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The Labor Commissioner may cite an employer and impose a civil fine if, upon inspection or investigation he or she determines that the employer has failed to register pursuant to Labor Code Section 2054. The citation may be served personally or by registered mail in accordance with subdivision (c) of Government Code Section 11505. A citation must be in writing and describe the nature of the violation, including reference to the statutory provision allegedly violated.




Note: Authority cited: Sections 55, 59, 95 and 98.8, Labor Code. Reference: Sections 2054, 2060 and 2064, Labor Code.







s 13690. Failure to Comply with Citation for Failure to Register.
An employer's failure to comply with a citation containing an assessment issued pursuant to Labor Code Section 2064 after the citation is final and has been served on the employer, constitutes a ground for the Labor Commissioner to deny an application for registration, including a renewal.




Note: Authority cited: Sections 55, 59, 95 and 98.8, Labor Code. Reference: Section 2064, Labor Code.







s 13691. Appeal of Citation for Failure to Register.
(a) If an employer served with a citation pursuant to Labor Code Section 2064 desires to contest the citation or the proposed assessment of the civil fine therefore, he, she, or it must, within 15 business days after issuance of the citation, notify in writing the office of the Labor Commissioner that appears on the citation of his, her, or its request for an informal hearing. The proceeding under this section is an informal hearing conducted in accordance with the adjudication provisions of the Administrative Procedure Act, Chapters 4.5 and 5 (commencing with Section 11400) of Part 1 of Division 3 of Title 2 of the Government Code. Except as provided in subdivision (b) of this section, the Labor Commissioner, or the deputy or agent he or she appoints as the presiding officer, shall, within 30 calendar days after the Labor Commissioner's receipt of the employer's request for an informal hearing, hold a hearing at the conclusion of which a decision is made and the citation or proposed assessment of a civil fine is either affirmed, modified, or dismissed. The decision of the Labor Commissioner consists of a notice of findings, findings, and order, which shall be served on all parties to the hearing within 15 calendar days after the hearing by regular first-class mail at the last known address of the party on file with the Labor Commissioner. Service shall be completed pursuant to Section 1013 of the California Code of Civil Procedure. Any amount found due by the Labor Commissioner as a result of a hearing is due and payable 45 calendar days after notice of the findings and written findings and order have been mailed to the party assessed. A party who is assessed a fine may take a writ of mandate from the findings to the appropriate superior court, as long as he, she, or it agrees to pay any judgment and costs ultimately rendered by the court against him, her, or it for the assessment. To take a writ of mandate, an aggrieved party shall file the writ within 45 calendar days after service of the notice of findings, findings, and order thereon.
(b) The Labor Commissioner or presiding officer for good cause may extend the 30-calendar day period for holding a hearing described in subdivision (a) of this section. "Good cause" is determined by the Labor Commissioner or presiding deputy.
(c) If findings and the order thereon affirm or modify a citation or the proposed assessment of a civil fine after hearing, a certified copy of the findings and the order may be entered by the Labor Commissioner in the office of the clerk of the superior court in any county in which the employer has property, or in which he, she, or it has or had a place of business. The clerk, immediately upon the filing, shall enter judgment for the state against the employer in the amount shown on the certified order.
(d) A judgment entered pursuant to the procedure described in either subdivision (c) or (i) of this section bears the same rate of interest and has the same effect as other judgments, and is given the same preference allowed by the law on other judgments rendered for claims for taxes.
(e) A cited employer who appeals his, her, or its citation to the Labor Commissioner and fails to appear at the time and place of the hearing is deemed to have withdrawn his, her, or its appeal, and the citation constitutes a final order of the Labor Commissioner and is not subject to administrative review.
(f) Submittal of a written request by an employer for an informal hearing as provided in subdivision (a) of this section stays the time period in which to pay the fine.
(g) If the written request for an informal hearing as provided in subdivision (a) of this section is not submitted in writing to the Labor Commissioner within 15 business days after issuance of a citation, the cited employer is deemed to have waived his, her, or its right to a hearing.
(h) In lieu of contesting a citation, a cited employer may, within 15 business days after issuance of a citation, transmit to the office of the Labor Commissioner designated on the citation, the amount specified for the violation.
(i) If a cited employer does not request a hearing in accordance with subdivision (a) of this section, the Labor Commissioner may file a certified copy of the citation or proposed assessment of civil fine in the office of the clerk of the superior court in any county in which the employer has property, or in which he, she, or it has or had a place of business. The clerk, immediately upon the filing shall enter judgment for the state against the employer in the amount shown on the citation or proposed assessment of civil fine.




Note: Authority cited: Sections 55, 59, 95 and 98.8, Labor Code; and Sections 11400.20, 11410.10, 11410.40, 11415.10(a), 11445.10(a) and 11445.20(c) and (d), Government Code. Reference: Sections 226.5 and 2064, Labor Code.







s 13692. Immediate Family Member Defined.
For purposes of subdivision (d) of Labor Code Section 2066, "immediate family member" means spouse, domestic partner, cohabitant, child, stepchild, grandchild, parent, stepparent, mother-in-law, father-in-law, son-in-law, daughter-in-law, grandparent, great grandparent, brother, sister, half-brother, half-sister, stepsibling, brother-in-law, sister-in-law, aunt, uncle, niece, nephew, or first cousin (that is, a child of an aunt or uncle).




Note: Authority cited: Sections 55, 59, 95 and 98.8, Labor Code. Reference: Section 2066(d), Labor Code.







s 13693. Action Against Bond, Inadequacy of Bond, Cancellation of Bond.
(a) If an employer fails to pay wages, interest on wages, fringe benefits, or violates Section 351 or 353 of the Labor Code and an employee is damaged thereby, the Labor Commissioner or the employee, who is damaged because of the employer's failure to pay wages, interest on wages, gratuities or fringe benefits, may proceed against the employer's surety bond by taking whatever action he or she deems appropriate to obtain the unpaid wages, interest on wages, fringe benefits, or gratuities from the bond.
(b) If the Labor Commissioner or an employee who is damaged because of the employer's failure to pay wages, interest on wages, gratuities, or fringe benefits proceeds against the surety bond and payment is made therefrom to the Labor Commissioner or the employee, the employer shall take all steps and actions necessary to ensure that a surety bond which meets all of the requirements set forth in paragraphs (1) and (2) of subdivision (b) of Section 13682) of this subchapter 11, including the required principal sum, is continuously in place so that there is not a break at anytime in the continuity of the protection afforded by the bond. If the employer at any time fails to provide a surety bond that meets all of the requirements of paragraphs (1) and (2) of subdivision (b) of Section 13682 of this subchapter 11, the Labor Commissioner may suspend or revoke the employer's registration, or deny his, her or its application for a registration.
(c) If the surety bond required by Labor Code Section 2055 is cancelled or terminated, the employer may not conduct any business until he, she, or it obtains a new surety bond that meets all of the requirements of paragraphs (1) and (2) of subdivision (b) of Section 13682 of this subchapter 11, and files a copy with the Labor Commissioner.




Note: Authority cited: Sections 55, 59, 95 and 98.8, Labor Code; and Section 11415.50(a), Government Code. Reference: Section 2055, Labor Code.







s 13694. Procedure for Obtaining Damages from the Car Wash Worker Restitution Fund, Disbursement of Moneys from the Car Wash Worker Restitution Fund, Hearing.
The Labor Commissioner shall determine which claims are accepted, and the amount of money, if any, to be disbursed from the Car Wash Worker Restitution Fund on an accepted claim. The Commissioner shall make these determinations based on a consideration of the information requested in subsection (b) of this section.
(a) An employee who has been damaged by an employer's failure to pay wages, penalties, or other related damages, or a combination of them, must, before making a claim for payment from the Car Wash Worker Restitution Fund, attempt to collect the wages, penalties, or other related damages directly from the employer and the employer's surety bond.
(b) An employee or his or her authorized representative seeking recovery of unpaid wages, penalties or other related damages, or a combination of them, from the Car Wash Worker Restitution Fund must submit a claim in writing to the Labor Commissioner. The claim itself need not be in any particular form, but must include the following information and documents:
(1) Name, street mailing address, and home telephone number of employee for whom recovery is sought;
(2) Employee's social security number or individual taxpayer identification number;
(3) Name, street address, and telephone number (if known) of the employer that failed to pay the employee his or her wages, penalties, or other related damages;
(4) The period of time during which the wages were earned, giving both the beginning and ending dates specified as month, day, year;
(5) The number of hours worked or other basis for being paid wages;
(6) The promised rate of pay;
(7) The actual rate of pay;
(8) Amount of wages sought;
(9) Amount of penalty sought, if any, and Labor Code section pursuant to which the penalty is imposed;
(10) Amount of other related damages sought, if any, described and itemized;
(11) Amount of recovery sought less any amount recovered from the employer or the employer's surety bond, or both;

(12) Net amount of total recovery sought, if different from the amount in subsection (11);
(13) Proof of actual damages suffered;
(14) A copy of the employee's written assignment of the claim to the representative, if applicable;
(15) A declaration or affidavit under penalty of perjury that complies with the provisions of Section 2015.5 of the California Code of Civil Procedure containing information regarding attempts made by the employee or his or her representative to satisfy the claim by demand against the surety bond required by Labor Code Section 2055(b), and the results of the demand. The declaration or affidavit must also disclose the attempt(s) made to collect the recovery sought directly from the employer, and the results of the attempt(s). The employee's representative may sign the declaration or affidavit required by this subdivision if the information submitted does not require the personal knowledge of the employee.
(c) The Information required in paragraphs (3) through (13) must be provided in one of the following ways:
(1) Submission of a copy of a judgment obtained from a court or an award from the Labor Commissioner which was issued after a contested proceeding which contains all of the information required in paragraphs (3) through (13) inclusive. If the judgment or award omits any of the required information, it shall be supplemented by a declaration under penalty of perjury which provides the missing information. The declaration must be signed by the employee or the employee's authorized representative, if the information submitted does not require the personal knowledge of the employee.
(2) Submission of a copy of a judgment obtained from the court or an award from the Labor Commissioner which was issued after an uncontested or default proceeding and a declaration under penalty of perjury that provides the information required by paragraphs (3) through (13) inclusive. The declaration must be signed by the employee or the employee's authorized representative, if the information submitted does not require the personal knowledge of the employee.
(3) If no judgment has been obtained from a court or an award from the Labor Commissioner, submission of a declaration under penalty of perjury which contains all of the information required in paragraphs (3) through (13), inclusive. The declaration must be signed by the employee or the employee's authorized representative, if the information submitted does not require the personal knowledge of the employee.
(d) If the Labor Commissioner determines that a declaration required under this section is insufficient to sustain a recovery from the Car Wash Worker Restitution Fund because of lack of information, or reason to believe that the information submitted is inaccurate, incomplete or false, the Labor Commissioner may order an investigatory hearing pursuant to subdivision (d) of this section.
(e) The Labor Commissioner shall have the authority to order an investigatory hearing to determine the validity of a claim seeking recovery from the Car Wash Worker Restitution Fund, including the amount of any damages actually suffered by the employee, if any. Notice of a hearing shall be served on the employer and employee either personally or by registered mail in accordance with the provisions of subdivision (c) of Section 11505 of the Government Code. The hearing shall be conducted by a Deputy Labor Commissioner, and may be held in the Division of Labor Standards Enforcement's district office having jurisdiction over the geographical location of where the nonpayment of wages allegedly occurred, or the Labor Commissioner may designate any other venue he or she deems appropriate. In the hearing, the employer and the employee shall have the opportunity to present evidence. The Labor Commissioner shall issue, serve, and enforce any necessary subpoenas.




Note: Authority cited: Section 2065(c), Labor Code. Reference: Section 2065, Labor Code.













<<(Chapter Originally Printed 4-15-47)>>






s 14000. Definitions.
As used in this Article:
Computer input media. Techniques and means by which information or data can be entered into a computer system. Examples include magnetic tape, diskette, and telecommunications.
Division. The Division of Labor Statistics and Research of the Department of Industrial Relations.
Occupational illness. Any abnormal condition or disorder caused by exposure to environmental factors associated with employment, including acute and chronic illnesses or diseases which may be caused by inhalation, absorption, ingestion, or direct contact.
Self-insured employer. An employer who has secured from the Director of Industrial Relations a certificate of consent to self-insure against workers' compensation claims pursuant to Labor Code Section 3700.




Note: Authority cited: Section 6410, Labor Code. Reference: Sections 3700, 6409(b) and 6410, Labor Code.





s 14001. Employer.
(a) Every employer shall file a complete report of every occupational injury or occupational illness to each employee which results in lost time beyond the date of such injury or illness or which requires medical treatment beyond first aid, as defined in Labor Code Section 5401(a). As used in this subdivision, "lost time" means absence from work for a full day or shift beyond the date of the injury or illness.
(b) In the event an employer has filed a report of injury or illness pursuant to subdivision 14001(a), and the employee subsequently dies as a result of the reported injury or illness, the employer shall file an amended report indicating such death, within five days after the employer is notified or learns of the death.
(c) The report(s) required by subdivisions 14001(a) and (b) shall be made on Form 5020, Rev. 6, Employer's Report of Occupational Injury or Illness, reproduced in accordance with Section 14005, or by use of computer input media, prescribed by the Division and compatible with the Division's computer equipment. However, reports may be submitted on Form 5020, Rev. 5 until June 30, 1993.
(d) In the case of a self-insured employer, the reports required by subdivision 14001(a) and (b) shall be filed directly with the Division within five days after the employer obtains knowledge of the injury, illness or death. In addition, the self-insured employer shall transmit the doctor's report filed in accordance with Section 14003 to the Division within five days of receipt.
(e) In the case of an insured employer, the report required by subdivisions 14001(a) and (b) shall be filed with the insurer within five days after such insured employer obtains knowledge of the injury, illness or death.
(f) To assure timely filing of the doctor's first report, the employer, upon request by the physician, shall immediately disclose the name and address of the employer's workers' compensation insurance provider.




Note: Authority cited: Section 6410, Labor Code. Reference: Sections 5401(a), 6409(a) and 6409.1(a), Labor Code.





s 14002. Insurer.
(a) Immediately upon receipt, the insurer shall transmit to the Division the reports filed by the insured employer, as required by subdivisions 14001(a) and (b). The report(s) filed shall be on either Form 5020, Rev. 6, or the computer input media prescribed by the Division.
(b) In addition, the insurer shall transmit the doctor's report filed in accordance with Section 14003 to the Division within five days of receipt.




Note: Authority cited: Section 6410, Labor Code. Reference: Sections 6409(a) and 6409.1(a), Labor Code.





s 14003. Physician.
(a) Every physician, as defined in Labor Code Section 3209.3, who attends an injured employee shall file, within five days after initial examination, a complete report of every occupational injury or occupational illness to such employee, with the employer's insurer, or with the employer, if self-insured. The injured or ill employee, if able to do so, shall complete a portion of such report describing how the injury or illness occurred. Unless the report is transmitted on computer input media, the physician shall file the original signed report with the insurer or self-insured employer.
(b) If treatment is for pesticide poisoning or for a condition suspected to be pesticide poisoning, the physician shall also file a complete report directly with the Division within five days after initial treatment. In no case shall treatment administered for pesticide poisoning or suspected pesticide poisoning be deemed to be first aid treatment.
(c) The reports required by this Section shall be made on Form 5021, Rev. 4, Doctor's First Report of Occupational Injury or Illness (sample forms may be secured from the Division), upon a form reproduced in accordance with Section 14007, or by use of computer input media prescribed by the Division and compatible with the Division's computer equipment. However, reports may be submitted on Revision 3 of Form 5021 until June 30, 1993.
(d) Physicians who use computerized data collection and reporting systems shall keep the injured worker's statement with the patient's medical records.




Note: Authority cited: Section 6410, Labor Code. Reference:Sections 6409(a), 6409.3, and 6410, Labor Code.





s 14004. Employer's Report of Occupational Injury or Illness, Form 5020, Rev. 7.




Note: Authority cited: Sections 6409.1(a), 6410, and 6410.5, Labor Code. Reference: Sections 6409.1(a) and 6410, Labor Code.




s 14005. Reproduction of the Employer's Report.
(a) Insurers and self-insured employers shall reproduce Form 5020, Rev. 7, Employer's Report of Occupational Injury or Illness. In reproducing the form, all of the following conditions shall be met:
(1) The title of the reproduced form shall read: State of California Employer's Report of Occupational Injury or Illness. The size of type may be reduced to meet space requirements, but the words "Employer's Report of Occupational Injury or Illness" shall be in bold face type.

(2) The form shall prominently contain filing instructions and the following statements:
(A) "Any person who makes or causes to be made any knowingly false or fraudulent material statement or material representation for the purpose of obtaining or denying workers' compensation benefits or payments is guilty of a felony."
(B) "ATTENTION: This form contains information relating to employee health and must be used in a manner that protects the confidentiality of employees to the extent possible while the information is being used for occupational safety and health purposes." Reference: Section 14300.29(b)(6)-(10)
(C) Shaded boxes indicate confidential employee information as listed in CCR Title 8 14300.35(b)(2)(E)2.
(D) Confidential information may be disclosed to the employee, former employee, or their personal representative (8 CCR 14300.35), to others for the purpose of processing a workers' compensation or other insurance claim; and under certain circumstances to a public health or law enforcement agency or to a consultant hired by the employer (8 CCR 14300.30). 8 CCR 14300.40 requires provision upon request to certain state and federal workplace safety agencies.
(3) The notice block, coding column in the right hand margin, subheadings, spacing, numbering, arrangement, sequence and text of Questions 1 through 39 shall not be altered. However, self-insured employers may eliminate Questions 1A, 2A, 3A, and 37b from reproduced forms and utilize the space to collect other information.
Except as otherwise specified in this Section, any other modification to the content or layout of Form 5020, Rev. 7 may be made only with prior approval of a written request to:
Department of Industrial Relations Chief, Division of Labor Statistics and Research P. O. Box 420603 San Francisco, CA 94142-0603
(4) Reproduced forms shall be printed on 8 1/2, by 11, paper stock.
(b) Insurers, self-insured employers or other persons reproducing Form 5020, Rev. 7 may rearrange the header block to permit imprinting the following:

(1) Name and address of the insurer, self-insured employer or claims administrator;
(2) Instructions for completing and filing the form;
(3) Coding lines or boxes for special use by the insurer, self-insured employer or claims administrator.
(c) The size of the header block may be altered to gain space for additional questions, which may be included at the bottom of the form, following Question 39, provided the proposed form has been reviewed and approved by the Division. The reverse of the form may be used for additional information or questions.




Note: Authority cited: Sections 6410 and 6410.5, Labor Code. Reference: Sections 5401.7, 6409.1(a) and 6410, Labor Code.





s 14006. Form 5021, Rev. 4, Doctor's First Report of Occupational Injury or Illness.




Note: Authority cited: Sections 6409(a), 6410, 6410.5 and 6413.5, Labor Code; and Section 2950, Health and Safety Code. Reference: Sections 5401.7 and 6410, Labor Code.





s 14007. Reproduction of the Doctor's Report.
(a) Insurers, self-insured employers, doctors, clinics, hospitals and other persons may reproduce Form 5021, Rev. 4, Doctor's First Report of Occupational Injury or Illness, if all of the following conditions are met:
(1) The title of the reproduced form shall read: Doctor's First Report of Occupational Injury or Illness State of California. The size of type may be reduced to meet space requirements, but the words "Doctor's First Report of Occupational Injury or Illness" shall be in bold face type.

(2) Filing instructions in the heading shall include the requirement for the physician to file a copy of the report directly with the Division of Labor Statistics and Research in the case of pesticide poisoning or suspected pesticide poisoning, and the statement "Failure to file a timely doctor's report may result in assessment of a civil penalty."
(3) The form shall prominently contain the following statement: "Any person who makes or causes to be made any knowingly false or fraudulent material statement or material representation for the purpose of obtaining or denying workers' compensation benefits or payments is guilty of a felony."
(4) Reproduced forms shall be printed on 8 1/2, by 11, paper stock.
(5) The subheadings, arrangement, sequence and text of Questions 1 through 25, the coding column and the signature section shall not be altered, except that Question 1 may be eliminated on forms printed with the insurer's or self-insured employer's name at the top.
(b) Insurers, self-insured employers, doctors, clinics, hospitals and other persons reproducing Form 5021, Rev. 4, may rearrange the heading to permit imprinting:
(1) The name and address of such insurer, self-insured employer, doctor, clinic, hospital or other persons;
(2) Coding lines or boxes for special use by the person reproducing the form;
(3) Instructions for forwarding the form and the number of copies required.
(c) Insurers, self-insured employers and other persons reproducing Form 5021, Rev. 4, may use the back of the form for additional information, questions, or skeleton diagrams.
(d) Except as otherwise specified in subdivision 14007(b), any other modification to the content or layout of Form 5021, Rev. 4 may be made only with prior approval of a written request to the Division at the address shown in subdivision 14005(a)(3).




Note: Authority cited: Sections 6410 and 6410.5, Labor Code. Reference: Sections 5401.7 and 6410, Labor Code.




s 14100. Insurer.




Note: Authority cited: Section 6410, Labor Code. Reference: Sections 6409(a), 6409.1(a), 6410, Labor Code.




s 14200. Physician or Surgeon.




Note: Authority cited: Section 6410, Labor Code. Reference: Sections 6409(a), 6409.1(a), 6410, Labor Code.




s 14201. Form 5021, Rev. 1, Doctor's First Report of Occupational Injury or Illness.




Note: Authority cited: Section 6410, Labor Code. Reference: Sections 6409(a), 6409.1(a), 6410, Labor Code.







s 14300. Purpose.
The purpose of this rule (Article 2) is to require employers to record work-related fatalities, injuries and illnesses. Note 1: Recording a work-related injury, illness, or fatality does not mean that the employer or employee was at fault, that a Cal/OSHA regulation has been violated, or that the employee is eligible for workers' compensation or other benefits. Note 2: All employers covered by the California Occupational Safety and Health Act are covered by the provisions of Article 2. However, because of the partial exemptions provided by Sections 14300.1 and 14300.2, most employers do not have to keep OSHA injury and illness records unless they are asked in writing to do so by OSHA, the Bureau of Labor Statistics (BLS), or a state agency operating under the authority of OSHA or the BLS. For example, employers with 10 or fewer employees and establishments in certain industry classifications listed in Section 14300.2, Appendix A, are partially exempt from keeping Cal/OSHA injury and illness records.




Note: Authority cited: Section 6410, Labor Code. Reference: Section 6410, Labor Code.





s 14300.1. Partial Exemption for Employers with 10 or Fewer Employees.
(a) Basic requirement.
(1) If your company had ten (10) or fewer employees at all times during the last calendar year, you do not need to keep Cal/OSHA injury and illness records unless OSHA or the BLS informs you in writing that you must keep records under the provisions of Section 14300.41 or Section 14300.42. However, all employers must continue to file reports of occupational injuries and illnesses with the Division of Labor Statistics and Research as required by Article 1 of this subchapter, and to immediately report to the Division of Occupational Safety and Health any workplace incident that results in serious injury or illness, or death, as required by Title 8 Section 342.
(2) If your company had more than ten (10) employees at any time during the last calendar year, you must keep Cal/OSHA injury and illness records unless your establishment is classified as a partially exempt industry under Section 14300.2.
(b) Implementation.
(1) Is the partial exemption for size based on the size of my entire company or on the size of an individual establishment?
The partial exemption for size is based on the number of employees in the entire company.
(2) How do I determine the size of my company to find out if I qualify for the partial exemption for size?
To determine if you are exempt because of size, you need to determine your company's peak employment during the last calendar year. If you had 10 or fewer employees at all times in the last calendar year, your company qualifies for the partial exemption for size.




Note: Authority cited: Section 6410, Labor Code. Reference: Section 6410, Labor Code.





s 14300.2. Partial Exemption for Establishments in Certain Industries.
(a) Basic requirement.
(1) If you are a public or private sector employer and all of your establishments are classified in the retail, service, finance, insurance or real estate industries listed in Table 1 in Appendix A of this section, you do not need to keep Cal/OSHA injury and illness records required by Article 2 unless the government asks you to keep the records under Section 14300.41 or Section 14300.42. However, all employers must report to the Division of Occupational Safety and Health any workplace incident that results in a serious injury or illness, or death, as required at Title 8 Section 342.
(2) If one or more of your establishments are classified in a non-exempt industry, you must keep Cal/OSHA injury and illness records required by Article 2 for all such establishments except those partially exempted because of size under Section 14300.1.
(b) Implementation.
(1) Does the partial industry classification exemption apply only to the types of establishments in the retail, service, finance, insurance or real estate industries listed in Table 1?
Yes. Establishments classified in agriculture; mining; construction; manufacturing; transportation; communication, electric, gas and sanitary services; or wholesale trade, and those establishments in the retail, service, finance, insurance and real estate industries not specifically listed in Table 1 in Appendix A are not eligible for the partial industry classification exemption.

(2) Is the partial industry classification exemption based on the industry classification of my entire company or on the classification of individual establishments operated by my company?
The partial industry classification exemption applies to individual establishments. If a company has several establishments engaged in different classes of activities, some of the company's establishments may be required to keep records, while others may be exempt.
(3) How do I determine the Standard Industrial Classification code for my company or for individual establishments?
You determine your Standard Industrial Classification (SIC) code by using the Standard Industrial Classification Manual, Executive Office of the President, Office of Management and Budget. You may contact the nearest office of the Division of Occupational Safety and Health for help in determining your SIC code. The SIC Manual can also be viewed at the Internet site for OSHA, www.osha.gov.





Appendix A to Section 14300.2
Public and private sector employers are not required to keep Cal/OSHA injury and illness records for any establishment classified in the following Standard Industrial Classification (SIC) codes, unless they are asked in writing to do so by OSHA, the Bureau of Labor Statistics (BLS), or a state agency operating under the authority of OSHA or the BLS. All employers, including those partially exempted by reason of size or industry classification, must report to the Division of Occupational Safety and Health any workplace incident that results in a serious injury or illness, or death, as required at Title 8 Section 342.
Table 1 Partially Exempt Industries in California


SIC Code Industry SIC Code Industry Description
Description
525 Hardware Stores 731 Advertising Services
542 Meat and Fish 732 Credit Reporting and
Markets Collection Services
544 Candy, Nut, and 733 Mailing, Reproduction
Confectionery and Stenographic
Stores
545 Dairy Products Services
Stores
546 Retail Bakeries 737 Computer and Data
Processing Services
549 Miscellaneous Food 738 Miscellaneous Business
stores Services
551 New and Used car 764 Reupholstery and
Dealers Furniture Repair

552 Used Car Dealers 782 Motion Picture
Distribution and
Allied
554 Gasoline Services
Service
Stations
557 Motorcycle Dealers 783 Motion Picture Theaters
56 Apparel and 784 Video Tape Rental
Accessory Stores
573 Radio, Television, 791 Dance Studios, Schools,
and Computer and Halls
Stores
58 Eating and Drinking 792 Producers, Orchestras,
Places Entertainers
591 Drug Stores and 793 Bowling Centers
Proprietary
Stores
592 Liquor Stores 801 Offices and Clinics of
Medical Doctors
594 Miscellaneous 802 Offices and Clinics of
Shopping Goods Dentists

Stores
599 Retail Stores, Not 803 Offices of Osteopathic
Elsewhere
Classified
60 Depository 804 Offices of Other Health
Institutions Practitioners
(banks and
savings
institutions) 807 Medical and
Dental
Laboratories
61 Nondepository 809 Health and Allied
Services, Not
Elsewhere
62 Security and Classified
Commodity
Brokers
63 Insurance Carriers 81 Legal Services
64 Insurance Agents, 82 Educational Services
Brokers and (schools, colleges,
Services universities and

653 Real Estate libraries)
Agents and
Managers
654 Title Abstract 832 Individual and Family
Offices Services
67 Holding and Other 835 Child Day Care Services
Investment
Offices
722 Photographic 839 Social Services, Not
Studios, Portrait Elsewhere Classified
723 Beauty Shops 841 Museums and Art
Galleries
724 Barber Shops 86 Membership Organizations
725 Shoe Repair and 87 Engineering, Accounting,
Shoeshine Parlors Research, Management,
726 Funeral and Related Services
Service and
Crematories
729 Miscellaneous 899 Services, Not Elsewhere
Personal Services Classified
NOTE : In

California,
establishments
in SIC Code
781 (Motion
Picture
Production and
Allied
Services) are
required to
record.
Federal law
does not
require these
establishments
to record.
This is the
only
difference
between the
list of
establishments

shown in Table
1 above and
the list shown
in the
equivalent
federal rule
at 29 CFR
1904.2.






Note: Authority cited: Section 6410, Labor Code. Reference: Section 6410, Labor Code.




s 14300.3. Keeping Records for More than One Agency.
If you create records to comply with another government agency's injury and illness recordkeeping requirements, OSHA will consider those records as meeting OSHA's recordkeeping requirements if OSHA accepts the other agency's records under a memorandum of understanding with that agency, or if the other agency's records contain the same information as this article requires you to record. You may contact the nearest office of the Division of Occupational Safety and Health for help in determining whether your records meet the requirements of this article.




Note: Authority cited: Section 6410, Labor Code. Reference: Section 6410, Labor Code.





s 14300.4. Recording Criteria.
(a) Basic requirement. Each employer required by this article to keep records of fatalities, injuries, and illnesses must record each fatality, injury and illness that:
(1) Is work-related; and
(2) Is a new case; and

(3) Meets one or more of the general recording criteria of Section 14300.7 or the application to specific cases of Section 14300.8 through Section 14300.12.
(b) Implementation.
What sections of this rule describe recording criteria for recording work-related injuries and illnesses?
The list below indicates which sections of the rule address each topic
(1) Determination of work-relatedness. See Section 14300.5;
(2) Determination of a new case. See Section 14300.6;
(3) General recording criteria. See Section 14300.7; and
(4) Additional criteria. (Needlestick and sharps injury cases, medical removal cases, hearing loss cases, tuberculosis cases, and musculoskeletal disorder cases.) See Section 14300.8 though Section 14300.12.




Note: Authority cited: Section 6410, Labor Code. Reference: Section 6410, Labor Code.





s 14300.5. Determination of Work-Relatedness.
(a) Basic requirement. You must consider an injury or illness to be work-related if an event or exposure in the work environment either caused or contributed to the resulting condition or significantly aggravated a pre-existing injury or illness. Work-relatedness is presumed for injuries and illnesses resulting from events or exposures occurring in the work environment, unless an exception in Section 14300.5(b)(2) specifically applies.
(b) Implementation.

(1) What is the "work environment"?
Work environment is defined as "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 not only physical locations, but also the equipment or materials used by the employee during the course of his or her work."
(2) Are there situations where an injury or illness occurs in the work environment and is not considered work-related?
Yes. An injury or illness occurring in the work environment that falls under one of the following exceptions is not work-related, and therefore is not recordable:
(A) At the time of the injury or illness, the employee was present in the work environment as a member of the general public rather than as an employee.
(B) The injury or illness involves signs or symptoms that surface at work but result solely from a non-work-related event or exposure that occurs outside the work environment.
(C) The injury or illness results solely from voluntary participation in a wellness program or in a medical, fitness, or recreational activity such as blood donation, physical examination, flu shot, exercise class, racquetball, or baseball.
(D) The injury or illness is solely the result of an employee eating, drinking, or preparing food or drink for personal consumption (whether bought on the employer's premises or brought in). For example, if the employee is injured by choking on a sandwich while in the employer's establishment, the case would not be considered work-related. Note : If the employee is made ill by ingesting food contaminated by workplace contaminants (such as lead), or gets food poisoning from food supplied by the employer, the case would be considered work-related.
(E) The injury or illness is solely the result of an employee doing personal tasks (unrelated to their employment) at the establishment outside of the employee's assigned working hours.
(F) The injury or illness is solely the result of personal grooming, self-medication for a non-work-related condition, or is intentionally self-inflicted.
(G) The injury or illness is caused by a motor vehicle accident and occurs on a company parking lot or company access road while the employee is commuting to or from work.
(H) The illness is the common cold or flu (Note: contagious diseases such as tuberculosis, brucellosis, hepatitis A, or plague are considered work-related if the employee is infected at work).
(I) The illness is a mental illness. Mental illness will not be considered work-related unless the employee voluntarily provides the employer with an opinion from a physician or other licensed health care professional with appropriate training and experience (psychiatrist, psychologist, psychiatric nurse practitioner, etc.) stating that the employee has a mental illness that is work-related.
(3) How do I handle a case if it is not obvious whether the precipitating event or exposure occurred in the work environment or occurred away from work?

In these situations, you must evaluate the employee's work duties and environment to decide whether or not one or more events or exposures in the work environment either caused or contributed to the resulting condition or significantly aggravated a pre-existing condition.
(4) How do I know if an event or exposure in the work environment "significantly aggravated" a pre-existing injury or illness?
A pre-existing injury or illness has been significantly aggravated, for purposes of Cal/OSHA injury and illness recordkeeping required by this Article, when an event or exposure in the work environment results in any of the following:
(A) Death, provided that the pre-existing injury or illness would likely not have resulted in death but for the occupational event or exposure.
(B) Loss of consciousness, provided that the pre-existing injury or illness would likely not have resulted in loss of consciousness but for the occupational event or exposure.
(C) One or more days away from work, or days of restricted work, or days of job transfer that otherwise would not have occurred but for the occupational event or exposure.
(D) Medical treatment in a case where no medical treatment was needed for the injury or illness before the workplace event or exposure, or a change in medical treatment was necessitated by the workplace event or exposure.
(5) Which injuries and illnesses are considered pre-existing conditions?
An injury or illness is a pre-existing condition if it resulted solely from a non-work-related event or exposure that occurred outside the work environment.
(6) How do I decide whether an injury or illness is work-related if the employee is on travel status at the time the injury or illness occurs?
Injuries and illnesses that occur while an employee is on travel status are work-related if, at the time of the injury or illness, the employee was engaged in work activities "in the interest of the employer." Examples of such activities include travel to and from customer contacts, conducting job tasks, and entertaining or being entertained to transact, discuss, or promote business (work-related entertainment includes only entertainment activities being engaged in at the direction of the employer).
Injuries or illnesses that occur when the employee is on travel status do not have to be recorded if they meet one of the following exceptions: EXCEPTION 1: When a traveling employee checks into a hotel, motel, or other temporary residence, he or she establishes a "home away from home." You must evaluate the employee's activities after he or she checks into the hotel, motel, or other temporary residence for their work-relatedness in the same manner as you evaluate the activities of a non-traveling employee. When the employee checks into the temporary residence, he or she is considered to have left the work environment. When the employee begins work each day, he or she re-enters the work environment. If the employee has established a "home away from home" and is reporting to a fixed worksite each day, you also do not consider injuries or illnesses work-related if they occur while the employee is commuting between the temporary residence and the job location. EXCEPTION 2: Injuries or illnesses are not considered work-related if they occur while the employee is on a personal detour from a reasonably direct route of travel (e.g., has taken a side trip for personal reasons).
(7) How do I decide if a case is work-related when the employee is working at home?

Injuries and illnesses that occur while an employee is working at home, including work in a home office, will be considered work-related if the injury or illness occurs while the employee is performing work for pay or compensation in the home, and the injury or illness is directly related to the performance of work rather than to the general home environment or setting. For example, if an employee drops a box of work documents and injures his or her foot, the case is considered work-related. If an employee's fingernail is punctured by a needle from a sewing machine used to perform garment work at home, becomes infected and requires medical treatment, the injury is considered work-related. If an employee is injured because he or she trips on the family dog while rushing to answer a work phone call, the case is not considered work-related. If an employee working at home is electrocuted because of faulty home wiring, the injury is not considered work-related.




Note: Authority cited: Section 6410, Labor Code. Reference: Section 6410, Labor Code.







s 14300.6. Determination of New Cases.
(a) Basic requirement. You must consider an injury or illness to be a "new case" if:
(1) The employee has not previously experienced a recorded injury or illness of the same type that affects the same part of the body, or
(2) The employee previously experienced a recorded injury or illness of the same type that affected the same part of the body but had recovered completely (all signs and symptoms had disappeared) from the previous injury or illness and an event or exposure in the work environment caused the signs or symptoms to reappear.
(b) Implementation.
(1) When an employee experiences the signs or symptoms of a chronic work-related illness, do I need to consider each recurrence of signs or symptoms to be a new case?
No. For occupational illnesses where the signs or symptoms may recur or continue in the absence of an exposure in the workplace, the case must only be recorded once. Examples may include occupational cancer, asbestosis, byssinosis and silicosis.
(2) When an employee experiences the signs or symptoms of an injury or illness as a result of an event or exposure in the workplace, such as an episode of occupational asthma, must I treat the episode as a new case?
Yes. Because the episode or recurrence was caused by an event or exposure in the workplace, the incident must be treated as a new case.

(3) May I rely on a physician or other licensed health care professional to determine whether a case is a new case or a recurrence of an old case?
You are not required to seek the advice of a physician or other licensed health care professional. However, if you do seek such advice, you must follow the physician or other licensed health care professional's recommendation about whether the case is a new case or a recurrence. If you receive recommendations from two or more physicians or other licensed health care professionals, you must make a decision as to which recommendation is the most authoritative (best documented, best reasoned, or most authoritative), and record the case based upon that recommendation.




Note: Authority cited: Section 6410, Labor Code. Reference: Section 6410, Labor Code.





s 14300.7. General Recording Criteria.
(a) Basic requirement. You must consider an injury or illness to meet the general recording criteria, and therefore to be recordable, if it results in any of the following as detailed in subsections (b)(2) through (b)(6) of this section: death, days away from work, restricted work or transfer to another job, medical treatment beyond first aid, or loss of consciousness. You must also consider a case to meet the general recording criteria if it involves a significant injury or illness diagnosed by a physician or other licensed health care professional as detailed in subsection (b)(7) of this section, even if it does not result in death, days away from work, restricted work or job transfer, medical treatment beyond first aid, or loss of consciousness. (continued)