cal/osha recordkeeping work-related injuries & illnesses

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Cal/OSHA RecordkeepingCal/OSHA RecordkeepingWork-Related Injuries & IllnessesWork-Related Injuries & Illnesses

California Code of Regulation, Title 8, California Code of Regulation, Title 8, Section 14300Section 14300

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Organization of the RuleOrganization of the Rule Purpose - 14300 Scope - 14300.1 & 14300.2 Forms and Recording Criteria - 14300.4 -

14300.29 Other Requirements - 14300.30 - 14300.38 Reporting to the Government - 14300.39 -

14300.42 Transition from the Formal Rule - 14300.43 -

14300.45 Definitions - 14300.46

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14300 - Purpose14300 - PurposeRequires 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.

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Recording versus ReportingRecording versus Reporting

RecordingRecording 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)

ReportingReporting No exemptions, all employers must report:

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

occupational injury, illness to the Division of Labor Statistics and Research (DLSR).

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14300.1 - Partial Exemption for 14300.1 - Partial Exemption for Smaller EmployersSmaller Employers 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.

Count of 10 or fewer employees includes : Employment for the entire organization Temporary employees supervised on a day-to-day

basis

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14300.2 - Scope14300.2 - Scope Examples of Industries Covered

agriculture, mining, construction manufacturing, transportation,

communication electric, gas and sanitary services wholesale trade

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14300.2 - Partial Exemption for 14300.2 - Partial Exemption for Establishments in Certain IndustriesEstablishments in Certain Industries

Applies to some low-hazard establishments in certain retail, services, finance, insurance or real estate sectors: (Both public or private sector employers) Partial exemption based on SIC code of individual

establishments not the entire company

Within the same company some individual establishments may be required to keep records and some may not.

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14300.2 - Partial Exemption for 14300.2 - Partial Exemption for Establishments in Certain Industries Establishments in Certain Industries

Partial ExemptionPartial 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.

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Table 1 - Partially Exempted Industries Table 1 - Partially Exempted Industries in Californiain California

525 Hardware stores 542 Meat and fish markets 544 Candy, nut, and

confectionary stores 545 Dairy products stores 546 Retail bakeries 549 Miscellaneous food stores 551 New and Used Car Dealers 552 Used Car Dealers 554 Gasoline Service Stations 557 Motorcycle Dealers 56 Apparel and Accessory

Stores 573 Radio, Television, &

Computer Stores

573 Radio, Television, & Computer Stores

58 Eating and Drinking Places 591 Drug Stores & proprietary

Stores 592 Liquor Stores 594 - Miscellaneous shopping

goods Stores 599- Retail Stores , Not

elsewhere classified 60 - Depository Institutions

(banks & savings institutions) 61 - Nondepository 62 - Security and Commodity

Brokers 63 - Insurance Carriers

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729 - Miscellaneous Personal Services

731- Advertising Services 732- Credit Reporting and

collection Services 733 - Mailing, Reproduction

and Stenographic Services 737 - Computer and Data

Processing Services 738 - Miscellaneous business

Services Producers, orchestras, entertainers

764 Reupholstery and furniture repair

782 - Motion Picture Distribution and Allied Services

783 - Motion picture theaters

64 - Insurance Agents, Brokers & Services

653 - Real Estate Agents and managers

654 - Title and Abstract Offices 67 - Holding and Other

Investment Offices 722 - Photographic Studios,

Portrait 723 - Beauty Shops 724 - Barber Shops 725 - Shoe Repair and shoeshine

Parlors 726 - Funeral Service and

Crematories


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784 - Video Tape Rental 791 Dance studios, schools,

and halls 792 Producers, orchestras,

entertainers 793 Bowling centers 801 Offices and clinics of

medical doctors 802 Offices and clinics of

dentists 803 Offices of Osteopathic

Physicians 804 Offices of other health care

practitioners 807 Medical and dental

Laboratories

809 Health and allied services, NEC

81 - Legal Services 82 - Educational Services

(schools, colleges, universities and libraries)

832 - Individual& Family Services 835 - Child Day Care Services 839 - Social Services, Not

Elsewhere Classified 841- Museums and Art Galleries 86 - Membership Organizations 87 - Engineering, Accounting,

Research, Management and Related Services

899 - Services, Not Elsewhere Classified


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14300.2 - SIC Code 781, Motion 14300.2 - SIC Code 781, Motion Picture Production and Allied Picture Production and Allied ServicesServices

In California, establishments in SIC Code 781 (Motion Picture Production and Allied Services) are required to record

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)

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14300.3 - Keeping Records for14300.3 - Keeping Records forMore than One AgencyMore than One Agency

Records kept for another government agency meet the OSHA recordkeeping requirements if:

A memorandum of understanding between the two agencies stating the other agency’s records are acceptable; or

The other agency’s records contain the same information

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14300.4 - 14300.2914300.4 - 14300.29Forms and Recording CriteriaForms and Recording Criteria

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Recording CriteriaRecording Criteria 14300.4 - Recording Criteria 14300.5 - Work-relatedness 14300.6 - New case 14300.7 - General recording criteria 14300.8 - Recording Criteria for Needlesticks and Sharps

Injuries 14300.9 - Recording Criteria for Medical Removal Under

Cal/OSHA Standards 14300.10 - Recording Criteria for Cases Involving

Occupational Hearing Loss 14300.11- Recording Criteria for Work-related Tuberculosis

Cases 14300.12 - Recording Criteria for Cases Involving Work-

Related Musculoskeletal Disorders 14300.29 - Forms

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14300.4 - Recording Criteria14300.4 - Recording Criteria

Covered employers must record each fatality, injury or illness that is: work-related, and a new case, and meets one or more of the general

(i.e.,14300.7) or specific (14300.8 - 14300.12) recording criteria

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14300.4 - Recording Criteria14300.4 - Recording CriteriaDid the employee experience an

injury or illness?

Is the injury or illness a new case?

Is the injury or illness work-related?

Does the injury or illness meet the general recording criteria

or the additional criteria?

Update the previously recorded injury or illness

entry if necessary.

NO

YES

YES

YES

YES

Record the injury or illness

Do not record the injury or illness

NO

NO

NO

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14300.5 - Determination of Work-14300.5 - Determination of Work-RelatednessRelatedness

14300. 5(b)(4) – Significant Aggravation

14300. 5(b)(5) – Pre-Existing Condition

14300.5 (b)(6) – Travel Status

14300.5(b)(7) – Work at Home

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14300.5 - Determination of Work-14300.5 - Determination of Work-RelatednessRelatedness A case is considered work-related if an event or

exposure in the work environment:

either caused or contributed to the resulting injury or

illness, or significantly aggravated a pre-existing injury or

illness

Work-relatedness is presumed unless an exception in section 14300.5(b)(2) specifically applies

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14300.5 - Determination of Work-14300.5 - Determination of Work-RelatednessRelatedness

Work environmentWork 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:

the physical location of work the equipment or materials used by the

employee during the course of his or her work

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14300.5(b)(2) - Work-Relatedness 14300.5(b)(2) - Work-Relatedness ExceptionsExceptionsThe injury or illness was caused by:The injury or illness was caused by: the individual:

voluntarily participating in a wellness program, medical, fitness or recreational activity

eating, drinking or preparing food or drink for personal consumption

performing personal tasks (unrelated to their employment) outside assigned working hours

personal grooming or self medication for non-work-related condition

an intentionally self-inflicted act

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14300.5(b)(2) - Work-Relatedness 14300.5(b)(2) - Work-Relatedness Exceptions (con’t)Exceptions (con’t)The injury or illness was caused by:The injury or illness was caused by: a motor vehicle accident in parking lot or access road

during commute a common cold or flu Symptoms surface at work that are solely due to non-

work-related event or exposure The employee was present in the work environment as a

member of the general public 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)

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14300. 5(b)(4) - Significant 14300. 5(b)(4) - Significant AggravationAggravation 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): Death Loss of consciousness One or more days

away from work, or of restricted work, or a job transfer

Medical treatment or a change in medical treatment

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14300. 5(b)(5) - Pre-Existing 14300. 5(b)(5) - Pre-Existing ConditionCondition

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.

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14300.5 (b)(6) - Travel Status and 14300.5 (b)(6) - Travel Status and Work-RelatednessWork-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 Examples :

entertainment to transact, discuss or promote business at the direction of the employer

traveling to / from customer contacts conducting job tasks

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14300.5 (b)(6) -Travel Status and 14300.5 (b)(6) -Travel Status and Work-RelatednessWork-Relatedness An injury or illness that occurs while an

employee is on travel status is not work-related if the employee:

is on a detour for personal reasons which are not work-related, or

establishes a temporary residence (e.g. checks into

a hotel/motel) and then performs activities which

are not in the interest of the employer

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14300.5(b)(7) - Work at Home14300.5(b)(7) - Work at Home

Injuries and illnesses that occur at home are work-related if they: happen while work for pay/compensation is being

performed, and are directly related to the performance of the job

Examples : puncturing a fingernail during home garment work

dropping a box of work documents resulting in a

foot injury

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14300.6(a) - Determination of 14300.6(a) - Determination of New CasesNew Cases

An injury or illness is considered to be a new case if the employee has: not previously experienced a recorded injury or illness

of the same type that affects the same part of the body, or

previously experienced a recorded injury or illness of the same type affecting the same part of the body but recovered completely, and

an event or exposure in the work environment caused the signs / symptoms to reappear

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Recurring symptoms of chronic illness are not new cases (e.g., cancer, asbestosis, silicosis, etc.)

Each episode caused by a new event or exposure in the work environment is a new case (e.g., occupational asthma, skin disorders)

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 14300.6(a) - Determination of New CasesNew Cases

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14300.7 - General Recording 14300.7 - General Recording CriteriaCriteria 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) Death Days away from work Restricted work Transfer to another job Medical treatment beyond first aid Loss of consciousness Significant injury or illness diagnosed by a

physician or other licensed health care professional

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14300.7(b)(2) - Fatalities 14300.7(b)(2) - Fatalities mark the

column for death

14300.7(b)(3) - Days Away14300.7(b)(3) - Days Away mark the days away from work column

enter number of calendar days in the away from work column

exclude the day of injury or illness “cap” the total days away at 180 calendar days 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.]

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14300.7(b)(3) - Days Away Cases14300.7(b)(3) - Days Away Cases 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.

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.

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If a licensed health care professional recommends that the employee: 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.

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.

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 Cases14300.7(b)(3) - Days Away Cases

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14300.7(b)(3) - Days Away Cases14300.7(b)(3) - Days Away Cases If employee leaves the company due to:

retirement or a reason unrelated to the injury or illness, stop day away from work count

an injury or illness which occurred at the work site, estimate the total number of days away from work

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If a case occurs in one year but results in days away during the next calendar year, record the injury or illness once: count the number of calendar days away for the

year when the injury or illness occurred

for the annual summary, if the employee is still

away, estimate the total number of calendar days

you expect the employee to be away use this number to calculate the total for the annual

summary. update the initial log entry later when the day count is

known or reaches the 180-day cap.

14300.7(b)(3) - Days Away Cases14300.7(b)(3) - Days Away Cases

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14300.7(b)(4) - Restricted Work 14300.7(b)(4) - Restricted Work Under the Remained at work column mark job transfer or restricted workdays

Restricted work: occurs when the employer (or the recommendations of

a physician or other licensed health care professional) keeps the employee from performing:

one or more “routine functions” (i.e. work activities regularly performed at least once per week) of the job, or

working a full workday

count just like days away from work do not count the restriction if it is limited only to the

day of the injury or illness

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count each partial day of work as a day of restriction except the day when the injury or illness began

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 Work14300.7(b)(4) - Restricted Work

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14300.7(b)(4) - Restricted Work14300.7(b)(4) - Restricted Work

If the licensed health care professional’s recommendation are vague, ask the HCP if the employee can: (1) perform all routine job functions, and (2) work the full assigned work shift

Then, record the injury/illness as a restricted work case if: the answer to either question above is no, or no clarifying information can be obtained from the

HCP

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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 under Remained at work, mark job transfer or

restricted workdays column count just like days away from work stop counting the number of days of job transfer if:

a permanent modification is made to a job which eliminates the routine functions the employee was restricted from performing, and

the employee is permanently assignment to this modified job do not count the day the injury or illness occurred count at least one day

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14300.7(b)(5) -14300.7(b)(5) - Medical Treatment Medical Treatment Beyond First Aid Beyond First Aid must be recorded: 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:

death, or days away from work or a job transfer or restriction

even if an employee does not follow medical treatment recommended by a physician or other licensed health care professional

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14300.7(b)(5) - Medical Treatment 14300.7(b)(5) - Medical Treatment Beyond First Aid Beyond First Aid means the

management and care of a patient to combat disease or disorder. It does not include: visits to licensed health care professional solely for

observation or counseling

diagnostic procedures (x-rays, blood tests,

prescription medications used solely for diagnostic

purposes)

first aid (as defined in the regulation)

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First aid means using:

nonprescription medication at nonprescription strength

wound coverings, gauze pads, butterfly bandages, Steri-Strips hot or cold therapy

non-rigid means of support

temporary immobilization devices while transporting an accident victim

eye patches

finger guards

massages

14300.7(b)(5) - First Aid14300.7(b)(5) - First Aid

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14300.7(b)(5) - First Aid14300.7(b)(5) - First Aid

Removing foreign bodies from eye using irrigation or cotton swab splinters or foreign material from areas other than the eye by

irrigation, tweezers, cotton swabs or other simple means

Administering Tetanus immunizations Cleaning, flushing, or soaking surface wounds

Drilling of fingernail or toenail, draining fluid from

blister Drinking fluids for heat stress

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If a physician or other licensed health care professional provides procedures deemed first aid, these procedures are still not considered medical treatment

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 14300.7(b)(5) - Professional Status of Providersof Providers

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Must be recorded regardless of the length of time the employee remains unconscious classify by marking column (G - J) which represents

the most serious outcome of the loss of consciousness

14300.7(b)(6) - Loss of 14300.7(b)(6) - Loss of ConsciousnessConsciousness

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14300.7(b)(7) - Significant 14300.7(b)(7) - Significant Diagnosed Injury or Illness 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: only once at the time of diagnosis by a physician or

other licensed health care professional by marking Other recordable cases column (i.e.

column J), if the significant diagnosed injury or illness did not results in:

death, or days away from work or a job transfer or restriction

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14300.8 - Recording Criteria for 14300.8 - Recording Criteria for Needlesticks and Sharps InjuriesNeedlesticks and Sharps Injuries

Record exposures to blood or Other Potentially Infectious Material (OPIM) as: injuries if needlesticks or cuts from sharps are involved illnesses if a splash or other exposures result in a

diagnosis of a bloodborne illness (e.g. HIV, hepatitis B, or hepatitis C)

medical treatment beyond first aid. (e.g. HIV post-

exposure prophylaxis treatment, hepatitis B immune

globulin, gamma globulin, hepatitis B vaccination).

To protect privacy, do not enter the employee's name on the Cal/OSHA Form 300

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14300.8 - Recording Criteria for 14300.8 - Recording Criteria for Needlesticks and Sharps InjuriesNeedlesticks and Sharps Injuries Other Potentially Infected Material (OPIM)

includes the following materials:

Human bodily fluids, tissues and organs, and

Other materials infected with the HIV, hepatitis B virus (HBV) or hepatitis C virus (HCV) such as laboratory cultures or tissues from experimental animals.

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If cuts, lacerations, punctures or scratches are work-related and do notdo not involve contamination with another persons blood or OPIM then record only if the incident involved: Death Days away from work Restricted work Transfer to another job Medical treatment beyond first aid Loss of consciousness Significant injury or illness diagnosed by a physician or

other licensed health care professional

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If a recorded injury is later diagnosed as an infectious bloodborne disease causing death, days away from work, restricted work, or job transfer : update the description to identify the disease

change the classification from an injury to an illness

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14300.9 - Medical Removal 14300.9 - Medical Removal Under Cal/OSHA StandardsUnder Cal/OSHA Standards

If an employee is removed under the medical surveillance requirements of a Cal/OSHA standard, record the case as either days: away from work, or of restricted work activity

mark “poisoning column” if the medical removal is the result of a chemical exposure

do not record cases involving voluntary medical removal from employee exposures below the removal levels required by a Cal/OSHA standards

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14300.9 - Medical Removal Under 14300.9 - Medical Removal Under Cal/OSHA StandardsCal/OSHA Standards

Many standards covering chemical substances have medical removal provisions. Examples include (but are not limited to): Lead, Cadmium, Methylene Chloride Formaldehyde, Benzene

Some standards do not have medical removal provisions. Examples include (but are not limited to): Bloodborne Pathogens Noise

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14300.10 -Recording Criteria for 14300.10 -Recording Criteria for Cases Involving Occupational Cases Involving Occupational Hearing LossHearing Loss

Definitions

Standard Threshold Shift (STS) – change in the average level at which various frequencies of sound can be heard relative to a baseline audiogram

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

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Definitions

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.

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.

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Employers Must Record If Employee’s Current Audiogram Reveals:

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 no age adjustment determine if case is work – related using T8CCR 14300.5 check Other Illnesses on Cal/OSHA form 300 (or equivalent)


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Evaluation 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

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Health Care Providers

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

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Retesting If retest:

- Confirms recordable STS, record within 7 calendar days of retest

- Does not confirm recordable STS, do not record case

Must retest within 30 days of test revealing recordable STS

If further testing under T8CCR 5097 reveals recordable STS has not persisted, erase or line-out entry on Log 300

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Comparison - Definitions of Work-related STS

T8CCR 14300.10

- 25 decibels or more (averaged at 2000, 3000 and 4000 hertz) above audiometric zero in the same ear. To determine recordability.

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.

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14300.11 - Work-related 14300.11 - Work-related Tuberculosis (TB) CasesTuberculosis (TB) Cases

Record when the employee : is occupationally exposed to a known case of active

(TB), and subsequently develops a tuberculosis infection, as

evidenced by a positive skin test, or diagnosis by a physician or other licensed health care

professional

Record by marking the “respiratory condition” column

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14300.11 - Recording Criteria for 14300.11 - Recording Criteria for Work-Related Tuberculosis (TB) Work-Related Tuberculosis (TB) CasesCases

A recorded TB case may be removed from the Cal/OSHA Form 300 when it was not caused by occupational exposure, as evidenced by : a positive TB skin test resulting from a pre-employment

physical the employee living in a household with a person diagnosed

with active TB the Public Health Department identifying the employee as a

contact of an individual with active TB, unrelated to the workplace

a medical investigation showing the infection was caused by exposure away from work

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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)

For entry "M" on the Cal/OSHA 300, mark either: injury, or

all other illnesses

14300.12 - Recording Criteria for 14300.12 - Recording Criteria for Cases Involving Work-Related Cases Involving Work-Related Musculoskeletal Disorders Musculoskeletal Disorders

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14300.29 - Forms14300.29 - Forms

Complete Cal/OSHA Forms 300 & 301 or equivalent form within 7 calendar days of receiving information of a recordable case

Cal/OSHA Form 300 - Log of Work-Related Injuries and Illnesses

Cal/OSHA Form 301 - Injury and Illness Incident Report

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14300.29 - Forms14300.29 - Forms

An equivalent form has the same information as the OSHA form it replaces and is: as readable and understandable to a person not familiar with it completed using the same instructions

Forms can be kept on a computer or at other locations as long as they can be produced within specified time frames

Keep a separate confidential list of the case numbers and employee names for “privacy concern cases” so they can be: updated when appropriate, and provided when required

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14300.29 - Forms 14300.29 - Forms “Privacy “Privacy Concern Cases”Concern Cases”

Do not enter the name of an employee on the OSHA Form 300 for “Privacy concern cases”

Write “Privacy case” in the name column 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.

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14300.29 - Forms “Privacy 14300.29 - Forms “Privacy Concern Cases”Concern Cases”

The following are a complete list of “Privacy Concern Cases”: injuries or illnesses to intimate body parts or the

reproductive system mental illnesses HIV infection, hepatitis or tuberculosis injuries or illness resulting from sexual assault Needlstick injures and cuts from sharp objects

contaminated with another person’s blood or OPIM Other illnesses where the employee independently and

voluntarily request their name not to be entered on the log

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Use discretion in describing the injury or illness on Cal/OSHA Form s 300 & 301 if: the employee’s name was removed from the forms, and a reasonable basis exists to believe that the individual could still be

identified

Remove or hide employee names when Cal/OSHA Forms 300 or 301 are voluntarily disclosed to persons other than : government representatives employees former employees authorized representatives

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Voluntarily disclose Cal/OSHA Forms 300 or 301 with personally identifying with personally identifying informationinformation only to: auditors or consultants hired by the employer to

evaluate the safety and health program the extent necessary for processing workers’

compensation or other insurance claims public health authorities or law enforcement

agencies

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14300.30 - 14300.41 Other 14300.30 - 14300.41 Other RequirementsRequirements

14300.30 - Multiple establishments 14300.31 - Covered employees 14300.32 - Annual summary 14300.33 - Retention and updating 14300.34 - Change of ownership 14300.35 - Employee involvement 14300.36 - Prohibition Against Discrimination 14300.38 - Variances from the Recordkeeping Rule 14300.40 - Providing Records to Government

Representatives 14300.41 - Annual OSHA Injury and Illness Survey

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14300.30 - Multiple Establishments14300.30 - Multiple Establishments Cal/OSHA Form 300

need separate forms for each establishment expected to be in operation for one year or longer.

Records for all establishments can be kept at headquarters or a central location under certain conditions.

can combine information onto one form for all establishments expected to be in operation for less than one year.

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14300.30 - Multiple Establishments14300.30 - Multiple Establishments Records for all establishmentsfor all establishments can be kept at

headquarters or a central location if : information about recordable injuries or illnesses is

transmitted from the establishments within seven (7) calendar days of the incident, and

records are sent within specified times to the individual establishments when government representatives, employees, former employees or employee representatives request them, and

the address and telephone number of the central location or headquarters is available at each worksite, and

personnel are available, during normal business hours, where the records are kept to transmit information from the records

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14300.30 - Multiple Establishments14300.30 - Multiple Establishments For recordkeeping purposes employees;

working at several different locations, or not working at any particular establishment, must be linked to a specific establishment

injuries or illnesses must be recorded on the linked establishments Cal/OSHA Form 300

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14300.30 - Multiple Establishments14300.30 - Multiple Establishments If employees become injured or ill while:

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

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

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14300.31 - Covered Employees14300.31 - Covered Employees Injuries and illnesses must be recorded on the

Cal/OSHA Form 300 for all employees on the payroll including those who are:

executives, laborers, hourly salaried, part-time, seasonal, migrant

not on the payroll that you supervise on a day-to-day

basis including those from: temporary help services, employee leasing services, personnel supply services, contractors

Self-employed persons, sole proprietors or partners are not considered employees for recordkeeping purposes

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14300.31 - Covered Employees14300.31 - Covered Employees

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.

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14300.32 - Annual Summary14300.32 - Annual Summary Review Cal/OSHA Form 300, then complete

Cal/OSHA Form 300A - Annual Summary of Work-related Injuries and Illnesses

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

Post summary February 1 - April 30 of the

year after the calendar year the records cover

77

14300.32 - Annual Summary14300.32 - Annual Summary Executives:

include owners, officers of the corporation, or highest ranking company official or their immediate supervisor working at the establishment

must certify that they: have examined the Cal/OSHA Form 300 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

14300.32 - Annual Summary (con’t)14300.32 - Annual Summary (con’t)

Annual Summaries must be posted in a conspicuous place can not be altered, defaced or covered - up do not have to be posted for establishments

which have closed 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

14300.32 - Annual Summary (con’t)14300.32 - Annual Summary (con’t)

Present or mail annual summary to each employee who: receives pay during the posting period (February

- April), and does not normally report at least weekly to the

location where the annual summary for their establishment is posted

80

14300.33 - Retention and Updating14300.33 - Retention and Updating Retain the following forms for 5 years, after the

year the forms cover: Cal/OSHA Form 300, Cal/OSHA Form 300A, Cal/OSHA Form 301, Incident Reports, Privacy Case

List Update Cal/OSHA Form 300 during retention

period if: newly discovered recordable injuries or illnesses arise any changes occur in the classification of previously

recorded injuries and illnesses, or changes occur in the description or outcome of a case

You do not need to update the Cal/OSHA Form 300A or Cal/OSHA Form 301during the retention period

81

14300.34 - Change of 14300.34 - Change of Establishment OwnershipEstablishment Ownership

Each owner is responsible for recording and reporting only for the period of the year during which they owned the establishment

Old owner must transfer records to new owner

New owner must retain records but does not need to update or correct the records of the prior owner

82

14300.35 - Employee Involvement14300.35 - Employee Involvement Employer must:

set up a system for employees to promptly report work-related injuries and illnesses

involve employees and their representatives in this recordkeeping system by:

informing each employee about the system for reporting, and

telling each employee how to report injuries or illnesses

provide access as specified to current or stored Cal/OSHA Forms 300, 300A, and 301

for employees, former employees and their personal and

authorized representatives

83

14300.35 - Employee Involvement14300.35 - Employee Involvement 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: by the end of the next business day.

without removing names except when "privacy concern" cases are involved.

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: by the end of the next business day.

84

14300.35 - Employee involvement14300.35 - Employee involvement 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:

within 7 calendar days. with certain personally identifying information deleted

including: employee name; address; date of birth; date of hire; gender; physician name; location where treatment was provided; whether treatment occurred in an emergency room; and whether employee was hospitalized overnight as an in-patient

85

14300.35 - Employee Involvement14300.35 - Employee Involvement

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.

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

14300.36 - Prohibition Against 14300.36 - Prohibition Against DiscriminationDiscrimination

Section 11(c) of the OSHA Act and Labor Code Sections 6310 & 6311 prohibit discrimination against an employee for:

reporting a work-related fatality, injury or illness, or

filing a safety and health complaint, or asking for access to the records, or exercising any rights afforded by Section 11(c)

or Labor Code Sections 6310 & 6311

87

14300.38 -Variances from the 14300.38 -Variances from the Recordkeeping RuleRecordkeeping Rule

Private employers can keep records in a different manner than prescribed by the new Cal/OSHA Recordkeeping requirements if they: submit a Variance Petition to Federal OSHA can demonstrated that the alternative recordkeeping

system: collects the same required information meets the purposes of the Act does not interfere with the administration of the Act

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

14300.38 -Variances from the 14300.38 -Variances from the Recordkeeping RuleRecordkeeping Rule 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

Public Employer Variance Petitions must be submitted to the California Department of Industrial Relations, Chief of the Division of Labor Statistics and Research.

No alternative recordkeeping practices are allowed until the variance petition is approved

89

14300.38 -Variances from the 14300.38 -Variances from the Recordkeeping RuleRecordkeeping Rule The variance petition has no effect on any

citations issued by the Division of Occupational Safety and Health (DOSH)

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: includes elements for which a citation has been issued,

and the citation is still under review by a court,

Administrative Law Judge (AJL) or the California Occupational Safety and Health Appeals Board

90

14300.38 -Variances from the 14300.38 -Variances from the Recordkeeping RuleRecordkeeping Rule Private employer and public employer variance

petitions must contain employer’s: name and address list of State(s) where the variance would be used address(es) of the establishment(s) involved reasons for the variance alternative recordkeeping procedures 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

14300.38 -Variances from the 14300.38 -Variances from the Recordkeeping RuleRecordkeeping Rule Private employer and public employer

variance petitions must contain employer’s statement that employees have been informed of the petition by: giving them or their authorized representatives a

copy of the petition, and posting a statement summarizing the petition in

the same way as notices posted under Title 8, Section 340

92

14300.38 -Variances from the 14300.38 -Variances from the Recordkeeping RuleRecordkeeping Rule Assistant Secretary of Labor or the Chief of the

Division of Labor Statistics and Research: offers employees and their authorized representatives

an opportunity to submit written data, views and arguments

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


Assistant Secretary of Labor or the Chief of the Division of Labor Statistics and Research: reviews the variance petition, comments from

employees and the public 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)

may grant the variance subject to certain appropriate conditions if the relevant criteria are met

94


For Private Employers, OSHA will: publish notice in the Federal Register to

announce the variance if it is granted by the Assistant Secretary of Labor.

The notice includes the: procedures or practices the variance allows conditions that apply reasons for allowing the variance

95


Assistant Secretary of Labor or the Chief of the Division of Labor Statistics and Research may: revoke a variance for“good cause”

0using the same review process outlined for granting the variance

except, in cases of willfulness or where necessary for public safety.

Provide notification in writing of the facts or conduct that may warrant revocation of the variance, and

Offer the employer, employees and authorized employee representatives an opportunity to participate in the revocation procedures.

96

14300.40 - Providing Records to 14300.40 - Providing Records to Government RepresentativesGovernment Representatives

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

Use the business hours of the establishment at which the records are located to calculate the time deadline

97

14300.40 - Providing Records to 14300.40 - Providing Records to Government RepresentativesGovernment Representatives Authorized Government Representatives are

representatives of the: Chief of the Division of Occupational Safety and

Health Director of the California Department of Health

Services Secretary of the U.S. Department of Labor

conducting an inspection or investigation under the Act

Secretary of the U.S. Department of Health and Human Services conducting an investigation under Section 20(b) of the OSHA Act

98

14300.41 - Annual OSHA Injury 14300.41 - Annual OSHA Injury and Illness Surveyand Illness Survey

OSHA (or their designee) may send the employer: a letter stating that injury and illness information will

be collected for the following year, and an Annual Survey Form

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: exempt from keeping injury and illness records, or located in a State-Plan state

99

14300.41 Annual OSHA Injury14300.41 Annual OSHA Injuryand Illness Surveyand Illness Survey The completed OSHA Annual Survey Form

must: include the following information:

number of workers employed , and number of hours worked by the employees, and requested information from the records kept under the

new Cal/OSHA Recordkeeping requirements

be submitted within 30 calendar days or by the date stated in the form, whichever is later

100

14300.41 Annual OSHA Injury14300.41 Annual OSHA Injuryand Illness Surveyand Illness Survey

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

14300.42 - 14300.48 Other 14300.42 - 14300.48 Other RequirementsRequirements

14300.42 - Requests from the Bureau of Labor Statistics for Data

14300.43 - Annual Summary and Posting of the 2001 Data

14300.44 - Retention and Updating of Old Forms 14300.46 - Definitions 14300.47 - Recordkeeping Requirements for

Employers Covered by the Federal Mine Safety and Health Act

14300.48 - Effective Dates

102

14300.42 - Requests from the 14300.42 - Requests from the Bureau of Labor Statistics for DataBureau of Labor Statistics for Data The Bureau of Labor Statistics (BLS), or their

designee, may send the employer: a letter stating that injury and illness information will

be collected for the following year, and an Occupational Injury and Illness Survey Form

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: exempt from keeping injury and illness records, or located in a State-Plan state

103

14300.44 - Retention and Updating 14300.44 - Retention and Updating of Old Formsof Old Forms

Copies of old Cal/OSHA 200 Forms (and any supplementary records):

must be saved for each occupational injury or illness

for five (5) years following the year they cover do not need to be updated during the retention period

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

14300.47 - Recordkeeping 14300.47 - Recordkeeping Requirements for Employers Requirements for Employers Covered by the Federal MSHACovered 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

14300.47 - Recordkeeping 14300.47 - Recordkeeping Requirements for Employers Requirements for Employers Covered by the Federal MSHACovered by the Federal MSHA

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: to the extent that complying with MSHA requirements would

result in duplicating information, and 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

cal/osha recordkeeping work-related injuries & illnesses

Documents