1. OSHA Recordkeeping, Reporting & Inspections INSY 3020 Spring 2005

2. OSHA Recordkeeping Revised Recordkeeping rule published in the Federal Register on January 19, 2001 Revised Recordkeeping rule published in the Federal Register on January 19, 2001 Affects 1.4 million establishments Affects 1.4 million establishments Effective January 1, 2002 Effective January 1, 2002

3. 1904.1 – Size Exemption Based on the entire company’s peak employment during last calendar year Based on the entire company’s peak employment during last calendar year If at any time during the previous calendar year a company had 11 or more full-time workers, they will not be size exempt from recordkeeping. If at any time during the previous calendar year a company had 11 or more full-time workers, they will not be size exempt from recordkeeping.

4. Remember the Basics Difference between Reportable and Recordable injuries: A case is both reportable and recordable if it includes a fatality or a catastrophe (3 or more employees injured and hospitalized). A case is both reportable and recordable if it includes a fatality or a catastrophe (3 or more employees injured and hospitalized). Every other injury involving restriction or transfer to another job or days away from work is recordable only. Every other injury involving restriction or transfer to another job or days away from work is recordable only.

5. 1904.4 – Recording Criteria Covered employers must record each fatality, injury or illness that: Is work-related, andIs work-related, and Is a new case, andIs a new case, and Meets one or more of the criteria contained in sections 1904.7 through 1904.11Meets one or more of the criteria contained in sections 1904.7 through 1904.11

6. Work-Relatedness Cases are work-related if:  An event or exposure in the work environment either caused or contributed to the resulting condition.  An event or exposure in the work environment significantly aggravates a pre-existing injury or illness.

7. Day Counts Eliminates the term “lost workdays” and focuses on days away or days restricted or transferred Eliminates the term “lost workdays” and focuses on days away or days restricted or transferred Includes new rules for counting that rely on calendar days instead of workdays. Includes new rules for counting that rely on calendar days instead of workdays.

8. DAFWII & DART DAFWII – Days Away From Work, Injury or IllnessDAFWII – Days Away From Work, Injury or Illness Actual # of calendar days between first day missed due to injury & returning day Actual # of calendar days between first day missed due to injury & returning day Do not count the day of injury Do not count the day of injury DART – Days Away, Restricted or TransferDART – Days Away, Restricted or Transfer Includes days of missed work as well as days of “light duty,” etc. Includes days of missed work as well as days of “light duty,” etc. Generally a larger number than DAFWII Generally a larger number than DAFWII

9. Why Change to Calendar Days? Easier to calculate Easier to calculate More consistent data More consistent data Better measure of severity Better measure of severity

10. Recording Criteria Flowchart

11. Travel Status Any injury or illness that occurs while an employee is on travel status is work- related if it occurred while the employee was engaged in work activities in the interest of the employer.

12. OSHA Forms OSHA Form 300 – Log of Work- Related Injuries and Illnesses OSHA Form 300 – Log of Work- Related Injuries and Illnesses Useful for calculating accident rates & often requested by OSHA during an inspection Useful for calculating accident rates & often requested by OSHA during an inspection OSHA Form 301 – Injury and Illness Incident Report OSHA Form 301 – Injury and Illness Incident Report Detailed investigation of incidents Detailed investigation of incidents OSHA Form 300A – Summary of Work-Related Injuries and Illnesses OSHA Form 300A – Summary of Work-Related Injuries and Illnesses Posted in workplace for employee reference Posted in workplace for employee reference

15. Consider a Case An employee, Steve, goes to work An employee, Steve, goes to work He supervises a paint shop and during maintenance, he slips and hits his head against the wall. He reports a headache and he is transferred to a different job. He supervises a paint shop and during maintenance, he slips and hits his head against the wall. He reports a headache and he is transferred to a different job. After 12 days, he again complains that he cannot work due to the increasing headaches and is rushed to the hospital. After 12 days, he again complains that he cannot work due to the increasing headaches and is rushed to the hospital. After 4 days at the hospital, he dies After 4 days at the hospital, he dies

16. What to do? Is it reportable? Is it reportable? How will you record? How will you record?

41. OSHA Compliance Inspections Workplace inspections are triggered to verify compliance with OSHA standards. Workplace inspections are triggered to verify compliance with OSHA standards. Inspections are almost always conducted without prior notice.Inspections are almost always conducted without prior notice. It is generally not in the employer’s best interest to bar Compliance Safety and Health Officers (CSHO) entrance. It is generally not in the employer’s best interest to bar Compliance Safety and Health Officers (CSHO) entrance. Though, employers do have this rightThough, employers do have this right Warrants can be obtained in as little as 48 hours. Warrants can be obtained in as little as 48 hours.

42. Inspection Priorities Investigation of Imminent Dangers Investigation of Imminent Dangers Catastrophic and Fatal Catastrophic and Fatal Investigation of Employee Complaints Investigation of Employee Complaints Programmed High-Hazard Inspections Programmed High-Hazard Inspections Re-inspections Re-inspections

43. Violations The General Duty Clause. The General Duty Clause. Willful Violations. Willful Violations. Knowingly acting out of compliance.Knowingly acting out of compliance. Serious Violations. Serious Violations. Could cause death or serious physical harm.Could cause death or serious physical harm. Four step process:Four step process: The type of accident or health hazard The type of accident or health hazard

44. Violations The type of injury expected. The type of injury expected. Injury could cause death or permanent injury. Injury could cause death or permanent injury. Whether the employer knew or should have known through due diligence (if the inspector found it, the employer should have found it, too). Whether the employer knew or should have known through due diligence (if the inspector found it, the employer should have found it, too). Other-Than-Serious Violations. Other-Than-Serious Violations. Would not be expected to cause death or serious physical harm.Would not be expected to cause death or serious physical harm. Does have a direct effect on employees’ health and safety.Does have a direct effect on employees’ health and safety.

45. Violations Repeated Violations. Repeated Violations. Being cited for a violation that had been previously cited or for a substantially similar condition.Being cited for a violation that had been previously cited or for a substantially similar condition. De Minimis Violations. De Minimis Violations. Trivial violations.Trivial violations. Usually only elicits a letter of warning.Usually only elicits a letter of warning.

46. Citations The written document that: The written document that: Describes the specific nature of the alleged violation,Describes the specific nature of the alleged violation, Cites the standard allegedly violated, andCites the standard allegedly violated, and Fixes a time for abatement.Fixes a time for abatement. Citations for serious violations generally carry monetary penalties. Citations for serious violations generally carry monetary penalties.

47. Citations Citations should be posted near each place an alleged violation referred to in the citation. Citations should be posted near each place an alleged violation referred to in the citation. A copy of citation shall remain until the violation has been abated, or for 3 working days, whichever is later. A copy of citation shall remain until the violation has been abated, or for 3 working days, whichever is later. An employer failing to comply with these provisions shall be subjected to citation and penalty. An employer failing to comply with these provisions shall be subjected to citation and penalty.

48. Penalties $7,000 to $70,000 for serious to repeated or willful violations. $7,000 to $70,000 for serious to repeated or willful violations. Egregious Policy Egregious Policy If OSHA considers the apparent violations as flagrant, fines for each individual violation may be assessed rather than for each type of violation.If OSHA considers the apparent violations as flagrant, fines for each individual violation may be assessed rather than for each type of violation. Generally based upon a high accident/ injury rate or a large number of violations.Generally based upon a high accident/ injury rate or a large number of violations.

49. Contested Cases Employers have the right to contest any OSHA action. Employers have the right to contest any OSHA action. Employers can contest citations or penalties before Occupational Safety and Health Review Commission (OSHRC) Employers can contest citations or penalties before Occupational Safety and Health Review Commission (OSHRC) Employer or employee contesting the citation should notify the Area Director in writing within 15 working days of the day of issue of penalty. Employer or employee contesting the citation should notify the Area Director in writing within 15 working days of the day of issue of penalty.

50. Questions & Comments