RECORDKEEPING AND REPORTING REQUIREMENTS CFR hour Lesson Sam Mason, CMfgT, CSTM Authorized OSHA Trainer Morehead State University

Important Links  Recordkeeping  Recordkeeping Handbook  Tutorial on Completing the Recordkeeping Forms

Definitions  Establishment. An establishment is a single physical location where business is conducted  For activities where employees do not work at a single physical location, such as construction; transportation; communications, electric, gas and sanitary services; 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.

Definitions  Can an establishment include more than one physical location?  Yes, 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,

Definitions  If an employee telecommutes from home, is his or her home considered a separate establishment?  No, 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 must be linked to one of your establishments under § (b)(3).

Definitions  Injury or illness. 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)  Some aggravation of pre-existing condition may be recordable if significant to cause lost days or loss in productivity

Definitions  Physician or Other Licensed Health Care Professional (PLHCP).  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.

Purpose  Subpart A -- Purpose  § Purpose.  To require employers to record and report work-related fatalities, injuries and illnesses.  Note to § : Recording or reporting a work-related injury, illness, or fatality does not mean that the employer or employee was at fault, that an OSHA rule has been violated, or that the employee is eligible for workers' compensation or other benefits.

Subpart B Scope

Partial Exemption §  (a)(1) Exempt from recordkeeping unless BLS or OHSA informs you in writing to keep records  If your company had ten (10) or fewer employees at all times during the last calendar year, you do not need to keep OSHA injury and illness records unless OSHA or the BLS informs you in writing that you must keep records  However, as required by § , all employers covered by the OSH Act must report to OSHA any workplace incident that results in a fatality or the hospitalization of three or more employees.

Partial Exemption §  (a)(2) 10 or more employees at any time during the last calendar year, you must keep injury and illness records  UNLESS you are classified as a partially exempt industry under

Partial Exemption §  Low risk industries  Retail, services, finance, insurance or real estate industries  List in Appendix A to Subpart B  Exemptions based on SIC codes  OSHA office will help you determine

Subpart C Recordkeeping Forms and Recording Criteria

Recording Criteria §  (a)(1) Work relatedness  (a)(2) New case determination  (a)(3) Meets one or more of the general recording criteria of § or the application to specific cases of § through §  How do I decide whether a particular injury or illness is recordable?

Did the employee experience an injury or illness? Is the injury or illness work related? Is the injury or illness a new case? Update the previously recorded injury or illness if necessary. Does the injury or illness meet the general recording criteria or the application to specific cases? Do not need to record the injury or illness. Record the injury or illness. NO YES

 You 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 or significantly aggravated a pre-existing injury or illness.  Exemptions in (b)(2) Determination of Work Relatedness §

 If not obvious analyze work environment  How do I know if an event or exposure in the work environment "significantly aggravated" a preexisting injury or illness? (b)(4)(i) Death (b)(4)(ii) Loss of consciousness (b)(4)(iii) Days away, days of restricted work, days of job transfer

Determination of Work Relatedness §  Which injuries and illnesses are considered pre-existing conditions?  An injury or illness is a preexisting condition if it resulted solely from a non-work-related event or exposure that occurred outside the work environment.

Determination of Work Relatedness §  Travel Status:  Work related if activities are “In the interest of the employer” Examples include travel to and from customer contacts and entertaining to transact, discuss, or promote business (work-related entertainment includes only entertainment activities being engaged in at the direction of the employer). Hotels are “home away from home” Commuting does not count as work related Detours do not count Work at home activities must be work related

Determination of New Cases §  Has not previously experienced a recorded injury or illness of the same type that affects the same part of the body  Has had same type & part of body but had fully recovered  Chronic recurrence does not count  Do not need MD to determine but if one is consulted, decision must be followed

Recording Criteria §  Record the injury or illness on the OSHA 300 Log with a check mark in the space for cases involving days away and an entry of the number of calendar days away from work in the number of days column.  If the employee is out for an extended period of time, you must enter an estimate of the days that the employee will be away, and update the day count when the actual number of days is known.

 Do I count the day on which the injury occurred or the illness began?  No, you begin counting days away on the day after the injury occurred or the illness began. Recording Criteria §

 A work-related injury or illness must be recorded if it results in one or more of the following:  Death, days away from work, restricted work or transfer to another job, medical treatment beyond first aid, or loss of consciousness.  Diagnosed by MD whether above occurred or not, or employee does not follow MD advice  Weekend days, holidays, vacation days or other days off are included in the total number of days recorded if the employee would not have been able to work on those days Recording Criteria §

 How do I record a case in which a worker is injured or becomes ill on a Friday and reports to work on a Monday, and was not scheduled to work on the weekend?  You need to record this case only if you receive information from a physician or other licensed health care professional indicating that the employee should not have worked  Same applies to holidays or vacation

Recording Criteria §  STOP COUNTING AT 180 DAYS!  STOP WHEN EMPLOYEE LEAVES COMPANY  RECORD ONLY ONCE FOR DAYS THAT OVERLAP TO FOLLOWING YEAR

Recording Criteria §  How do I record a work-related injury or illness that results in restricted work or job transfer?  When an injury or illness involves restricted work or job transfer place a check mark in the space for job transfer or restriction and an entry of the number of restricted or transferred days in the restricted workdays column.

Recording Criteria §  Restricted work occurs when, as the result of a work-related injury or illness:  You keep the employee from performing one or more of the routine functions of his or her job, (i.e. would not be able to climb) or from working the full workday that he or she would otherwise have been scheduled to work; or  A physician or other licensed health care professional (LHCP) recommends the above

Recording Criteria §  What is routine functions?  Those work activities the employee regularly performs at least once per week.  For permanent transfers or job modifications stop counting, but you must count at least one day

Recording Criteria §  How do I record an injury or illness that involves medical treatment beyond first aid?  You must record it on the OSHA 300 Log. If the injury or illness did not involve death, one or more days away from work, one or more days of restricted work, or one or more days of job transfer, you enter a check mark in the box for cases where the employee received medical treatment but remained at work and was not transferred or restricted.

Recording Criteria §  What is the definition of medical treatment?  "Medical Treatment" (MT) means the management and care of a patient to combat disease or disorder.  For the purposes of Part 1904, medical treatment does not include:  Visits to PLHCP’s for observation or counseling only  Diagnostic procedures, such as x-rays and blood tests, including the administration of prescription medications used solely for diagnostic purposes  First Aid

Recording Criteria §  First Aid (FA):  Using a non-prescription medication at nonprescription strength  tetanus immunizations (other immunizations are MT)  Flushing skin wounds  Wound coverings & elastic bandages  Hot & cold packs  Immobilization devices used during transport

 First Aid:  Drilling fingernails  Eye patches  Removing objects from eye using irrigation or cotton swabs only  Simple removal of splinters  Using finger guards  Using massages  Drinking fluids for heat stress  FA/MT doesn’t depend on who administers it Recording Criteria §

Recording criteria for needlestick and sharps injuries. §  Record all work-related needlestick injuries and cuts from sharp objects contaminated with another person's blood or other infectious material (as defined by 29 CFR ).  Enter the case on the OSHA 300 Log as an injury. To protect the employee's privacy, you may not enter the employee's name on the OSHA 300 Log (see the requirements for privacy cases in paragraphs (b)(6) through (b)(9)).

 Don’t record cuts, etc.. that do not result in contamination  Update 300 log if later diagnosis indicates Bloodborne disease  Don’t record splashes unless they result in diagnosis of bloodborne disease Recording criteria for needlestick and sharps injuries. §

Recording criteria for cases involving occupational hearing loss §  If an employee’s hearing test (audiogram) reveals that the employee has experienced a work-related Standard Threshold Shift (STS) in hearing in one or both ears, and the employee’s total hearing level is 25 decibels (dB) or more above audiometric zero (averaged at 2000, 3000 and 4000 Hz) in the same ear(s) as the STS, you must record the case on the OSHA 300 log

Regulations (Standards - 29 CFR) (Archived) Recording criteria for cases involving work-related musculoskeletal disorders  NOTICE: This is an OSHA Archive Document, and no longer represents OSHA Policy. It is presented here as historical content, for research and review purposes only.  Basic requirement. If any of your employees experiences a recordable work- related musculoskeletal disorder (MSD), you must record it on the OSHA 300 Log by checking the "musculoskeletal disorder" column.

Forms §  You must use OSHA 300, 300-A, and 301 forms, or equivalent forms, for recordable injuries and illnesses. The OSHA 300 form is called the Log of Work- Related Injuries and Illnesses, The 300-A is the Summary of Work-Related Injuries and Illnesses, and The OSHA 301 form is called the Injury and Illness Incident Report.

Forms §  What do I need to do to complete the OSHA 300 Log?  You must enter information about your business at the top of the OSHA 300 Log, enter a one or two line description for each recordable injury or illness, and summarize this information on the OSHA 300-A at the end of the year.

Forms §  What do I need to do to complete the OSHA 301 Incident Report?  You must complete an OSHA 301 Incident Report form, or an equivalent form, for each recordable injury or illness entered on the OSHA 300 Log.

Forms §  How quickly must each injury or illness be recorded?  You must enter each recordable injury or illness on the OSHA 300 Log and 301 Incident Report within seven (7) calendar days of receiving information that a recordable injury or illness has occurred.

Forms §  May I keep my records on a computer?  Yes, if the computer can produce equivalent forms when they are needed, as described under §§ and , you may keep your records using the computer system.

Forms §  Are there situations where I do not put the employee's name on the forms for privacy reasons?  Yes, if you have a "privacy concern case," you may not enter the employee's name on the OSHA 300 Log.  Instead, enter "privacy case" in the space normally used for the employee's name. This will protect the privacy of the injured or ill employee when another employee, a former employee, or an authorized employee representative is provided access to the OSHA 300 Log under § (b)(2).

Forms §  Are there situations where I do not put the employee's name on the forms for privacy reasons?  You must keep a separate, confidential list of the case numbers and employee names for your privacy concern cases so you can update the cases and provide the information to the government if asked.

Forms §  Privacy cases include:  An injury or illness to an intimate body part or the reproductive system;  An injury or illness resulting from a sexual assault;  Mental illnesses;  HIV infection, hepatitis, or tuberculosis;  Needlestick injuries and cuts from sharp objects that are contaminated with another person's blood or other potentially infectious material  Other illnesses, if the employee independently and voluntarily requests that his or her name not be entered on the log.

Subpart D Other OSHA Injury & Illness Recording Requirements

Covered Employees  You must record on the OSHA 300 Log the recordable injuries and illnesses of all employees on your payroll, whether they are labor, executive, hourly, salary, part-time, seasonal, or migrant workers, in a business operating for 1 yr. or longer  You also must record the recordable injuries and illnesses that occur to employees who are not on your payroll if you supervise these employees on a day-to-day basis.  If your business is organized as a sole proprietorship or partnership, the owner or partners are not considered employees for recordkeeping purposes.

Covered Employees §  (b)(1) Self-employed individuals are not covered by the OSH Act or this regulation.  (b)(2) If you use employees from a temporary help service, employee leasing service, or personnel supply service, you must record if you supervise them on a day- to-day basis  Recordability by the employer does not include contract employees whose work is supervised by the contractor

Annual Summary §  At the end of each calendar year, you must:  Review the OSHA 300 Log to verify that the entries are complete and accurate, and correct any deficiencies identified;  Create an annual summary of injuries and illnesses recorded on the OSHA 300 Log;  Certify the summary; and  Post the annual summary from February 1st through April 30.

Annual Summary §  To complete the summary:  Total the columns on the OSHA 300 Log (if you had no recordable cases, enter zeros for each column total); and  Enter the calendar year covered, the company's name, establishment name, establishment address, annual average number of employees covered by the OSHA 300 Log, and the total hours worked by all employees covered by the OSHA 300 Log.  Use Form 300-A

Annual Summary §  How do I certify the annual summary?  A company executive must certify that he or she has examined the OSHA 300 Log and that he or she reasonably believes, based on his or her knowledge of the process by which the information was recorded, that the annual summary is correct and complete.

Annual Summary §  Who is considered a company executive? The company executive who certifies the log must be one of the following persons:  An owner of the company (only if the company is a sole proprietorship or partnership);  An officer of the corporation;  The highest ranking company official working at the establishment; or  The immediate supervisor of the highest ranking company official working at the establishment.

Annual Summary §  How do I post the annual summary?  You must post a copy of the annual summary in each establishment in a conspicuous place or places where notices to employees are customarily posted. You must ensure that the posted annual summary is not altered, defaced or covered by other material.

Annual Summary §  When do I have to post the annual summary?  You must post the summary no later than February 1 of the year following the year covered by the records and keep the posting in place through April 30.

Retention & Updating §  You must save the OSHA 300 Log,  The privacy case list (if one exists),  The annual summary, and the OSHA 301 Incident Report forms for five (5) years following the end of the calendar year that these records cover. Update stored records as necessary during the retention period Do not have to update the summary or the incident reports

Change in ownership §  If your business changes ownership, you are responsible for recording and reporting work- related injuries and illnesses only for that period of the year during which you owned the establishment.  You must transfer the Part 1904 records to the new owner.  The new owner must save all records of the establishment kept by the prior owner, as required by § of this Part, but need not update or correct the records of the prior owner.

Employee Involvement  You must inform each employee of how he or she is to report an injury or illness to you.  You must provide limited access to your injury and illness records for your employees and their representatives.

Employee Involvement  Employees, former employees, their personal representatives, and their authorized employee representatives have the right to access the OSHA injury and illness records, with some limitations

Employee Involvement  An authorized employee representative is an authorized collective bargaining agent of employees.  A personal representative is:  Any person that the employee or former employee designates as such, in writing; or  The legal representative of a deceased or legally incapacitated employee or former employee.

 When an employee, former employee, personal representative, or authorized employee representative asks for copies of your current or stored OSHA 300 Log(s) for an establishment the employee or former employee has worked in, you must give the requester a copy of the relevant OSHA 300 Log(s) by the end of the next business day.  The same applies the 301 Incident Report Employee Involvement

 You must leave the names on the 300 Log.  However, to protect the privacy of injured and ill employees, you may not record the employee's name on the OSHA 300 Log for certain "privacy concern cases," as specified in paragraphs (b)(6) through (b)(9). Employee Involvement

Prohibition against discrimination §  Section 11(c) of the Act prohibits you from discriminating against an employee for reporting a work-related fatality, injury or illness.  That provision of the Act also protects the employee who files a safety and health complaint, asks for access to the Part 1904 records, or otherwise exercises any rights afforded by the OSH Act.

Reporting fatalities and multiple hospitalization incidents to OSHA §  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, you must orally report the fatality/multiple hospitalization by telephone or in person to the Area Office of the Occupational Safety and Health Administration (OSHA), U.S. Department of Labor, that is nearest to the site of the incident.

Reporting fatalities and multiple hospitalization incidents to OSHA §  You may also use the OSHA toll-free central telephone number, OSHA ( ).

 If the Area Office is closed, may I report the incident by leaving a message on OSHA's answering machine, faxing the area office, or sending an ?  No, if you can't talk to a person at the Area Office, you must report the fatality or multiple hospitalization incident using the 800 number. Reporting fatalities and multiple hospitalization incidents to OSHA §

 You must give OSHA the following information for each fatality or multiple hospitalization incident:  The establishment name;  The location of the incident;  The time of the incident;  The number of fatalities or hospitalized employees; Reporting fatalities and multiple hospitalization incidents to OSHA §

 You must give OSHA the following information for each fatality or multiple hospitalization incident:  The names of any injured employees;  Your contact person and his or her phone number; and  A brief description of the incident. Reporting fatalities and multiple hospitalization incidents to OSHA §

 If a motor vehicle accident occurs on a public street or highway, and does not occur in a construction work zone, you do not have to report the incident to OSHA.  Same for multiple injuries on public transportation  However you must record on the OSHA 300 if required to keep records Reporting fatalities and multiple hospitalization incidents to OSHA §

 Do I have to report a fatality caused by a heart attack at work?  Yes, your local OSHA Area Office director will decide whether to investigate the incident, depending on the circumstances of the heart attack. Reporting fatalities and multiple hospitalization incidents to OSHA §

 Do I have to report a fatality or hospitalization that occurs long after the incident?  No, you must only report each fatality or multiple hospitalization incident that occurs within thirty (30) days of an incident. RIP Reporting fatalities and multiple hospitalization incidents to OSHA §

 What if I don't learn about an incident right away?  If you do not learn of a reportable incident at the time it occurs and the incident would otherwise be reportable under paragraphs (a) and (b) of this section, you must make the report within eight (8) hours of the time the incident is reported to you or to any of your agent(s) or employee(s). Reporting fatalities and multiple hospitalization incidents to OSHA §

Providing records to government representatives §  When an authorized government representative asks for the records you keep under Part 1904, you must provide copies of the records within four (4) business hours.

 The government representatives authorized to receive the records are:  A representative of the Secretary of Labor conducting an inspection or investigation under the Act;  A representative of the Secretary of Health and Human Services (including the National Institute for Occupational Safety and Health -- NIOSH) conducting an investigation under section 20(b) of the Act, or  A representative of a State agency responsible for administering a State plan approved under section 18 of the Act. Providing records to government representatives §

End Recordkeeping Forms and Recording Criteria