on all cases |
Must enter 'Privacy Cases' rather than the
employee's name, and keep a separate list of the case number and
corresponding names |
| Access - employee access to entire log, including
names; No access to supplementary form (OSHA 101) |
Access - employee and authorized representative
access to entire log, including names; Employee access to
individual's Incident Report (OSHA 301); Authorized Representative
access to portion of all OSHA 301s |
| Fatality reporting - Report all work-related
fatalities to OSHA |
Fatality reporting - do not need to report
fatalities resulting from motor vehicle accident on public street or
highway that do not occur in construction zone |
| Certification - the employer, or the employee who
supervised the preparation of the Log and Summary, can certify the
annual summary |
Certification - company executive must certify
annual summary |
| Posting - post annual summary during month of
February |
Posting - Post annual summary from Feb 1 to April
30 |
| No such requirement |
You must inform each employee how he or she is to
report an injury or illness |
Chapter 5.
FREQUENTLY ASKED
QUESTIONS
The following Questions and Answers
have been prepared to address enforcement issues concerning the new
Recordkeeping Rule.
- General Guidance.
Question 1. Why is OSHA changing
the 1904 regulation? OSHA is revising the rule to collect better
information about the incidence of occupational injuries and illnesses,
improve employee awareness and involvement in the recording and
reporting of job-related injuries and illnesses, simplify the injury and
illness recordkeeping system for employers, and permit increased use of
computers and telecommunications technology.
Question
2. What recordkeeping actions will take place on January 1,
2002?
A number of actions will take place on January 1, 2002,
including:
The revised 29 CFR Part 1904, entitled Recording and
Reporting Occupational Injuries and Illnesses, will be in
effect.
Three new recordkeeping forms will come into use:
-
OSHA Form 300, Log of Work-Related Injuries and Illnesses
- OSHA Form
300A, Summary of Work-Related Injuries and Illnesses
(The 300 and
300A forms will replace the former OSHA Form 200, Log and Summary of
Occupational Injuries and Illnesses)
- OSHA Form 301, Injury and
Illness Incident Report
(The 301 form will replace the former OSHA
Form 101, Supplementary Record of Occupational Injuries and
Illnesses)
The Bureau of Labor Statistics (BLS)/OSHA
publications: Recordkeeping Guidelines for Occupational Injuries and
Illnesses, 1986 and A Brief Guide to Recordkeeping Requirements
for Occupational Injuries and Illnesses, 1986 will be
withdrawn.
All letters of interpretation regarding the former
rule's injury and illness recordkeeping requirements will be withdrawn
and removed from the OSHA CD-ROM and put into the OSHA Archive
Set.
Question 3. How can I get copies of the new
forms?
Copies of the forms can be obtained on OSHA's web site
at http://www.osha.gov/index.html
or from the OSHA publications office at (202)
693-1888.
Question 4. Can I start using a 300 Log prior
to January 1, 2002?
No. You must continue to keep a 200 Log
for the remainder of 2001. Employers may not start using a 300 Log until
January 1, 2002, because this is the effective date of the new
regulation.
Question 5. Can I compare injury and
illness rates generated from my OSHA form 300, and the new regulation,
to injury and illness rates generated from my OSHA 200 Log under the old
rule (i.e., compare 2001 data with 2002 data)?
The new
recordkeeping rule changes some of the criteria used to determine which
injuries and illnesses will be entered into the records and how they
will be entered. Therefore, employers should use reasonable caution when
comparing data produced under the old 1904 regulation with data produced
under the new rule.
Question 6. Are the recordkeeping
requirements the same in all of the States?
The States
operating OSHA-approved State Plans must adopt occupational injury and
illness recording and reporting requirements that are substantially
identical to the requirements in Part 1904 and which should also be in
effect on January 1, 2002. For more information, see the discussion
under "States Requirements," §1904.37.
- Section 1904.0 -- Purpose.
Question 0-1. Why
are employers required to keep records of work-related injuries and
illnesses?
The OSH Act of 1970 requires the Secretary of
Labor to produce regulations that require employers to keep records of
occupational deaths, injuries, and illnesses. The records are used for
several purposes.
Injury and illness statistics are used by OSHA.
OSHA collects data through the OSHA Data Initiative (ODI) to help direct
its programs and measure its own performance. Inspectors also use the
data during inspections to help direct their efforts to the hazards that
are hurting workers.
The records are also used by employers and
employees to implement safety and health programs at individual
workplaces. Analysis of the data is a widely recognized method for
discovering workplace safety and health problems and for tracking
progress in solving those problems.
The records provide the base
data for the BLS Annual Survey of Occupational Injuries and Illnesses,
the Nation's primary source of occupational injury and illness
data.
Question 0-2. What is the effect of workers'
compensation reports on the OSHA records?
The purpose section
of the rule includes a note to make it clear that recording an injury or
illness neither affects a person's entitlement to workers' compensation
nor proves a violation of an OSHA rule. The rules for compensability
under workers' compensation differ from state to state and do not have
any effect on whether or not a case needs to be recorded on the OSHA 300
Log. Many cases will be OSHA recordable and compensable under workers'
compensation. However, some cases will be compensable but not OSHA
recordable, and some cases will be OSHA recordable but not compensable
under workers' compensation.
- Section 1904.2 -- Partial Exemption for Establishments in Certain
Industries.
Question 2-1. How can I get help to
find my SIC Code and determine if I'm partially exempt from the
recordkeeping rule.
You can access the statistics section of
OSHA's internet home page, at http://www.osha.gov/oshstats/.
Go to the website and choose SIC Manual and follow the directions. If
you still cannot determine your SIC code, you can call an OSHA area
office, or, if you are in a state with an OSHA-approved state plan, call
your State Plan office. OSHA Office
Directory
Question 2-2. Do States with
OSHA-approved State plans have the same industry exemptions as Federal
OSHA?
States with OSHA-approved plans may require employers
to keep records for the State, even though those employers are within an
industry exempted by the Federal rule.
Question 2-3. Do
professional sports teams qualify for the partial industry exemption in
section 1904.2?
No. Only those industry classifications
listed in Appendix A to Subpart B qualify for the partial industry
exemption in section 1904.2. Professional sports teams are classified
under Standard Industrial Classification (SIC) code 794, which is not
one of the listed exempt classifications.
- Section 1904.4 -- Recording Criteria.
Question
4-1. Does an employee report of an injury or illness establish the
existence of the injury or illness for recordkeeping
purposes?
No. In determining whether a case is recordable,
the employer must first decide whether an injury or illness, as defined
by the rule, has occurred. If the employer is uncertain about whether an
injury or illness has occurred, the employer may refer the employee to a
physician or other health care professional for evaluation and may
consider the health care professional's opinion in determining whether
an injury or illness exists. [Note: If a physician or other licensed
health care professional diagnoses a significant injury or illness
within the meaning of §1904.7(b)(7) and the employer determines that the
case is work-related, the case must be recorded.]
- Section 1904.5 -- Determination of
Work-Relatedness.
Question 5-1. If a maintenance
employee is cleaning the parking lot or an access road and is injured as
a result, is the case work-related?
Yes, the case is
work-related because the employee is injured as a result of conducting
company business in the work environment. If the injury meets the
general recording criteria of Section 1904.7 (death, days away, etc.),
the case must be recorded.
Question 5-2. Are cases of
workplace violence considered work-related under the new Recordkeeping
rule?
The Recordkeeping rule contains no general exception,
for purposes of determining work-relationship, for cases involving acts
of violence in the work environment. However, some cases involving
violent acts might be included within one of the exceptions listed in
section 1904.5(b)(2). For example, if an employee arrives at work early
to use a company conference room for a civic club meeting and is injured
by some violent act, the case would not be work-related under the
exception in section 1904.5(b)(2)(v).
Question 5-3.
What activities are considered "personal grooming" for purposes of the
exception to the geographic presumption of work-relatedness in section
1904.5(b)(2)(vi)?
Personal grooming activities are activities
directly related to personal hygiene, such as combing and drying hair,
brushing teeth, clipping fingernails and the like. Bathing or showering
at the workplace when necessary because of an exposure to a substance at
work is not within the personal grooming exception in section
1904.5(b)(2)(vi). Thus, if an employee slips and falls while showering
at work to remove a contaminant to which he has been exposed at work,
and sustains an injury that meets one of the general recording criteria
listed in section 1904.7(b)(1), the case is
recordable.
Question 5-4. What are "assigned working
hours" for purposes of the exception to the geographic presumption in
section 1904.5(b)(2)(v)?
"Assigned working hours," for
purposes of section 1904.5(b)(2)(v), means those hours the employee is
actually expected to work, including overtime.
Question
5-5. What are "personal tasks" for purposes of the exception to the
geographic presumption in section 1904.5(b)(2)(v)?
"Personal
tasks" for purposes of section 1904.5(b)(2)(v) are tasks that are
unrelated to the employee's job. For example, if an employee uses a
company break area to work on his child's science project, he is engaged
in a personal task.
Question 5-6. If an employee stays
at work after normal work hours to prepare for the next day's tasks and
is injured, is the case work-related? For example, if an employee stays
after work to prepare air-sampling pumps and is injured, is the case
work-related?
A case is work-related any time an event or
exposure in the work environment either causes or contributes to an
injury or illness or significantly aggravates a pre-existing injury or
illness, unless one of the exceptions in section 1904.5(b)(2) applies.
The work environment includes the establishment and other locations
where one or more employees are working or are present as a condition of
their employment. The case in question would be work-related if the
employee was injured as a result of an event or exposure at work,
regardless of whether the injury occurred after normal work
hours.
Question 5-7. If an employee voluntarily takes
work home and is injured while working at home, is the case
recordable?
No. Injuries and illnesses occurring in the home
environment are only considered work-related if the employee is being
paid or compensated for working at home and the injury or illness is
directly related to the performance of the work rather than to the
general home environment.
Question 5-8. If an
employee's pre-existing medical condition causes an incident which
results in a subsequent injury, is the case work-related? For example,
if an employee suffers an epileptic seizure, falls, and breaks his arm,
is the case covered by the exception in section
1904.5(b)(2)(ii)?
Neither the seizures nor the broken arm are
recordable. Injuries and illnesses that result solely from
non-work-related events or exposures are not recordable under the
exception in section 1904.5(b)(2)(ii). Epileptic seizures are a symptom
of a disease of non-occupational origin, and the fact that they occur at
work does not make them work-related. Because epileptic seizures are not
work-related, injuries resulting solely from the seizures, such as the
broken arm in the case in question, are not
recordable.
Question 5-9. This question involves the
following sequence of events: Employee A drives to work, parks her car
in the company parking lot and is walking across the lot when she is
struck by a car driven by employee B, who is commuting to work. Both
employees are seriously injured in the accident. Is either case
work-related?
Neither employee's injuries are recordable.
While the employee parking lot is part of the work environment under
section 1904.5, injuries occurring there are not work-related if they
meet the exception in section 1904.5(b)(2)(vii). Section
1904.5(b)(2)(vii) excepts injuries caused by motor vehicle accidents
occurring on the company parking lot while the employee is commuting to
and from work. In the case in question, both employees' injuries
resulted from a motor vehicle accident in the company parking lot while
the employees were commuting. Accordingly, the exception
applies.
Question 5-10. How does OSHA define a "company
parking lot" for purposes of Recordkeeping?
Company parking
lots are part of the employer's premises and therefore part of the
establishment. These areas are under the control of the employer, i.e.
those parking areas where the employer can limit access (such as parking
lots limited to the employer's employees and visitors). On the other
hand, a parking area where the employer does not have control (such as a
parking lot outside of a building shared by different employers, or a
public parking area like those found at a mall or beneath a
multi-employer office building) would not be considered part of the
employers establishment (except for the owner of the building or mall),
and therefore not a company parking lot for purposes of OSHA
recordkeeping.
Question 5-11. An employee experienced
an injury or illness in the work environment before they had "clocked
in" for the day. Is the case considered work related even if that
employee was not officially "on the clock" for pay
purposes?
Yes. For purposes of OSHA recordkeeping injuries
and illnesses occurring in the work environment are considered
work-related. Punching in and out with a time clock (or signing in and
out) does not affect the outcome for determining work-relatedness. If
the employee experienced a work-related injury or illness, and it meets
one or more of the general recording criteria under section 1904.7, it
must be entered on the employer's OSHA 300 log.
Question
5-12. Is work-related stress recordable as a mental illness
case?
Mental illnesses, such as depression or anxiety
disorder, that have work-related stress as a contributing factor, are
recordable if the employee voluntarily provides the employer with an
opinion from a physician or other licensed health care professional with
appropriate training and experience (psychiatrist, psychologist,
psychiatric nurse practitioner, etc.) stating that the employee has a
mental illness that is work-related, and the case meets one or more of
the general recording criteria. See sections 1904.5(b)(2)(ix) and
1904.7.
Question 5-13. If an employee dies or is
injured or infected as a result of terrorist attacks, should it be
recorded on the OSHA Injury and Illness Log? Should it be reported to
OSHA?
Yes, injuries and illnesses that result from a
terrorist event or exposure in the work environment are considered
work-related for OSHA recordkeeping purposes. OSHA does not provide an
exclusion for violence-related injury and illness cases, including
injuries and illnesses resulting from terrorist attacks.
Within
eight (8) hours after the death of any employee from a work-related
incident or the in-patient hospitalization of three or more employees as
a result of a work-related incident, an employer must orally report the
fatality/multiple hospitalization by telephone or in person to the OSHA
Area that is nearest to the site of the incident. An employer may also
use the OSHA toll-free central telephone number, 1-800-321-OSHA
(1-800-321-6742).
- Section 1904.6 -- Determination of New
Cases.
Question 6-1. How is an employer to
determine whether an employee has "recovered completely" from a previous
injury or illness such that a later injury or illness of the same type
affecting the same part of the body resulting from an event or exposure
at work is a "new case" under section 1904.6(a)(2)? If an employee's
signs and symptoms disappear for a day and then resurface the next day,
should the employer conclude that the later signs and symptoms represent
a new case?
An employee has "recovered completely" from a
previous injury or illness, for purposes of section 1904.6(a)(2), when
he or she is fully healed or cured. The employer must use his best
judgment based on factors such as the passage of time since the symptoms
last occurred and the physical appearance of the affected part of the
body. If the signs and symptoms of a previous injury disappear for a day
only to reappear the following day, that is strong evidence the injury
has not properly healed. The employer may, but is not required to,
consult a physician or other licensed health care provider (PLHCP).
Where the employer does consult a PLHCP to determine whether an employee
has recovered completely from a prior injury or illness, it must follow
the PLHCP's recommendation. In the event the employer receives
recommendations from two or more PLHCPs, the employer may decide which
recommendation is the most authoritative and record the case based on
that recommendation.
- Section 1904.7 -- General Recording
Criteria.
Question 7-1. The old rule required the
recording of all occupational illnesses, regardless of severity. For
example, a work-related skin rash was recorded even if it didn't result
in medical treatment. Does the rule still capture these minor illness
cases?
No. Under the new rule, injuries and illnesses are
recorded using the same criteria. As a result, some minor illness cases
are no longer recordable. For example, a case of work-related skin rash
is now recorded only if it results in days away from work, restricted
work, transfer to another job, or medical treatment beyond first
aid.
Question 7-2. Does the size or degree of a burn
determine recordability?
No, the size or degree of a
work-related burn does not determine recordability. If a work-related
first, second, or third degree burn results in one or more of the
outcomes in section 1904.7 (days away, work restrictions, medical
treatment, etc.), the case must be recorded.
Question
7-3. If an employee dies during surgery made necessary by a
work-related injury or illness, is the case recordable? What if the
surgery occurs weeks or months after the date of the injury or
illness?
If an employee dies as a result of surgery or other
complications following a work-related injury or illness, the case is
recordable. If the underlying injury or illness was recorded prior to
the employee's death, the employer must update the Log by lining out
information on less severe outcomes, e.g., days away from work or
restricted work, and checking the column indicating
death.
Question 7-4. An employee hurts his or her left
arm and is told by the doctor not to use the left arm for one week. The
employee is able to perform all of his or her routine job functions
using only the right arm (though at a slower pace and the employee is
never required to use both arms to perform his or her job functions).
Would this be considered restricted work?
No. If the employee
is able to perform all of his or her routine job functions (activities
the employee regularly performs at least once per week), the case does
not involve restricted work. Loss of productivity is not considered
restricted work.
Question 7-5. Are surgical glues used
to treat lacerations considered "first aid?"
No, surgical
glue is a wound closing device. All wound closing devices except for
butterfly and steri strips are by definition "medical treatment,"
because they are not included on the first aid
list.
Question 7-6. Item N on the first aid list is
"drinking fluids for relief of heat stress." Does this include
administering intravenous (IV) fluids?
No. Intravenous
administration of fluids to treat work-related heat stress is medical
treatment.
Question 7-7. Is the use of a rigid finger
guard considered first aid?
Yes, the use of finger guards is
always first aid.
Question 7-8. For medications such as
Ibuprofen that are available in both prescription and non-prescription
form, what is considered to be prescription strength? How is an employer
to determine whether a non-prescription medication has been recommended
at prescription strength for purposes of section
1904.7(b)(5)(i)(C)(ii)(A)? The prescription strength of such
medications is determined by the measured quantity of the theraputic
agent to be taken at one time, i.e., a single dose. The single dosages
that are considered prescription strength for four common
over-the-counter drugs are:
Ibuprofen (such as Advil™) - Greater
than 467 mg
Diphenhydramine (such as Benadryl™) - Greater than 50
mg
Naproxen Sodium (such as Aleve™) - Greater than 220
mg
Ketoprofen (such as Orudus KT™) - Greater than 25mg
To
determine the prescription-strength dosages for other drugs that are
available in prescription and non-prescription formulations, the
employer should contact OSHA, the United States Food and Drug
Administration, their local pharmacist or their
physician.
Question 7-9. If an employee who sustains a
work-related injury requiring days away from work is terminated for drug
use based on the results of a post-accident drug test, how is the case
recorded? May the employer stop the day count upon termination of the
employee for drug use under section 1904.7(b)(3) (vii)?
Under
section 1904.7(b)(3)(vii), the employer may stop counting days away from
work if an employee who is away from work because of an injury or
illness leaves the company for some reason unrelated to the injury or
illness, such as retirement or a plant closing. However, when the
employer conducts a drug test based on the occurrence of an accident
resulting in an injury at work and subsequently terminates the injured
employee, the termination is related to the injury. Therefore, the
employer must estimate the number of days that the employee would have
been away from work due to the injury and enter that number on the 300
Log.
Question 7-10. Once an employer has recorded a
case involving days away from work, restricted work or medical treatment
and the employee has returned to his regular work or has received the
course of recommended medical treatment, is it permissible for the
employer to delete the Log entry based on a physician's recommendation,
made during a year-end review of the Log, that the days away from work,
work restriction or medical treatment were not necessary?
The
employer must make an initial decision about the need for days away from
work, a work restriction, or medical treatment based on the information
available, including any recommendation by a physician or other licensed
health care professional. Where the employer receives contemporaneous
recommendations from two or more physicians or other licensed health
care professionals about the need for days away, a work restriction, or
medical treatment, the employer may decide which recommendation is the
most authoritative and record the case based on that recommendation.
Once the days away from work or work restriction have occurred or
medical treatment has been given, however, the employer may not delete
the Log entry because of a physician's recommendation, based on a
year-end review of the Log, that the days away, restriction or treatment
were unnecessary.
Question 7-10a. If a physician or
other licensed health care professional recommends medical treatment,
days away from work or restricted work activity as a result of a
work-related injury or illness can the employer decline to record the
case based on a contemporaneous second provider's opinion that the
recommended medical treatment, days away from work or work restriction
are unnecessary, if the employer believes the second opinion is more
authoritative?
Yes. However, once medical treatment is
provided for a work-related injury or illness, or days away from work or
work restriction have occurred, the case is recordable. If there are
conflicting contemporaneous recommendations regarding medical treatment,
or the need for days away from work or restricted work activity, but the
medical treatment is not actually provided and no days away from work or
days of work restriction have occurred, the employer may determine which
recommendation is the most authoritative and record on that basis. In
the case of prescription medications, OSHA considers that medical
treatment is provided once a prescription is
issued
Question 7-11. Section 1904.7(b)(5)(ii) of the
rule defines first aid, in part, as "removing splinters or foreign
material from areas other than the eye by irrigation, tweezers, cotton
swabs or other simple means." What are "other simple means" of removing
splinters that are considered first aid?
"Other simple means"
of removing splinters, for purposes of the first-aid definition, means
methods that are reasonably comparable to the listed methods. Using
needles, pins or small tools to extract splinters would generally be
included.
Question 7-12. How long must a modification
to a job last before it can be considered a permanent modification under
section 1904.7(b)(4)(xi)?
Section 1904.7(b)(4)(xi) of the
rule allows an employer to stop counting days of restricted work or
transfer to another job if the restriction or transfer is made
permanent. A permanent restriction or transfer is one that is expected
to last for the remainder of the employee's career. Where the
restriction or transfer is determined to be permanent at the time it is
ordered, the employer must count at least one day of the restriction or
transfer on the Log. If the employee whose work is restricted or who is
transferred to another job is expected to return to his or her former
job duties at a later date, the restriction or transfer is considered
temporary rather than permanent.
Question 7-13. If an
employee loses his arm in a work-related accident and can never return
to his job, how is the case recorded? Is the day count capped at 180
days?
If an employee never returns to work following a
work-related injury, the employer must check the "days away from work"
column, and enter an estimate of the number of days the employee would
have required to recuperate from the injury, up to 180
days.
Question 7-14. If an employee who routinely works
ten hours a day is restricted from working more than eight hours
following a work-related injury, is the case
recordable?
Generally, the employer must record any case in
which an employee's work is restricted because of a work-related injury.
A work restriction, as defined in section 1904.7(b)(4)(i)(A), occurs
when the employer keeps the employee from performing one or more routine
functions of the job, or from working the full workday the employee
would otherwise have been scheduled to work. The case in question is
recordable if the employee would have worked 10 hours had he or she not
been injured.
Question 7-15. If an employee is exposed
to chlorine or some other substance at work and oxygen is administered
as a precautionary measure, is the case recordable?
If oxygen
is administered as a purely precautionary measure to an employ |
Directives - Table of Contents