1. 1 Cal/OSHA Recordkeeping Work-Related Injuries & Illnesses California Code of Regulation, Title 8, Section 14300 California Code of Regulation, Title 8, Section 14300

2. 2 Organization of the Rule u Purpose - 14300 u Scope - 14300.1 & 14300.2 u Forms and Recording Criteria - 14300.4 - 14300.29 u Other Requirements - 14300.30 - 14300.38 u Reporting to the Government - 14300.39 - 14300.42 u Transition from the Formal Rule - 14300.43 - 14300.45 u Definitions - 14300.46

3. 3 14300 - Purpose Requires recording of work-related fatalities, certain injuries and illnesses Note: Note: Recording of work-related fatalities, injuries and illnesses does not mean that the employer or employee was at fault, that a Cal/OSHA rule has been violated, or that the employee is eligible for workers’ compensation or other benefits.

4. 4 Recording versus Reporting Recording u Partial exemptions (sections 14300.1 & 14300.2), based on various SIC codes or size of company (i.e., do not have to record work-related fatalities, injuries, and illness on the Cal/OSHA Form 300)Reporting u No exemptions, all employers must report: u immediately any serious occupational injury, illness or death to the Division of Occupational Safety and Health (DOSH), as required by Title 8, Section 342; and u occupational injury, illness to the Division of Labor Statistics and Research (DLSR).

5. 5 14300.1 - Partial Exemption for Smaller Employers u If the organization has ten (10) or fewer employees at all times during the last calendar year (i.e. peak employment), they are not required to keep records. u Count of 10 or fewer employees includes : u Employment for the entire organization u Temporary employees supervised on a day-to-day basis

6. 6 14300.2 - Scope u Examples of Industries Covered u agriculture, mining, construction u manufacturing, transportation, communication u electric, gas and sanitary services u wholesale trade

7. 7 14300.2 - Partial Exemption for Establishments in Certain Industries u Applies to some low-hazard establishments in certain retail, services, finance, insurance or real estate sectors: (Both public or private sector employers) u Partial exemption based on SIC code of individual establishments not the entire company u Within the same company some individual establishments may be required to keep records and some may not.

8. 8 14300.2 - Partial Exemption for Establishments in Certain Industries Partial Exemption Partial Exemption - means that OSHA, the Bureau of Labor Statistics, or a state agency operating under the authority of OSHA, may specifically request in writing an otherwise exempt employer to record occupational injuries and illnesses. No employer is exempt from complying with such a request.

9. 9 Table 1 - Partially Exempted Industries in California u 525 Hardware stores u 542 Meat and fish markets u 544 Candy, nut, and confectionary stores u 545 Dairy products stores u 546 Retail bakeries u 549 Miscellaneous food stores u 551 New and Used Car Dealers u 552 Used Car Dealers u 554 Gasoline Service Stations u 557 Motorcycle Dealers u 56 Apparel and Accessory Stores u 573 Radio, Television, & Computer Stores u 58 Eating and Drinking Places u 591 Drug Stores & proprietary Stores u 592 Liquor Stores u 594 - Miscellaneous shopping goods Stores u 599- Retail Stores, Not elsewhere classified u 60 - Depository Institutions (banks & savings institutions) u 61 - Nondepository u 62 - Security and Commodity Brokers u 63 - Insurance Carriers

10. 10 u 729 - Miscellaneous Personal Services u 731- Advertising Services u 732- Credit Reporting and collection Services u 733 - Mailing, Reproduction and Stenographic Services u 737 - Computer and Data Processing Services u 738 - Miscellaneous business Services Producers, orchestras, entertainers u 764 Reupholstery and furniture repair u 782 - Motion Picture Distribution and Allied Services u 783 - Motion picture theaters u 64 - Insurance Agents, Brokers & Services u 653 - Real Estate Agents and managers u 654 - Title and Abstract Offices u 67 - Holding and Other Investment Offices u 722 - Photographic Studios, Portrait u 723 - Beauty Shops u 724 - Barber Shops u 725 - Shoe Repair and shoeshine Parlors u 726 - Funeral Service and Crematories Table 1 - Partially Exempted Industries in California

11. 11 u 784 - Video Tape Rental u 791 Dance studios, schools, and halls u 792 Producers, orchestras, entertainers u 793 Bowling centers u 801 Offices and clinics of medical doctors u 802 Offices and clinics of dentists u 803 Offices of Osteopathic Physicians u 804 Offices of other health care practitioners u 807 Medical and dental Laboratories u 809 Health and allied services, NEC u 81 - Legal Services u 82 - Educational Services (schools, colleges, universities and libraries) u 832 - Individual& Family Services u 835 - Child Day Care Services u 839 - Social Services, Not Elsewhere Classified u 841- Museums and Art Galleries u 86 - Membership Organizations u 87 - Engineering, Accounting, Research, Management and Related Services u 899 - Services, Not Elsewhere Classified Table 1 - Partially Exempted Industries in California

12. 12 14300.2 - SIC Code 781, Motion Picture Production and Allied Services u In California, establishments in SIC Code 781 (Motion Picture Production and Allied Services) are required to record u Federal OSHA does not require these establishments to record Note: This is the only difference between the list of establishments shown in Table 1 and the list shown in the equivalent federal rule (29 CFR 1904.2)

13. 13 14300.3 - Keeping Records for More than One Agency u Records kept for another government agency meet the OSHA recordkeeping requirements if: u A memorandum of understanding between the two agencies stating the other agency’s records are acceptable; or u The other agency’s records contain the same information

14. 14 14300.4 - 14300.29 Forms and Recording Criteria

15. 15 Recording Criteria u 14300.4 - Recording Criteria u 14300.5 - Work-relatedness u 14300.6 - New case u 14300.7 - General recording criteria u 14300.8 - Recording Criteria for Needlesticks and Sharps Injuries u 14300.9 - Recording Criteria for Medical Removal Under Cal/OSHA Standards u 14300.10 - Recording Criteria for Cases Involving Occupational Hearing Loss u 14300.11- Recording Criteria for Work-related Tuberculosis Cases u 14300.12 - Recording Criteria for Cases Involving Work- Related Musculoskeletal Disorders u 14300.29 - Forms

16. 16 14300.4 - Recording Criteria u Covered employers must record each fatality, injury or illness that is: u work-related, and u a new case, and u meets one or more of the general (i.e.,14300.7) or specific (14300.8 - 14300.12) recording criteria

17. 17 14300.4 - Recording Criteria

18. 18 14300.5 - Determination of Work- Relatedness u 14300. 5(b)(4) – Significant Aggravation u 14300. 5(b)(5) – Pre-Existing Condition u 14300.5 (b)(6) – Travel Status u 14300.5(b)(7) – Work at Home

19. 19 14300.5 - Determination of Work- Relatedness u A case is considered work-related if an event or exposure in the work environment: u either caused or contributed to the resulting injury or illness, or u significantly aggravated a pre-existing injury or illness u Work-relatedness is presumed unless an exception in section 14300.5(b)(2) specifically applies

20. 20 14300.5 - Determination of Work- Relatedness Work environment Work environment - means the establishment and other locations where one or more employees are working or are present as a condition of their employment. The work environment includes: l the physical location of work l the equipment or materials used by the employee during the course of his or her work

21. 21 14300.5(b)(2) - Work-Relatedness Exceptions The injury or illness was caused by: u the individual: u voluntarily participating in a wellness program, medical, fitness or recreational activity u eating, drinking or preparing food or drink for personal consumption u performing personal tasks (unrelated to their employment) outside assigned working hours u personal grooming or self medication for non-work- related condition u an intentionally self-inflicted act

22. 22 14300.5(b)(2) - Work-Relatedness Exceptions (con’t) The injury or illness was caused by: u a motor vehicle accident in parking lot or access road during commute u a common cold or flu u Symptoms surface at work that are solely due to non- work-related event or exposure u The employee was present in the work environment as a member of the general public u The employee has a mental illness (unless the employee comes forward with an opinion from an Health Care Provider with appropriate training and experience that the employee has a mental illness that is work related)

23. 23 14300. 5(b)(4) - Significant Aggravation u 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 would not have occurred but for the occupational event or exposure): u Death u Loss of consciousness u One or more days u away from work, or u of restricted work, or u a job transfer u Medical treatment or a change in medical treatment

24. 24 14300. 5(b)(5) - Pre-Existing Condition A pre-existing condition is an injury or illness which resulted solely from a non- work related event or exposure occurring outside the work environment.

25. 25 14300.5 (b)(6) - Travel Status and Work-Relatedness An 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 u Examples : u entertainment to transact, discuss or promote business at the direction of the employer u traveling to / from customer contacts u conducting job tasks

26. 26 14300.5 (b)(6) -Travel Status and Work-Relatedness u An injury or illness that occurs while an employee is on travel status is not work- related if the employee: u is on a detour for personal reasons which are not work-related, or u establishes a temporary residence (e.g. checks into a hotel/motel) and then performs activities which are not in the interest of the employer

27. 27 14300.5(b)(7) - Work at Home u Injuries and illnesses that occur at home are work-related if they: u happen while work for pay/compensation is being performed, and u are directly related to the performance of the job u Examples : u puncturing a fingernail during home garment work u dropping a box of work documents resulting in a foot injury

28. 28 14300.6(a) - Determination of New Cases u An injury or illness is considered to be a new case if the employee has: u not previously experienced a recorded injury or illness of the same type that affects the same part of the body, or u previously experienced a recorded injury or illness of the same type affecting the same part of the body but recovered completely, and u an event or exposure in the work environment caused the signs / symptoms to reappear

29. 29 u Recurring symptoms of chronic illness are not new cases (e.g., cancer, asbestosis, silicosis, etc.) u Each episode caused by a new event or exposure in the work environment is a new case (e.g., occupational asthma, skin disorders) u If there is a medical opinion regarding resolution of a case, the employer must follow that opinion about whether the case is a new case or a recurrence. 14300.6(a) - Determination of New Cases

30. 30 14300.7 - General Recording Criteria u An injury or illness is recordable on the Cal/OSHA 300 if it results in one or more of the following: (as defined in the regulation) u Death u Days away from work u Restricted work u Transfer to another job u Medical treatment beyond first aid u Loss of consciousness u Significant injury or illness diagnosed by a physician or other licensed health care professional

31. 31 14300.7(b)(2) - Fatalities 14300.7(b)(2) - Fatalities mark the column for death 14300.7(b)(3) - Days Away 14300.7(b)(3) - Days Away mark the days away from work column u enter number of calendar days in the away from work column u exclude the day of injury or illness u “cap” the total days away at 180 calendar days u count the number of calendar days the employee was unable to work regardless of whether or not the employee was scheduled to work on those day(s) [e.g., weekends, holidays, vacation days, etc.]

32. 32 14300.7(b)(3) - Days Away Cases u If an employee becomes ill on Friday and returns to work on Monday (and was not scheduled to work the weekend) count the weekend only if a physician (or other licensed health care professional) indicates that the employee should not have worked those days. u If an injury or illness occurs the day before scheduled time off (e.g., holiday, a planned vacation, temporary plant closing) count the days of scheduled time off only if a medical opinion indicates that the employee should not have worked those days.

33. 33 u If a licensed health care professional recommends that the employee: u stay home but they come to work anyway, count of the days away from work in the recommendation and record them on the Cal/OSHA Form 300. u return to work but they stay home, end the count of days away from work on the date the recommendation states the employee should return to work. u If two or more recommendations from licensed health care professionals exist, make a decision on which is the most authoritative and record the days away from work based on that recommendation. 14300.7(b)(3) - Days Away Cases

34. 34 14300.7(b)(3) - Days Away Cases u If employee leaves the company due to: u retirement or a reason unrelated to the injury or illness, stop day away from work count u an injury or illness which occurred at the work site, estimate the total number of days away from work

35. 35 u If a case occurs in one year but results in days away during the next calendar year, record the injury or illness once: u count the number of calendar days away for the year when the injury or illness occurred u for the annual summary, if the employee is still away, estimate the total number of calendar days you expect the employee to be away u use this number to calculate the total for the annual summary. u update the initial log entry later when the day count is known or reaches the 180-day cap. 14300.7(b)(3) - Days Away Cases

36. 36 14300.7(b)(4) - Restricted Work 14300.7(b)(4) - Restricted Work Under the Remained at work column mark job transfer or restricted workdays u Restricted work: u occurs when the employer (or the recommendations of a physician or other licensed health care professional) keeps the employee from performing: u one or more “routine functions” (i.e. work activities regularly performed at least once per week) of the job, or u working a full workday u count just like days away from work u do not count the restriction if it is limited only to the day of the injury or illness

37. 37 u count each partial day of work as a day of restriction except the day when the injury or illness began u production of fewer goods or services is not considered restricted work activity if employee can perform all the routine functions of the job 14300.7(b)(4) - Restricted Work

38. 38 14300.7(b)(4) - Restricted Work u If the licensed health care professional’s recommendation are vague, ask the HCP if the employee can: u (1) perform all routine job functions, and u (2) work the full assigned work shift u Then, record the injury/illness as a restricted work case if: u the answer to either question above is no, or u no clarifying information can be obtained from the HCP

39. 39 14300.7(b)(4) - Job Transfer 14300.7(b)(4) - Job Transfer means the injured or ill employee is assigned to a job other than their regular job for at least a part of any work day u under Remained at work, mark job transfer or restricted workdays column u count just like days away from work u stop counting the number of days of job transfer if: u a permanent modification is made to a job which eliminates the routine functions the employee was restricted from performing, and u the employee is permanently assignment to this modified job u do not count the day the injury or illness occurred u count at least one day

40. 40 14300.7(b)(5) -Medical Treatment Beyond First Aid 14300.7(b)(5) - Medical Treatment Beyond First Aid must be recorded: u on the Cal/OSHA Form 300 under Remained at work, mark Other recordable cases column (i.e., column J) only if the work related injury or illness did not results in: u death, or u days away from work or u a job transfer or restriction u even if an employee does not follow medical treatment recommended by a physician or other licensed health care professional

41. 41 14300.7(b)(5) - Medical Treatment Beyond First Aid 14300.7(b)(5) - Medical Treatment Beyond First Aid means the management and care of a patient to combat disease or disorder. It does not include: u visits to licensed health care professional solely for observation or counseling u diagnostic procedures (x-rays, blood tests, prescription medications used solely for diagnostic purposes) u first aid (as defined in the regulation)

42. 42 u First aid means using: u nonprescription medication at nonprescription strength u wound coverings, gauze pads, butterfly bandages, Steri-Strips u hot or cold therapy u non-rigid means of support u temporary immobilization devices while transporting an accident victim u eye patches u finger guards u massages 14300.7(b)(5) - First Aid

43. 43 14300.7(b)(5) - First Aid u Removing u foreign bodies from eye using irrigation or cotton swab u splinters or foreign material from areas other than the eye by irrigation, tweezers, cotton swabs or other simple means u Administering Tetanus immunizations u Cleaning, flushing, or soaking surface wounds u Drilling of fingernail or toenail, draining fluid from blister u Drinking fluids for heat stress

44. 44 u If a physician or other licensed health care professional provides procedures deemed first aid, these procedures are still not considered medical treatment u Similarly, if medical treatment is provided by someone other than a physician or other licensed health care professional, it is still considered medical treatment 14300.7(b)(5) - Professional Status of Providers

45. 45 Must be recorded regardless of the length of time the employee remains unconscious u classify by marking column (G - J) which represents the most serious outcome of the loss of consciousness 14300.7(b)(6) - Loss of Consciousness

46. 46 14300.7(b)(7) - Significant Diagnosed Injury or Illness 14300.7(b)(7) - Significant Diagnosed Injury or Illness Includes (but is not limited to) cancer, chronic irreversible diseases (e.g. asbestosis, byssinosis, silicosis), fractured or cracked bones, punctured eardrums. Record: u only once at the time of diagnosis by a physician or other licensed health care professional u by marking Other recordable cases column (i.e. column J), if the significant diagnosed injury or illness did not results in: u death, or u days away from work or u a job transfer or restriction

47. 47 14300.8 - Recording Criteria for Needlesticks and Sharps Injuries 14300.8 - Recording Criteria for Needlesticks and Sharps Injuries u Record exposures to blood or Other Potentially Infectious Material (OPIM) as: u injuries if needlesticks or cuts from sharps are involved u illnesses if a splash or other exposures result in a diagnosis of a bloodborne illness (e.g. HIV, hepatitis B, or hepatitis C) u medical treatment beyond first aid. (e.g. HIV post- exposure prophylaxis treatment, hepatitis B immune globulin, gamma globulin, hepatitis B vaccination). u To protect privacy, do not enter the employee's name on the Cal/OSHA Form 300

48. 48 14300.8 - Recording Criteria for Needlesticks and Sharps Injuries u Other Potentially Infected Material (OPIM) includes the following materials: u Human bodily fluids, tissues and organs, and u Other materials infected with the HIV, hepatitis B virus (HBV) or hepatitis C virus (HCV) such as laboratory cultures or tissues from experimental animals.

49. 49 14300.8 - Recording Criteria for Needlesticks and Sharps Injuries do not u If cuts, lacerations, punctures or scratches are work- related and do not involve contamination with another persons blood or OPIM then record only if the incident involved: u Death u Days away from work u Restricted work u Transfer to another job u Medical treatment beyond first aid u Loss of consciousness u Significant injury or illness diagnosed by a physician or other licensed health care professional

50. 50 14300.8 - Recording Criteria for Needlesticks and Sharps Injuries 14300.8 - Recording Criteria for Needlesticks and Sharps Injuries u If a recorded injury is later diagnosed as an infectious bloodborne disease causing death, days away from work, restricted work, or job transfer : u update the description to identify the disease u change the classification from an injury to an illness

51. 51 14300.9 - Medical Removal Under Cal/OSHA Standards 14300.9 - Medical Removal Under Cal/OSHA Standards u If an employee is removed under the medical surveillance requirements of a Cal/OSHA standard, record the case as either days: u away from work, or u of restricted work activity u mark “poisoning column” if the medical removal is the result of a chemical exposure u do not record cases involving voluntary medical removal from employee exposures below the removal levels required by a Cal/OSHA standards

52. 52 14300.9 - Medical Removal Under Cal/OSHA Standards u Many standards covering chemical substances have medical removal provisions. Examples include (but are not limited to): u Lead, Cadmium, Methylene Chloride u Formaldehyde, Benzene u Some standards do not have medical removal provisions. Examples include (but are not limited to): u Bloodborne Pathogens u Noise

53. 53 14300.10 -Recording Criteria for Cases Involving Occupational Hearing Loss Definitions u Standard Threshold Shift (STS) – change in the average level at which various frequencies of sound can be heard relative to a baseline audiogram u Work-related Hearing Loss – an event or exposure in the work environment either caused or contributed to the hearing loss or significantly aggravated a pre-existing hearing loss

54. 54 14300.10 -Recording Criteria for Cases Involving Occupational Hearing Loss Definitions u Baseline Audiogram – original audiogram taken when employee was first placed in a hearing conservation program. Used to compared to subsequent audiograms to evaluate effects of occupational noise exposure over time. u Audiometric Zero – statistical average levels at which various frequencies of sound can be heard in young adults with no pathology in their ears. Hearing levels at or near AZ represent near perfect hearing.

55. 55 Employers Must Record If Employee’s Current Audiogram Reveals: u work-related Standard Threshold Shift (STS) of 25 decibels or more (averaged at 2000, 3000 and 4000 hertz) above audiometric zero in the same ear u no age adjustment u determine if case is work – related using T8CCR 14300.5 u check Other Illnesses on Cal/OSHA form 300 (or equivalent) 14300.10 -Recording Criteria for Cases Involving Occupational Hearing Loss

56. 56 14300.10 -Recording Criteria for Cases Involving Occupational Hearing Loss Evaluation u To determine if employee currently has STS of 25 decibels or greater find out if employee had a recordable hearing loss in the past. - If yes, compare their current audiogram to the audiogram revealing the previous hearing loss - If no, compare their current audiogram to their baseline audiogram

57. 57 14300.10 -Recording Criteria for Cases Involving Occupational Hearing Loss Health Care Providers u If physicians or other licensed health care providers determine the hearing loss is not work related or significantly aggravated by workplace noise exposure, employer is not required to: - consider the case work-related - record the case

58. 58 14300.10 -Recording Criteria for Cases Involving Occupational Hearing Loss Retesting u If retest: - Confirms recordable STS, record within 7 calendar days of retest - Does not confirm recordable STS, do not record case u Must retest within 30 days of test revealing recordable STS u If further testing under T8CCR 5097 reveals recordable STS has not persisted, erase or line-out entry on Log 300

59. 59 14300.10 -Recording Criteria for Cases Involving Occupational Hearing Loss Comparison - Definitions of Work-related STS u T8CCR 14300.10 - 25 decibels or more (averaged at 2000, 3000 and 4000 hertz) above audiometric zero in the same ear. To determine recordability. u T8CCR 5097 - 10 decibels or more (averaged at 2000, 3000 and 4000 hertz) above audiometric zero in the same ear (compared to employee’s baseline audiogram). For further evaluation of audiogram as per 5097.

60. 60 14300.11 - Work-related Tuberculosis (TB) Cases u Record when the employee : u is occupationally exposed to a known case of active (TB), and u subsequently develops a tuberculosis infection, as evidenced by a u positive skin test, or u diagnosis by a physician or other licensed health care professional u Record by marking the “respiratory condition” column

61. 61 14300.11 - Recording Criteria for Work-Related Tuberculosis (TB) Cases u A recorded TB case may be removed from the Cal/OSHA Form 300 when it was not caused by occupational exposure, as evidenced by : u a positive TB skin test resulting from a pre-employment physical u the employee living in a household with a person diagnosed with active TB u the Public Health Department identifying the employee as a contact of an individual with active TB, unrelated to the workplace u a medical investigation showing the infection was caused by exposure away from work

62. 62 u Employers are required, until December 31, 2003, to record work-related injuries or illnesses involving:  muscles, nerves, tendons, ligaments  joints, cartilage, spinal discs (Note: use the same general requirements for any injury or illness) u For entry "M" on the Cal/OSHA 300, mark either:  injury, or  all other illnesses 14300.12 - Recording Criteria for Cases Involving Work-Related Musculoskeletal Disorders

63. 63 14300.29 - Forms u Complete Cal/OSHA Forms 300 & 301 or equivalent form within 7 calendar days of receiving information of a recordable case u Cal/OSHA Form 300 - Log of Work-Related Injuries and Illnesses u Cal/OSHA Form 301 - Injury and Illness Incident Report

64. 64 14300.29 - Forms u An equivalent form has the same information as the OSHA form it replaces and is: u as readable and understandable to a person not familiar with it u completed using the same instructions u Forms can be kept on a computer or at other locations as long as they can be produced within specified time frames u Keep a separate confidential list of the case numbers and employee names for “privacy concern cases” so they can be: u updated when appropriate, and u provided when required

65. 65 14300.29 - Forms “Privacy Concern Cases” u Do not enter the name of an employee on the OSHA Form 300 for “Privacy concern cases” u Write “Privacy case” in the name column u 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 to do so.

66. 66 14300.29 - Forms “Privacy Concern Cases” u The following are a complete list of “Privacy Concern Cases”: u injuries or illnesses to intimate body parts or the reproductive system u mental illnesses u HIV infection, hepatitis or tuberculosis u injuries or illness resulting from sexual assault u Needlstick injures and cuts from sharp objects contaminated with another person’s blood or OPIM u Other illnesses where the employee independently and voluntarily request their name not to be entered on the log

67. 67 14300.29 - Forms “Privacy Concern Cases” u Use discretion in describing the injury or illness on Cal/OSHA Form s 300 & 301 if: u the employee’s name was removed from the forms, and u a reasonable basis exists to believe that the individual could still be identified u Remove or hide employee names when Cal/OSHA Forms 300 or 301 are voluntarily disclosed to persons other than : u government representatives u employees u former employees u authorized representatives

68. 68 14300.29 - Forms “Privacy Concern Cases” with personally identifying information u Voluntarily disclose Cal/OSHA Forms 300 or 301 with personally identifying information only to: u auditors or consultants hired by the employer to evaluate the safety and health program u the extent necessary for processing workers’ compensation or other insurance claims u public health authorities or law enforcement agencies

69. 69 14300.30 - 14300.41 Other Requirements u 14300.30 - Multiple establishments u 14300.31 - Covered employees u 14300.32 - Annual summary u 14300.33 - Retention and updating u 14300.34 - Change of ownership u 14300.35 - Employee involvement u 14300.36 - Prohibition Against Discrimination u 14300.38 - Variances from the Recordkeeping Rule u 14300.40 - Providing Records to Government Representatives u 14300.41 - Annual OSHA Injury and Illness Survey

70. 70 14300.30 - Multiple Establishments u Cal/OSHA Form 300 u need separate forms for each establishment expected to be in operation for one year or longer. u Records for all establishments can be kept at headquarters or a central location under certain conditions. u can combine information onto one form for all establishments expected to be in operation for less than one year.

71. 71 14300.30 - Multiple Establishments for all establishments u Records for all establishments can be kept at headquarters or a central location if : u information about recordable injuries or illnesses is transmitted from the establishments within seven (7) calendar days of the incident, and u records are sent within specified times to the individual establishments when government representatives, employees, former employees or employee representatives request them, and u the address and telephone number of the central location or headquarters is available at each worksite, and u personnel are available, during normal business hours, where the records are kept to transmit information from the records

72. 72 14300.30 - Multiple Establishments u For recordkeeping purposes employees; u working at several different locations, or not working at any particular establishment, must be linked to a specific establishment u injuries or illnesses must be recorded on the linked establishments Cal/OSHA Form 300

73. 73 14300.30 - Multiple Establishments u If employees become injured or ill while: u visiting or working at an establishment of their employer other than where they normally work, record the information on the Cal/OSHA Form 300 of the establishment where the incident occurred u working away from any establishment of their employer, record the information on the Cal/OSHA Form 300 of the establishment where the employee normally works

74. 74 14300.31 - Covered Employees u Injuries and illnesses must be recorded on the Cal/OSHA Form 300 for all employees u on the payroll including those who are: u executives, laborers, hourly u salaried, part-time, seasonal, migrant u not on the payroll that you supervise on a day-to-day basis including those from: u temporary help services, employee leasing services, u personnel supply services, contractors u Self-employed persons, sole proprietors or partners are not considered employees for recordkeeping purposes

75. 75 14300.31 - Covered Employees u The employer and the temporary help service, employee leasing service, personnel supply service, or contractor should coordinate efforts so that each injury and illness is recorded only once on the Cal/OSHA Form 300.

76. 76 14300.32 - Annual Summary u Review Cal/OSHA Form 300, then complete Cal/OSHA Form 300A - Annual Summary of Work-related Injuries and Illnesses u Company executive must certify that he or she has examined the Cal/OSHA Form 300 and the Cal/OSHA Form 300A is correct and complete u Post summary February 1 - April 30 of the year after the calendar year the records cover

77. 77 14300.32 - Annual Summary u Executives: u include owners, officers of the corporation, or highest ranking company official or their immediate supervisor working at the establishment u must certify that they: u have examined the Cal/OSHA Form 300 u reasonably believe that the annual summary is correct and complete (based on their knowledge of the process by which information was recorded on the Cal/OSHA Form 300)

78. 78 14300.32 - Annual Summary (con’t) u Annual Summaries u must be posted in a conspicuous place u can not be altered, defaced or covered - up u do not have to be posted for establishments which have closed u equivalent forms, other than the Cal/OSHA Form 300A, must include the employee access and employer penalty statements found on the Cal/OSHA Form 300A

79. 79 14300.32 - Annual Summary (con’t) u Present or mail annual summary to each employee who: u receives pay during the posting period (February - April), and u does not normally report at least weekly to the location where the annual summary for their establishment is posted

80. 80 14300.33 - Retention and Updating u Retain the following forms for 5 years, after the year the forms cover: u Cal/OSHA Form 300, Cal/OSHA Form 300A, u Cal/OSHA Form 301, Incident Reports, Privacy Case List u Update Cal/OSHA Form 300 during retention period if: u newly discovered recordable injuries or illnesses arise u any changes occur in the classification of previously recorded injuries and illnesses, or u changes occur in the description or outcome of a case u You do not need to update the Cal/OSHA Form 300A or Cal/OSHA Form 301during the retention period

81. 81 14300.34 - Change of Establishment Ownership u Each owner is responsible for recording and reporting only for the period of the year during which they owned the establishment u Old owner must transfer records to new owner u New owner must retain records but does not need to update or correct the records of the prior owner

82. 82 14300.35 - Employee Involvement u Employer must: u set up a system for employees to promptly report work-related injuries and illnesses u involve employees and their representatives in this recordkeeping system by: u informing each employee about the system for reporting, and u telling each employee how to report injuries or illnesses u provide access as specified to current or stored Cal/OSHA Forms 300, 300A, and 301 u for employees, former employees and their personal and authorized representatives

83. 83 14300.35 - Employee Involvement u Employers must provide copies of current or stored Cal/OSHA 300 or 300A Forms when requested by employees, former employees, personal representatives, or authorized representatives for an establishment the employee worked in: u by the end of the next business day. u without removing names except when "privacy concern" cases are involved. u Employers must provide a copy of the current or stored Cal/OSHA 301 Forms when requested by an employee, former employee, or personal representative if it describes an injury or illness to that employee: u by the end of the next business day.

84. 84 14300.35 - Employee involvement u Employer must provide copies of the Cal/OSHA Forms 301, Incident Reports (or equivalent), when requested by an authorized employee representative for an establishment where the agent represents employees under a collective bargaining agreement: u within 7 calendar days. u with certain personally identifying information deleted including: u employee name; address; date of birth; date of hire; gender; u physician name; location where treatment was provided; u whether treatment occurred in an emergency room; and u whether employee was hospitalized overnight as an in-patient

85. 85 14300.35 - Employee Involvement u Employer must provide the first set of copies for free, but may assess a reasonable charge for retrieving and copying records for any additional copies requested. u Nothing in section 14300.35, Employee Involvement, prevents employees or their representatives from collectively bargaining for additional information related to occupational injuries and illness with the exception of the privacy concern cases/restrictions contained in this standard.

86. 86 14300.36 - Prohibition Against Discrimination u Section 11(c) of the OSHA Act and Labor Code Sections 6310 & 6311 prohibit discrimination against an employee for: u reporting a work-related fatality, injury or illness, or u filing a safety and health complaint, or u asking for access to the records, or u exercising any rights afforded by Section 11(c) or Labor Code Sections 6310 & 6311

87. 87 14300.38 -Variances from the Recordkeeping Rule u Private employers can keep records in a different manner than prescribed by the new Cal/OSHA Recordkeeping requirements if they: u submit a Variance Petition to Federal OSHA u can demonstrated that the alternative recordkeeping system: u collects the same required information u meets the purposes of the Act u does not interfere with the administration of the Act u Public employers can keep records in a different manner than prescribed by the new Cal/OSHA Recordkeeping requirements if they write a letter to DLSR.

88. 88 14300.38 -Variances from the Recordkeeping Rule u Private Employer Variance Petitions must be submitted to the Assistant Secretary of Labor of Occupational Safety and Health (Assistant Secretary), U. S. Department of Labor, Washington, DC 20210 u Public Employer Variance Petitions must be submitted to the California Department of Industrial Relations, Chief of the Division of Labor Statistics and Research. u No alternative recordkeeping practices are allowed until the variance petition is approved

89. 89 14300.38 -Variances from the Recordkeeping Rule u The variance petition has no effect on any citations issued by the Division of Occupational Safety and Health (DOSH) u Assistant Secretary of Labor or the Chief of the Division of Labor Statistics and Research, may elect not to review an employer’s variance petition if it: u includes elements for which a citation has been issued, and u the citation is still under review by a court, Administrative Law Judge (AJL) or the California Occupational Safety and Health Appeals Board

90. 90 14300.38 -Variances from the Recordkeeping Rule u Private employer and public employer variance petitions must contain employer’s: u name and address u list of State(s) where the variance would be used u address(es) of the establishment(s) involved u reasons for the variance u alternative recordkeeping procedures u explanation of how the alternative procedures will the collect the same required information and achieve the same purpose as the Cal/OSHA Recordkeeping standard

91. 91 14300.38 -Variances from the Recordkeeping Rule u Private employer and public employer variance petitions must contain employer’s statement that employees have been informed of the petition by: u giving them or their authorized representatives a copy of the petition, and u posting a statement summarizing the petition in the same way as notices posted under Title 8, Section 340

92. 92 14300.38 -Variances from the Recordkeeping Rule u Assistant Secretary of Labor or the Chief of the Division of Labor Statistics and Research: u offers employees and their authorized representatives an opportunity to submit written data, views and arguments u may allow public comment (by publishing the petition in the Federal Register for private employers) and establish a public comment period which may include a schedule for public meetings

93. 93 14300.38 -Variances from the Recordkeeping Rule u Assistant Secretary of Labor or the Chief of the Division of Labor Statistics and Research: u reviews the variance petition, comments from employees and the public u decides if the proposed procedures meet the relevant criteria (i.e., meets the purposes of the Act, not otherwise interfere with the Act and provide the same required information) u may grant the variance subject to certain appropriate conditions if the relevant criteria are met

94. 94 14300.38 -Variances from the Recordkeeping Rule u For Private Employers, OSHA will: u publish notice in the Federal Register to announce the variance if it is granted by the Assistant Secretary of Labor. u The notice includes the: u procedures or practices the variance allows u conditions that apply  reasons for allowing the variance

95. 95 14300.38 -Variances from the Recordkeeping Rule u Assistant Secretary of Labor or the Chief of the Division of Labor Statistics and Research may: u revoke a variance for“good cause” u 0using the same review process outlined for granting the variance u except, in cases of willfulness or where necessary for public safety. u Provide notification in writing of the facts or conduct that may warrant revocation of the variance, and u Offer the employer, employees and authorized employee representatives an opportunity to participate in the revocation procedures.

96. 96 14300.40 - Providing Records to Government Representatives u Must provide access to original recordkeeping documents (plus one free set of copies) within four (4) business hours of a request by an Authorized Government Representative u Use the business hours of the establishment at which the records are located to calculate the time deadline

97. 97 14300.40 - Providing Records to Government Representatives u Authorized Government Representatives are representatives of the: u Chief of the Division of Occupational Safety and Health u Director of the California Department of Health Services u Secretary of the U.S. Department of Labor conducting an inspection or investigation under the Act u Secretary of the U.S. Department of Health and Human Services conducting an investigation under Section 20(b) of the OSHA Act

98. 98 14300.41 - Annual OSHA Injury and Illness Survey u OSHA (or their designee) may send the employer: u a letter stating that injury and illness information will be collected for the following year, and u an Annual Survey Form u Survey Form must be filled out for the year covered by the survey and submitted to OSHA (or their designee) even if the employer is: u exempt from keeping injury and illness records, or u located in a State-Plan state

99. 99 14300.41 Annual OSHA Injury and Illness Survey u The completed OSHA Annual Survey Form must: u include the following information: u number of workers employed, and u number of hours worked by the employees, and u requested information from the records kept under the new Cal/OSHA Recordkeeping requirements u be submitted within 30 calendar days or by the date stated in the form, whichever is later

100. 100 14300.41 Annual OSHA Injury and Illness Survey u OSHA Annual Survey Form has no effect on the Division of Occupational Safety and Health’s (DOSH) statutory authority to investigate conditions related to occupational safety and health in the employer workplace.

101. 101 14300.42 - 14300.48 Other Requirements u 14300.42 - Requests from the Bureau of Labor Statistics for Data u 14300.43 - Annual Summary and Posting of the 2001 Data u 14300.44 - Retention and Updating of Old Forms u 14300.46 - Definitions u 14300.47 - Recordkeeping Requirements for Employers Covered by the Federal Mine Safety and Health Act u 14300.48 - Effective Dates

102. 102 14300.42 - Requests from the Bureau of Labor Statistics for Data u The Bureau of Labor Statistics (BLS), or their designee, may send the employer: u a letter stating that injury and illness information will be collected for the following year, and u an Occupational Injury and Illness Survey Form u Survey Form must be filled out for the year covered by the survey and promptly submitted to BLS (or their designee) even if the employer is: u exempt from keeping injury and illness records, or u located in a State-Plan state

103. 103 14300.44 - Retention and Updating of Old Forms u Copies of old Cal/OSHA 200 Forms (and any supplementary records): u must be saved for each occupational injury or illness for five (5) years following the year they cover u do not need to be updated during the retention period u Access must be provided to the data on old Cal/OSHA 200 Forms as though these forms were the Cal/OSHA Forms 300 and 301.

104. 104 14300.47 - Recordkeeping Requirements for Employers Covered by the Federal MSHA Employers covered under the Federal Mine Safety and Health Act (MSHA) of 1977 are not required to comply with Cal/OSHA recordkeeping requirements subject to certain provisions

105. 105 14300.47 - Recordkeeping Requirements for Employers Covered by the Federal MSHA u Employers who are required to record occupational injuries and illnesses under the Federal Mine Safety and Health Act (MSHA) of 1977 are not required to comply with the Cal/OSHA recordkeeping requirements: u to the extent that complying with MSHA requirements would result in duplicating information, and u provided access to the records required by Code of Federal Regulations (CFR), Title 30, Chapter 1, Subchapter I, starting with Section 50.20 is granted to authorized representatives of the official mine safety agency of the State of California