1. OSHA Recordkeeping Compliance Update
Jo Beth Cholmondeley
Regional Safety Engineer
Doug Fletcher
Compliance Assistant Specialist
VPPPA

2. Topics Most Common Recordkeeping Deficiencies at VPP sites
OSHA’s NEP on Recordkeeping
New Developments
Update on MSD Column
Modernization of Data Collection Process Comment Period
IF time:
Metric
Review

3. Most Common Deficiencies Recordkeeping

4. 1904.30 – Multiple Business Establishments
Contractors
Can keep records at central location
Must keep a separate OSHA Form 300 for each establishment that is expected to be in operation for more than a year
Common Deficiency
Contractor do not keep separate log and separate hours at VPP sites
When the employer has more than one establishment, a separate log must be kept for each establishment expected to be in operation for more than a year.
For the short term establishments (those expected to be in operation for less than a year), the employer may keep one log that includes all of the injuries and illnesses at the short term establishments, or keep logs by state or district.
An employer with multiple lines of business may have some exempt and some covered establishments, and each employee must be linked to an establishment for recordkeeping purposes.

5. Common Deficiencies Calculation of DART More than one  Quick Check
Days Away & Restricted (column H & I) X 200,000 / Total Hours Worked
Information that goes on the yearly report
Will be recalculated at the audit
More than one 
Quick Check
Total in Column G-J equals Column M

6. x x

7. Confusion Work compensation vs. OSHA recordable Parking Lots
Quit or Fired
Your Questions

8. 1904.5 – Exceptions Present as a member of the general public
Symptoms arising in work environment that are solely due to non-work-related event or exposure (Regardless of where signs or symptoms surface, a case is work-related only if a work event or exposure is a discernable cause of the injury or illness or of a significant aggravation to a pre-existing condition.)
Voluntary participation in wellness program, medical, fitness or recreational activity
Eating, drinking or preparing food or drink for personal consumption
Cases meeting the conditions of the listed exceptions to work relationship in the rule are not considered work-related and are, therefore, not recordable.
For example, if a grocery store employee is shopping in the store after work, falls and is injured, the employee is present as a member of the general public and the case is not work-related.
Likewise, if an employee has a diabetic episode and must be given prescription medications, the diabetes is solely due to a non-work-related event or exposure, and is not work-related.
Regardless of where signs or symptoms surface, a case is work-related only if a work event or exposure is a discernable cause of the injury or illness or of a significant aggravation to a pre-existing condition.
If an employee passes out giving blood or is injured playing basketball – the case is due to voluntary participation in a wellness or fitness program and is not work-related.
If an employee burns his lip on a cup of coffee or chokes on a sandwich – the case is due to eating food or drink for personal consumption, and is not work-related.

9. 1904.5 – Exceptions Personal tasks outside assigned working hours
Personal grooming, self medication for non-work-related condition, or intentionally self-inflicted
Motor vehicle accident in parking lot/access road during commute not on clock
Common cold or flu
Mental illness, unless employee voluntarily provides a medical opinion health care professional (PLHCP) having appropriate qualifications and experience that affirms work-relatedness
If an employee uses the employer’s sewing machine to make tents for the Girl Scouts after the shift has ended, this is a personal task outside of assigned working hours and any injury that would occur during that task is not work-related.
If an employee has a negative reaction to asthma medication for personal allergies, gets mascara in the eye, or commits suicide – the cases are from self medication for a non-work-related condition, personal grooming, or intentionally self-inflicted and are not work-related.
If an employee is injured in a motor vehicle accident going to or leaving work at the beginning or end of the shift, or for a personal errand – the case is not work-related. However, if the employee slips on the ice in the parking lot, or is in a car wreck doing business - the case is work-related.
If an employee catches a cold or the flu, the case is not work-related.
Mental illness is work-related only if the employee voluntarily provides the employer with a written opinion from a PLHCP with appropriate qualifications and experience that affirms a work-related mental illness. The employer is under no responsibility to seek out mental illnesses. In addition, the employer may also get a second opinion from another PLHCP and accept the opinion of the most qualified PLHCP.

10. RECORDKEEPING National Emphasis Program NEP
VPP sites are exempt

11. OSHA’s Recordkeeping NEP
National Emphasis Program (NEP)
Response to criticism from GAO audit
Employer’s not keeping accurate records
Records re-creation / verification inspections to be scheduled
Both GI and Construction sector
Very resource intensive inspection Process
Special software
All employer records reviewed to “catch” data
Intensive employee interview process

12. OSHA’s Recordkeeping NEP
Results so far
Switching of K & L columns
Still using old form
Some under recording
Expansion into other inspections
Ergo
Machine Guarding
Resource intensive
CPL expanded to 2 years.

13. Common Citations

14. – Annual Summary
Review OSHA Form 300 for completeness and accuracy, correct deficiencies
Complete OSHA Form 300A
Certify summary
Post summary
The annual summary requirements lay out a process for completing the end-of-year processing.
The employer must first review the records and correct them if necessary, then complete the form, certify the form, and post it for 3 months.
The form includes data on average employment and hours worked to make it easier to calculate incidence rates. The employer may estimate these figures using the optional worksheet provided in the forms package.

15. 1904.33 – Retention and Updating
Retain forms for 5 years following the year that they cover
Update the OSHA Form 300 during that period
Need not update the OSHA Form 300A or OSHA Form 301
The records must be retained for five years.
During the retention period, the employer must update the 300 form to include any cases that are newly discovered or whose status has changed, but does not have to change the summary or the 301 form.

16. New Developments
Addition Musculoskeletal Disorder (MSD) Column
Modernization of Collection Process Comments Requested

17. Musculoskeletal Disorder Column

18. MSD Column History
January 1, 2002 Final Rule published with comments requested on MSD column
June 30, 2003, OSHA has decided MSD’s captured without a separate column for musculoskeletal disorders (MSD) ( vacated)
Still must 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
On the OSHA 300 log, check either the entry for “injury” or “all other illnesses”

19. Present Addition MSD Column to Log Comment Period Closed
Changes going forward
Fairly certain that MSD column will be added to log
Recording Criteria ?
Out Soon
Effective date?

20. Comments must be submitted
Comment Period for Modernization of OSHA’s Injury & Illness Data Collection Process (Electronic)
Comments must be submitted
by June 18, 2010

21. Comment Period for Modernization of OSHA’s Injury & Illness Data Collection Process (Electronic)
Informal stakeholder meetings
First meeting today in DC
Chicago, IL - June 3
Written Comment submitted by June 18, 2010
Comments submitted
Electronically (OSHA website)
Faxed, mailed or courier

22. Issues Collection of Electronic Data
Open Government Initiative
Ability of public to get information
OSHA Date Initiative (ODI)
Currently provides only summary data
Data 3 yrs old when released
BLS Data
Data for industry but not for specific establishments

23. Topics Collection of Electronic Recordkeeping Data
Scope of data collected
Use of Data collected
Methods of data collection
Economic impacts
Additional topics

24. Questions What data should the system collect?
Linking data to other sources?
medical records, work compensation…
Collect data from every employer?
What purpose would it serve to OSHA and others
How data be used to make national or sector specific estimates?

25. Questions Continued Strengths and limitations of collected data
Would publishing data indicating # of ee’s and ee’s hours disclose confidential commercial or trade secret information?
How can OSHA others experience be used in developing program
How to design effective quality assurance program for data entered?
How often should data be collected?

26. Questions continued
How to design effective quality assurance program for data entered?
How often should data be collected?
What training and outreach will be necessary?
How ensure that small business employers are able to comply?
What analytical tools developed?
How can OSHA improve the accuracy of recordkeeping data?

27. Your Questions? Jo Beth Cholmondeley Regional Safety Engineer
Regional Recordkeeping Coordinator
(816) ext. 265

28. More Information OSHA Website www.osha.gov (left column Recordkeeping)
CPL
OSHA Recordkeeping Handbook
OSHA R 2005
Latest interpretations

29. Safety and Health Management Performance Metrics

30. How The OSHA-300 Data Should Be Used
Accident trends
Accident rates: (rate per 100 employee years)
{(# cases) X (200,000)} / (# hours worked) = rate
Accident demographics
Source of hazard
Type injury/illness
Victim demographics
Body part affected

31. BLS Model

32. Hazardous conditions/practices

33. Tailoring Safety and Health Metrics to Your Organization
Perception
Survey
Incident
Data
Management
System
Audit Findings
Behavioral
Observation
Data
STEP 1:
STEP 2:
Analyze Results
STEP 3:
Management System Drivers
EMPLOYEE INVOLVEMENT
ACTIVE LEADERSHIP
EXPECTATIONS AND INVOLVEMENT
GOAL SETTING AND
ACTION PLANNING
PLANNING FOR SAFE CONDITIONS
STEP 4:
COMMUNICATIO NS
EMPLOYEE ACCOUNTABILITY
HAZARD IDENTIFICATION AND
ELIMINATION, AND SAFE PRACTICES
TRAINING AND
EDUCATION
INCIDENT INVESTIGATION
BEHAVIORAL FEEDBACK

35. HSE Performance over time
Successful Safety Management
HSE Performance over time
Technology
and standards
Behaviour
Visible leadership / personal accountability
Shared purpose & belief
Aligned performance commitment & external view
HSE delivers business value
HSE
Management
Systems
Engineering improvements
Hardware improvements
Safety emphasis
E&H Compliance
This slide shows a smoothed out version of the safety performance for Shell and other major Oil and Gas companies in a study undertaken by UK HSE. It shows significant improvements in safety have been made through applying technology and standards.
Later, introducing HSE Management Systems improved performance by providing assurance that the technology and standards were applied consistently.
Nowadays we have HSE management systems but continuous improvement requires creating a culture in which people are intrinsically motivated to operate the elements of the Management System.
Otherwise they are just paper, to bring it to life a key element in doing this is changing peoples behaviours and attitudes to be more safety focused. This can only be done sustainably through building a stronger HSE culture. We are not there yet, which is why we need to understand our current HSE Culture.
Incident rate
Improved
culture
Integrated HSE-MS
Reporting
Assurance
Competence
Risk Management
Time

36. Questions? Jo Beth Cholmondeley Regional Safety Engineer
Regional Recordkeeping Coordinator
(816) ext. 265

37. 1904 Injury/Illness Recording CriteriaNO
Did the employee experience an injury or illness?
YES NO
Is the injury or illness work-related? X
YES X
Update the previously recorded injury or illness entry if necessary
Is the injury or illness a new case? NO
YES
Does the injury or illness meet the general recording criteria or the additional criteria? X NO
YES
Do not record the injury or illness
Record the injury or illness X X

38. Purpose of the Rule (Subpart A)
To require employers to record and report work-related fatalities, injuries and illnesses
Note: Recording or reporting a work-related injury, illness, or fatality does not mean the the employer or employee was at fault, an OSHA rule has been violated, or that the employee is eligible for workers’ compensation or other benefits.
OSHA injury and illness recordkeeping and Workers’ Compensation are independent of each other
The “purpose” section states the basic purpose of the rule: to require employers to collect injury and illness data and report it to the government, but it doesn’t tell how the data are used or why they are important. The records provide the base data for the BLS survey of occupational injuries and illnesses, the Nation’s primary source of occupational injury and illness statistics.
The records are also used by employers and employees to manage 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.
Finally, the data are used by OSHA. We collect the data to help us direct our programs and measure our own performance, and our inspectors use the data during inspections to help direct their efforts to the hazards that are hurting workers.
The purpose section also includes a note to make it clear that recording an injury or illness does not have any effect on workers’ compensation nor prove violation of an OSHA rule. Hopefully, this will reduce the stigma some employers feel accompanies the recording of a work-related injury or illness.

39. – Recording Criteria
Covered employers must record each fatality, injury or illness that:
is work-related, and
is a new case, and
meets one or more of the criteria contained in sections through
Paragraph explains the overall process for deciding whether or not to record a case. All cases (both injury and illness cases) are analyzed using the same criteria. Illness cases are only recorded if they meet the same criteria as injury cases.
also includes a flowchart that provides a visual representation of the overall process for deciding whether or not to record an injury or illness.

40. 1904.32 – Annual Summary A company executive must certify the summary:
An owner of the company
An officer of the corporation
The highest ranking company official working at the establishment, or
His or her supervisor
Must post for 3-month period from February 1 to April 30 of the year following the year covered by the summary
The rule requires certification by a company executive to help improve management involvement in the records.
A company executive is narrowly defined as:
- an owner of the company,
- an officer of the corporation
- the highest ranking person at the establishment, or
- his or her boss.
The records must be posted for 3 months.

41. – Work-Relatedness
Section (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.

42. – Work-Relatedness
Work-relatedness is presumed for injuries and illnesses resulting from events or exposures occurring in the work environment (presumption of work-relatedness)
Major difference between worker’s comp and OSHA recordability systems. Worker’s Comp is based upon a system of “relative liability” and OSHA recordability is based upon a system of “geographic presumption of work-relatedness”.
A case is presumed work-related 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.
Work-relatedness is presumed for injuries and illnesses resulting from events or exposures occurring in the work environment. However, 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 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.
For further guidance regarding the determination of work relationship, please see OSHA Compliance Directive CPL , Chapter 2, Section IC.

43. – Work-Relatedness
Work-Relationship. Section (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.

44. – Work-Relatedness
Section (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 (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.

45. 1904.5 – Significant Aggravation
A pre-existing injury or illness is significantly aggravated when an event or exposure in the work environment results in any of the following (which otherwise would not have occurred):
Death
Loss of consciousness
Days away, days restricted or job transfer
Medical treatment
There must be significant aggravation of a pre-existing injury or illness to establish work-relatedness. The workplace event or exposure must aggravate a pre-existing injury or illness enough that it results in greater consequences than what would have occurred but for that event or exposure. This means that the pre-existing condition requires more medical treatment than otherwise needed; more restrictions, more days away, etc.