Recording and Reporting Occupational Injuries and Illnesses (oii)



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  • Recording and Reporting Occupational Injuries and Illnesses (OII)
  • This material was produced under grant [SH20856SH0] from the Occupational Safety and Health Administration, U.S. Department of Labor. It does not necessarily reflect the views or policies of the U.S. Department of Labor, nor does mention of trade names, commercial
  • products, or organizations imply endorsement by the U.S. Government

What are “occupational” injuries and illnesses?

  • Work-related event or exposure that results in physical harm to the body including fatalies
  • The event or exposure may:
    • Cause the resulting condition
    • Contribute to the resulting condition
    • Aggravate a pre-existing condition

What are occupational injuries?

  • Wound(s) or damage to the body from a single event
  • Little or no time between event and injury
  • Examples:
    • Sprain from lifting a heavy object
    • Broken arm from falling
    • Burn from touch a hot object

What are occupational illnesses?

  • Sickness or impairment often affecting the whole body or system (e.g., lungs or skin)
  • Often caused by multiple events
  • Time delay between event & illness
  • Examples:
    • Occupational asthma
    • Hearing loss

Types of OII

  • Accidents – unpreventable OII
  • Incidents – preventable OII
    • Near miss (event or exposure with no OII)
  • OSHA recordable
  • OSHA reportable
  • OSHA non-recordable

Why collect and analyze OII data?

  • Comply with OSHA requirements
  • Protect employees
  • Reduce costs
    • Medical
    • Insurance
    • Lost time
  • Increase productivity
  • Measure success of S&H programs

Effective S&H Program Elements

  • Management commitment
  • Employee involvement
    • Worksite analysis
    • Incident investigation
    • Hazard prevention and control
  • Safety and health training

How to analyze data

  • Identify root cause
  • Avoid blame
  • Code data
  • Look at trends
  • Implement prevention plans

OSHA SII Recordkeeping Requirements 29 CFR Part 1904

Size Partial Exemption

  • 10 or fewer employees at all times during the last calendar year
  • Count based on the number of employees in the entire company
  • Includes temporary employees

Industry Partial Exemption

  • All in agriculture, construction, manufacturing, transportation, utilities and wholesale trade sectors are covered
  • Some in retail and service sectors are partially exempt (see Appendix A to Subpart B of OSHA standard (e.g., banks and doctor’s offices)

Requirements for partial exempt

  • Reporting fatalities and multiple hospitalization incidents
  • Annual OSHA injury and illness survey (if specifically requested to do so by OSHA)
  • BLS Annual Survey (if specifically requested to do so by BLS)

OSHA recording criteria & forms – Subpart C

  • 1904.4 Recording criteria
  • 1904.5 Work-relatedness
  • 1904.6 New case
  • 1904.7 General recording criteria
  • 1904.8 Needlesticks and sharps
  • 1904.9 Medical removal
  • 1904.10 Hearing loss
  • 1904.11 Tuberculosis
  • 1904.29 Forms

Recording Criteria

  • Covered employers must record each fatality, injury or illness that:
    • is work-related, and
    • is a new case, and
    • meets one or more of the criteria contained in sections 1904.7 through 1904.11.

OSHA Recordable Five Step Decision Process

  • Employee received injury or illness?
  • Injury or illness work-related?
  • Injury or illness new case?
  • Injury or illness meets other criteria?
  • Record injury or illness
  • 1
  • 2
  • 3
  • 4
  • 5
  • Yes, step 2
  • Yes, step 3
  • Yes, step 4
  • Yes, step 5

Step 1 – Injury or illness?

  • Abnormal condition or disorder
  • Examples
    • Cut
    • Fracture
    • Sprain
    • Skin disease
    • Respiratory disorder
    • Poisoning

Step 1 – Injury or illness?

  • Scenario A
  • A worker reports to a nurses’ station with a complaint of painful wrists. The employee was given 2 Advil™ and returned to job.
  • Proceed to Step 2?

Step 1 – Injury or illness?

  • Scenario B
  • There is a chlorine gas leak at XYZ establishment and the two employees in the area are rushed to the hospital. They are told to stay home the next days as a precautionary measure.
  • Proceed to Step 2?

Step 2 – Work-related?

  • Event or exposure occurs in the work environment
    • Presumed work-related if occurs in the work environment
  • Event or exposure causes injury or illness or aggravates pre-existing condition

Step 2 – Work-related? Work Environment

  • The establishment and other locations where one or more employees are working or present as a condition of employment
  • Includes
    • Physical locations
    • Equipment or materials used by employees during the course of their work

Step 2 – Work-related? Significant Aggravation

  • A pre-existing injury or illness is significantly aggravated when an event or exposure in the work environment results in any of the following (which otherwise would not have occurred):
    • Death
    • Loss of consciousness
    • Days away, days restricted or job transfer
    • Medical treatment

Step 2 – Work-related? Exceptions

  • Present as a member of the general public
  • Symptoms arising in work environment that are solely due to non-work-related event or exposure
  • Voluntary participation in wellness program, medical, fitness or recreational activity

Step 2 – Work-related? Exceptions

  • Eating, drinking or preparing food or drink for personal consumption
  • Personal tasks outside assigned working hours
  • Personal grooming, self medication for non-work-related condition, or intentionally self-inflicted
  • Step 2 – Work-related? Exceptions
  • Motor vehicle accident in parking lot/access road during commute
  • Common cold or flu
  • Mental illness, unless employee voluntarily provides a medical opinion from a physician or licensed health care professional (PLHCP) having appropriate qualifications and experience that affirms work-relatedness

Step 2 – Work-related? Travel Status

  • 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
  • Home away from home
  • Detour for personal reasons is not work-related

Step 2 – Work-related? Work at Home

  • Injuries and illnesses that occur while an employee is working at home are work-related if they:
    • occur while the employee is performing work for pay or compensation in the home, and
    • are directly related to the performance of work rather than the general home environment

Step 2 – Work-Related?

  • Scenario A
  • An employee gives blood at a voluntary-sponsored blood drive and passes out (loss of consciousness).
  • Proceed to Step 3?

Step 2 – Work-Related?

  • Scenario B
  • Employee sprains ankle in company parking lot on his way in to work.
  • Proceed to Step 3?

Step 2 – Work-Related?

  • Scenario C
  • Employee slips and falls in hallway, breaking arm while working on daughter’s science project on Saturday, employee’s day off.
  • Proceed to Step 3?

Step 3 – New Case?

  • No previous recorded injury or illness of the same type that affected the same part of the body
  • Had previous injury or illness, but had recovered completely (no signs or symptoms) and the event or exposure in the work environment caused the signs or symptoms to reappear.

Step 3 – New Case

  • If there is a medical opinion regarding resolution of a case, the employer must follow that opinion
  • If an exposure triggers the recurrence, it is a new case (e.g., asthma, rashes)
  • If signs and symptoms recur even in the absence of exposure, it is not a new case (e.g., silicosis, tuberculosis, asbestosis)

Step 3 – New Case?

  • Scenario A
  • Five weeks ago, an employee sprained wrist at work and received support, prescription medication, and “light duty.” Two weeks ago the employee was back on normal job and completely recovered. Today (5 weeks after the injury) the employee complains of pain in same wrist after moving boxes.
  • Proceed to Step 4?

Step 3 – New Case?

  • Scenario B
  • Five weeks ago, an employee sprained a wrist at work and received support, prescription medication, and “light duty.” Two weeks ago, the employee was back on normal job, but continued to take prescription medication. Today (5 weeks after the injury) the employee complains of pain in same wrist after moving boxes.
    • Proceed to Step 4?

Step 3 – New Case?

  • Scenario C
  • Employee fractures foot at work. Every six months or so it bothers him and he is placed on light duty for a day or two.
    • Proceed to Step 4?

Step 4 – Meets other criteria? General Criteria

  • Results in one or more of the following:
    • Death
    • Days away from work
    • Restricted work activity

Step 4 – Meets other criteria? General Criteria

  • Transfer to another job
  • Medical treatment beyond first aid
  • Loss of consciousness
  • Significant injury or illness diagnosed by PLHCP

Step 4 – Meets other criteria? Days Away Cases

  • Record if the case involves one or more days away from work
  • Check the box for days away cases and count the number of days
  • Do not include the day of injury/illness

Step 4 – Meets other criteria? Days Away Cases

  • Day counts (days away or days restricted)
    • Count the # of calendar days the employee was unable to work (include weekend days, holidays, vacation days, etc.)
    • Cap day count at 180 days away and/or days restricted
    • May stop day count if employee leaves company for a reason unrelated to the injury or illness
    • If a medical opinion exists, employer must follow that opinion
  • Record if the case involves one or more days of restricted work or job transfer
  • Check the box for restricted/transfer cases and count the number of days
  • Do not include the day of injury/illness
  • Step 4 – Meets other criteria? Restricted Work Cases

Restricted work activity exists if the employee is:

  • Restricted work activity exists if the employee is:
    • Unable to work the full workday he or she would otherwise have been scheduled to work; or
    • Unable to perform one or more routine job functions
  • An employee’s routine job functions are those activities the employee regularly performs at least once per week
  • Step 4 – Meets other criteria? Restricted Work Cases

A case is not recordable as a restricted work case if:

  • A case is not recordable as a restricted work case if:
    • the employee experiences minor musculoskeletal discomfort,
    • a health care professional determines that the employee is fully able to perform all of his or her routine job functions, and
    • the employer assigns a work restriction to that employee for the purpose of preventing a more serious condition from developing.
  • Step 4 – Meets other criteria? Restricted Work Cases

Job transfer

  • Job transfer
    • An injured or ill employee is assigned to a job other than his or her regular job for part of the day
    • A case is recordable if the injured or ill employee performs his or her routine job duties for part of a day and is assigned to another job for the rest of the day
  • Step 4 – Meets other criteria? Job Transfer

Medical treatment is the management and care of a patient to combat disease or disorder.

  • Medical treatment is the management and care of a patient to combat disease or disorder.
  • It does not include:
    • Visits to a PLHCP solely for observation or counseling
    • Diagnostic procedures
    • First aid
  • Step 4 – Meets other criteria? Medical Treatment

Using nonprescription medication at nonprescription strength

  • Using nonprescription medication at nonprescription strength
  • Tetanus immunizations
  • Cleaning, flushing, or soaking surface wounds
  • Wound coverings, butterfly bandages, Steri-Strips
  • Hot or cold therapy
  • Step 4 – Meets other criteria? First Aid

Non-rigid means of support

  • Non-rigid means of support
  • Temporary immobilization device used to transport accident victims
  • Drilling of fingernail or toenail, draining fluid from blister
  • Eye patches
  • Removing foreign bodies from eye using irrigation or cotton swab
  • Step 4 – Meets other criteria? First Aid

Removing splinters or foreign material from areas other than the eye by irrigation, tweezers, cotton swabs or other simple means

  • Removing splinters or foreign material from areas other than the eye by irrigation, tweezers, cotton swabs or other simple means
  • Finger guards
  • Massages
  • Drinking fluids for relief of heat stress
  • Step 4 – Meets other criteria? First Aid

All work-related cases involving loss of consciousness must be recorded

  • All work-related cases involving loss of consciousness must be recorded
  • Step 4 – Meets other criteria? Loss of Consciousness

The following work-related conditions must always be recorded at the time of diagnosis by a PLHCP:

  • The following work-related conditions must always be recorded at the time of diagnosis by a PLHCP:
    • Cancer
    • Chronic irreversible disease
    • Punctured eardrum
    • Fractured or cracked bone or tooth
  • Step 4 – Meets other criteria? Significant Diagnosed OII

Bloodborne pathogens

  • Bloodborne pathogens
  • Medical removal
  • Hearing loss
  • Tuberculosis
  • Step 4 – Meets other criteria?

Record all work-related needlesticks and cuts from sharp objects that are contaminated with another person’s blood or other potentially infectious material

  • Record all work-related needlesticks and cuts from sharp objects that are contaminated with another person’s blood or other potentially infectious material
  • Record splashes or other exposures to blood or other potentially infectious material if it results in diagnosis of a bloodborne disease or meets the general recording criteria
  • Step 4 – Meets other criteria? Bloodborne Pathogens

Record case if an employee is medically removed under the medical surveillance requirements of an OSHA standard

  • Record case if an employee is medically removed under the medical surveillance requirements of an OSHA standard
  • Record case as either one involving days away from work or days of restricted work activity
  • Do not record case that involves voluntary removal below the removal levels required by OSHA
  • Step 4 – Meets other criteria? Medical Removal

Must record all work-related hearing loss cases where:

  • Must record all work-related hearing loss cases where:
    • Employee has experienced a Standard Threshold Shift (STS), and
    • Employee’s hearing level is 25 decibels (dB) or more above audiometric zero [averaged at 2000, 3000, and 4000 hertz (Hz)] in the same ears as the STS
  • Step 4 – Meets other criteria? Hearing Loss

Compute STS per OSHA standard

  • Compute STS per OSHA standard
  • Compare employee’s current audiogram to original baseline audiogram or OSHA allowed revised baseline audiogram
  • Adjust current audiogram for aging using OSHA tables
  • No adjustment for aging to determine whether or not hearing level is 25 dB or more above audiometric zero
  • Step 4 – Meets other criteria? Hearing Loss

Record case where employee is exposed at work to someone with a known case of active tuberculosis, and subsequently develops TB infection

  • Record case where employee is exposed at work to someone with a known case of active tuberculosis, and subsequently develops TB infection
  • A case is not recordable when:
    • The worker is living in a household with a person who is diagnosed with active TB
    • The Public Health Department has identified the worker as a contact of an individual with active TB
    • A medical investigation shows the employee’s infection was caused by exposure away from work
  • Step 4 – Meets other criteria? Tuberculosis

OSHA Form 300, Log of Work-Related Injuries and Illnesses

  • OSHA Form 300, Log of Work-Related Injuries and Illnesses
  • OSHA Form 300A, Summary of Work-Related Injuries and Illnesses
  • OSHA Form 301, Injury and Illness Incident Report
  • Step 5 – Record Case
  • Forms
  • OSHA Forms for Recording Work-Related Injuries and Illnesses

Nature of Injury or Illness

  • Nature of Injury or Illness
  • Part of Body Affected
  • Source and Secondary Source of Injury or Illness
  • Event or Exposure
  • Coding OII
  • Sample OSHA 300 Log
  • And
  • OSHA 300A

From OSHA 300A

  • From OSHA 300A
  • Total # of injuries & illnesses = 7
  • # of hours worked by all employees = 250,100
  • Total # of lost work day & transfer day cases = 5
  • Case Rate = 7 x 200,000 ÷ 250,100 = 5.6
  • DART Rate = 5 x 200,000 ÷ 250,100 = 4.0
  • Total recordable case rate
  • Example

BLS Incident Rate Calculator

  • BLS Incident Rate Calculator
    • http://data.bls.gov/iirc/
  • OSHA Cost and Incident Rate Calculator
    • http://www.osha.gov/SLTC/etools/safetyhealth/mod1_estimating_costs.html
  • Total recordable case rate
  • Example

Equivalent forms can be used if it has the same information, is as readable and understandable, and uses the same instructions as the OSHA form it replaces

  • Equivalent forms can be used if it has the same information, is as readable and understandable, and uses the same instructions as the OSHA form it replaces
  • Forms can also be kept on a computer as long as they can be produced when they are needed as required by the OSHA standard
  • Step 5 – Record Case
  • Forms

Employers must enter each recordable case on the forms within 7 calendar days of receiving information that a recordable case occurred

  • Employers must enter each recordable case on the forms within 7 calendar days of receiving information that a recordable case occurred
  • Step 5 – Record Case
  • Timeline

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

  • Do not enter the name of an employee on the OSHA Form 300 for “privacy concern cases”
  • Enter “privacy case” in the name column
  • Keep a separate confidential list of the case numbers and employee names
  • Step 5 – Record Case
  • Privacy Protection

Privacy concern cases are:

  • Privacy concern cases are:
    • An injury or illness to an intimate body part or reproductive system
    • An injury or illness resulting from sexual assault
    • Mental illness
    • HIV infection, hepatitis, tuberculosis
    • Needlestick and sharps injuries that are contaminated with another person’s blood or other potentially infectious material
    • Employee voluntarily requests to keep name off for other illness cases
  • Step 5 – Record Case
  • Privacy Protection

Use discretion in describing the case if employee can be identified

  • Use discretion in describing the case if employee can be identified
  • Remove names if you give the forms to people not authorized by the rule
    • Exceptions for:
      • Auditor/consultant,
      • Workers’ compensation or other insurance
      • Public health authority or law enforcement agency
  • Step 5 – Record Case
  • Privacy Protection

Multiple Business Establishments

  • Keep a separate OSHA Form 300 for each establishment that is expected to be in operation for more than a year
  • May keep one OSHA Form 300 for all short-term establishments
  • Each employee must be linked with one establishment

Covered Employees

  • Employees on payroll
  • Employees not on payroll who are supervised on a day-to-day basis
  • Exclude self-employed and partners
  • Temporary help agencies should not record the cases experienced by temp workers who are supervised by the using firm

Annual Summary

  • Review OSHA Form 300 for completeness and accuracy, correct deficiencies
  • Complete OSHA Form 300A
  • Certify summary
  • Post summary

Annual Summary

  • A company executive must certify the summary:
    • An owner of the company
    • An officer of the corporation
    • The highest ranking company official working at the establishment, or
    • His or her supervisor
  • Must post for 3-month period from February 1 to April 30 of the year following the year covered by the summary

Retention and Updating

  • Retain forms for 5 years following the year that they cover
  • Update the OSHA Form 300 during that period
  • Need not update the OSHA Form 300A or OSHA Form 301

Employee Involvement

  • You must inform each employee of how to report an injury or illness
    • Must set up a way for employees to report work-related injuries and illnesses promptly; and
    • Must tell each employee how to report work-related injuries and illnesses to you

Employee Involvement

  • Must provide limited access to injury and illness records to employees, former employees and their personal and authorized representatives
    • Provide copy of OSHA Form 300 by end of next business day
    • Provide copy of OSHA Form 301 to employee, former employee or personal representative by end of next business day
    • Provide copies of OSHA Form 301 to authorized representative within 7 calendar days. Provide only “Information about the case” section of form

Prohibition Against Discrimination

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

Reporting Information to the Government

  • Fatality and catastrophe reporting
  • Access for Government representatives
  • OSHA Survey
  • BLS Survey

Fatality/Catastrophe Reporting

  • Report orally within 8 hours any work-related fatality or incident involving 3 or more in-patient hospitalizations
  • Highway or public street motor vehicle accidents (outside of a construction work zone) are not reportable
  • Commercial airplane, train, subway or bus accidents are not reportable

Providing Records to Government Representatives

  • Must provide copies of the records within 4 business hours
  • Use the business hours of the establishment where the records are located

For More Help

  • OSHA’s Recordkeeping Page
    • http://www.osha.gov/recordkeeping/index.html
  • OSHA Recordkeeping Handbook
    • http://www.osha.gov/recordkeeping/handbook/index.html
  • OSHA Recordkeeping Advisor
    • http://www.dol.gov/elaws/OSHARecordkeeping.htm
  • OSHA Recordkeeping Questions Exercise


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