[Federal Register: January 19, 2001 (Volume 66, Number 13)]
[Rules and Regulations]
[Page 6115-6135]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
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[[pp. 6115-6135]] Occupational Injury and Illness Recording and Reporting
Requirements
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Regulatory Flexibility Analysis
Although a Final Regulatory Flexibility Analysis is not required in
this case, OSHA has chosen to include the elements of a final
regulatory flexibility analysis in this document. The elements of a
Final Regulatory Flexibility Analysis are:
A succinct statement of the need for, and the objective
of, the rule;
A summary of significant issues raised by the public
comments in response to the initial regulatory flexibility analysis, a
summary of the assessment of the Agency of such issues, and a statement
of any changes made to the proposed rule as a result of such comments;
A description of and estimate of the number of small
entities to which the rule will apply or an explanation of why no such
explanation is available;
A description of the projected reporting, recordkeeping
and other compliance requirements of the rule, including an estimate of
the classes of small entities that will be subject to the rule's
requirements and the types of professional skills necessary for
preparation of the record or report;
A description of the steps the Agency has taken to
minimize the significant economic impact on small entities consistent
with the stated objectives of applicable statutes, including a
statement of the factual, policy, and legal reasons for selecting the
alternative adopted in the final rule and why each of the other
significant alternatives considered by the agency was rejected.
The Regulatory Flexibility Act states that the Regulatory
Flexibility Analysis (RFA) need not contain all of the above elements
in toto if these elements are presented elsewhere in the documentation
and analysis of the regulation. This analysis will follow this approach
and refer the reader to other documentation for some of the above
elements.
Need for and objectives of the rule. The need for the final rule
and its objectives are discussed in the introductory sections of the
preamble.
The number of small entities to which the rule will apply. As shown
in Table X-11, the final rule will impact 541,988 firms defined as
small firms by the SBA.
The compliance requirements of the final rule. The compliance
requirements of the final rule are discussed in the summary and
explanation section of the preamble, which discusses each requirement
in detail.
Steps taken to minimize the impact of the rule on small entities.
The final Part 1904 rule minimizes the impact on small entities in two
ways. First, all employers who had fewer than 11 workers at all times
during the previous year are exempt from keeping Part 1904 records of
occupational injuries and illnesses, unless specifically asked to do so
by the government. Second, the final rule exempts employers classified
in certain industries in the services and retail sectors. These
industry-exempt employers are also not required to keep records unless
asked to do so by the government. The effect of the size and industry
exemptions is that more than 4.5 million of the Nation's 6 million
business establishments are exempted from keeping OSHA Part 1904
records on a routine basis.
OSHA considered several alternatives to exempting employers based
on size and/or industry classification. A discussion of these
alternatives, and why OSHA chose the alternative in the final rule, can
be found in the preamble discussion for Subpart B, Scope.
XI. Regulatory Flexibility Certification
Based on OSHA's analysis of small business impacts (Tables X-11 and
X-12), OSHA certifies that this final rule will not have a significant
impact on a substantial number of small entities. OSHA makes this
certification to fulfill its obligations under the Regulatory
Flexibility Act (as amended in 1996).
XII. Environmental Impact Assessment
In accordance with the requirements of the National Environmental
Policy Act (NEPA) (42 U.S.C. 4321 et seq.), Council on Environmental
Quality NEPA regulations (40 CFR part 1500 et seq.), and the Department
of Labor's NEPA regulations (29 CFR part 11), the Assistant Secretary
has determined that this final rule will not have a significant impact
on the external environment.
XIII. Federalism
This final rule has been reviewed in accordance with Executive
Order 13132 (52 FR 41685), regarding Federalism. Because this
rulemaking action involves a ``regulation'' issued under section 8 of
the OSH Act, and not a ``standard'' issued under section 6 of the Act,
the rule does not preempt State law, see 29 U.S.C. Sec. 667 (a). The
effect of the final rule on States is discussed above in Section VI,
State Plans.
XIV. Paperwork Reduction Act of 1995
The final regulation contains information collections which are
subject to review by the Office of Management and Budget (OMB) under
the Paperwork Reduction Act of 1995. Most of the provisions of the
final rule contain collection of information requirements, either to
keep records or to report information from the records to the
government. In addition, the effort employers are required to put forth
to learn the requirements are considered information requirements.
In response to OSHA's 1996 proposal, the public submitted 450
written comments . The Agency also held two public meetings where it
collected oral comments from 43 individuals and groups during six days
of informal meetings.
In summary, OSHA estimates that there are 1,365,985 establishments
that will be required to keep records of occupational injuries and
illnesses under the provisions. A total of approximately 4,500,000
hours will be needed for employers to comply with the information
collection requirements for the first year, and 3,500,000 hours in each
subsequent year. This represents an increase of 1,060,000 hours from
the previous paperwork burden estimates. OSHA has recently recognized
that previous estimates of the burden associated with becoming familiar
with the 1904 rule have been understated, and recently corrected those
estimates, as noted in OSHA's Final Economic Analysis for the Part 1904
rule.
In accordance with the Paperwork Reduction Act (PRA) of 1995 (44
U.S.C. 3501-3520), OSHA has requested OMB approval of the collection of
information requirement described above. The information collection
provisions will take effect when OMB approves them under the PRA.
XV. Authority
This document was prepared under the direction of Charles N.
Jeffress, Assistant Secretary of Labor for Occupational Safety and
Health, U.S. Department of Labor, 200 Constitution Avenue, N.W.,
Washington, DC 20210.
List of Subjects
29 CFR Part 1904
Health statistics, Occupational safety and health, Reporting and
recordkeeping requirements, State plans.
29 CFR Part 1952
Health statistics, Intergovernmental relations, Occupational safety
and health, Reporting and recordkeeping requirements, State plans.
Accordingly, pursuant to sections 8(c), 8(g), 20 and 24 of the
Occupational Safety and Health Act of 1970 (29 U.S.C. 657, 673),
Secretary of Labor's Order No. 1-90 (55 FR 9033), and 5 U.S.C. 553, the
Department amends 29 CFR Chapter XVII as set forth below.
[[Page 6122]]
Signed in Washington, D.C., this 5th day of January, 2001.
Charles N. Jeffress,
Assistant Secretary of Labor.
1. 29 CFR Part 1904 is revised to read as follows:
Part 1904--Recording and Reporting Occupational Injuries and
Illnesses
Sec.
Subpart A--Purpose
1904.0 Purpose
Subpart B--Scope
1904.1 Partial exemption for employers with 10 or fewer employees.
1904.2 Partial exemption for establishments in certain industries.
1904.3 Keeping records for more than one agency.
Non-mandatory Appendix A to Subpart B--Partially Exempt Industries.
Subpart C--Recordkeeping Forms and Recording Criteria
1904.4 Recording criteria.
1904.5 Determination of work-relatedness.
1904.6 Determination of new cases.
1904.7 General recording criteria.
1904.8 Recording criteria for needlestick and sharps injuries.
1904.9 Recording criteria for cases involving medical removal
under OSHA standards.
1904.10 Recording criteria for cases involving occupational
hearing loss.
1904.11 Recording criteria for work-related tuberculosis cases.
1904.12 Recording criteria for cases involving work-related
musculoskeletal disorders.
1904.13-1904.28 [Reserved]
1904.29 Forms.
Subpart D--Other OSHA Injury and Illness Recordkeeping Requirements
1904.30 Multiple business establishments.
1904.31 Covered employees.
1904.32 Annual summary.
1904.33 Retention and updating.
1904.34 Change in business ownership.
1904.35 Employee involvement.
1904.36 Prohibition against discrimination.
1904.37 State recordkeeping regulations.
1904.38 Variances from the recordkeeping rule.
Subpart E--Reporting Fatality, Injury and Illness Information to the
Government
1904.39 Reporting fatalities and multiple hospitalization
incidents to OSHA.
1904.40 Providing records to government representatives.
1904.41 Annual OSHA Injury and Illness Survey of Ten or More
Employers.
1904.42 Requests from the Bureau of Labor Statistics for data.
Subpart F--Transition From the Former Rule
1904.43 Summary and posting of year 2000 data.
1904.44 Retention and updating of old forms.
1904.45 OMB control numbers under the Paperwork Reduction Act
Subpart G--Definitions
1904.46 Definitions.
Authority: 29 U.S.C. 657, 658, 660, 666, 669, 673, Secretary of
Labor's Order No. 1-90 (55 FR 9033), and 5 U.S.C. 553.
Subpart A--Purpose
Sec. 1904.0 Purpose.
The purpose of this rule (Part 1904) is to require employers to
record and report work-related fatalities, injuries and illnesses.
Note to Sec. 1904.0: Recording or reporting a work-related
injury, illness, or fatality does not mean that the employer or
employee was at fault, that an OSHA rule has been violated, or that
the employee is eligible for workers' compensation or other
benefits.
Subpart B--Scope
Note to Subpart B: All employers covered by the Occupational
Safety and Health Act (OSH Act) are covered by these Part 1904
regulations. However, most employers do not have to keep OSHA injury
and illness records unless OSHA or the Bureau of Labor Statistics
(BLS) informs them in writing that they must keep records. For
example, employers with 10 or fewer employees and business
establishments in certain industry classifications are partially
exempt from keeping OSHA injury and illness records.
Sec. 1904.1 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 OSHA injury and illness records unless OSHA or the BLS informs
you in writing that you must keep records under Sec. 1904.41 or
Sec. 1904.42. However, as required by Sec. 1904.39, all employers
covered by the OSH Act must report to OSHA any workplace incident that
results in a fatality or the hospitalization of three or more
employees.
(2) If your company had more than ten (10) employees at any time
during the last calendar year, you must keep OSHA injury and illness
records unless your establishment is classified as a partially exempt
industry under Sec. 1904.2.
(b) Implementation. (1) Is the partial exemption for size based on
the size of my entire company or on the size of an individual business
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 no more than 10
employees at any time in the last calendar year, your company qualifies
for the partial exemption for size.
Sec. 1904.2 Partial exemption for establishments in certain
industries.
(a) Basic requirement. (1) If your business establishment is
classified in a specific low hazard retail, service, finance, insurance
or real estate industry listed in Appendix A to this Subpart B, you do
not need to keep OSHA injury and illness records unless the government
asks you to keep the records under Sec. 1904.41 or Sec. 1904.42.
However, all employers must report to OSHA any workplace incident that
results in a fatality or the hospitalization of three or more employees
(see Sec. 1904.39).
(2) If one or more of your company's establishments are classified
in a non-exempt industry, you must keep OSHA injury and illness records
for all of such establishments unless your company is partially
exempted because of size under Sec. 1904.1.
(b) Implementation. (1) Does the partial industry classification
exemption apply only to business establishments in the retail,
services, finance, insurance or real estate industries (SICs 52-89)?
Yes, business establishments classified in agriculture; mining;
construction; manufacturing; transportation; communication, electric,
gas and sanitary services; or wholesale trade 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 business establishments operated by my company? The
partial industry classification exemption applies to individual
business establishments. If a company has several business
establishments engaged in different classes of business 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 your nearest OSHA
office or State agency for help in determining your SIC.
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Sec. 1904.3 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 Part 1904 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 Part 1904 requires you to record. You may contact
your nearest OSHA office or State agency for help in determining
whether your records meet OSHA's requirements.
Non-Mandatory Appendix A to Subpart B--Partially Exempt Industries
Employers are not required to keep 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 company size or
industry classification, must report to OSHA any workplace incident
that results in a fatality or the hospitalization of three or more
employees (see Sec. 1904.39).
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SIC code Industry description SIC code Industry description
----------------------------------------------------------------------------------------------------------------
525................ Hardware Stores 725............... Shoe Repair and Shoeshine
Parlors.
542................ Meat and Fish Markets 726............... Funeral Service and
Crematories.
544................ Candy, Nut, and Confectionery Stores 729............... Miscellaneous Personal
Services.
545................ Dairy Products Stores 731............... Advertising Services.
546................ Retail Bakeries 732............... Credit Reporting and
Collection Services.
549................ Miscellaneous Food Stores 733............... Mailing, Reproduction, &
Stenographic Services.
551................ New and Used Car Dealers 737............... Computer and Data Processing
Services.
552................ Used Car Dealers 738............... Miscellaneous Business
Services.
554................ Gasoline Service Stations 764............... Reupholstery and Furniture
Repair.
557................ Motorcycle Dealers 78................ Motion Picture.
56................. Apparel and Accessory Stores 791............... Dance Studios, Schools, and
Halls.
573................ Radio, Television, & Computer Stores 792............... Producers, Orchestras,
Entertainers.
58................. Eating and Drinking Places 793............... Bowling Centers.
591................ Drug Stores and Proprietary Stores 801............... Offices & Clinics Of Medical
Doctors.
592................ Liquor Stores 802............... Offices and Clinics Of
Dentists.
594................ Miscellaneous Shopping Goods Stores 803............... Offices Of Osteopathic.
599................ Retail Stores, Not Elsewhere Classified 804............... Offices Of Other Health
Practitioners.
60................. Depository Institutions (banks & savings 807............... Medical and Dental
institutions) Laboratories.
61................. Nondepository 809............... Health and Allied Services,
Not Elsewhere Classified.
62................. Security and Commodity Brokers 81................ Legal Services.
63................. Insurance Carriers 82................ Educational Services
(schools, colleges,
universities and
libraries).
64................. Insurance Agents, Brokers & Services 832............... Individual and Family
Services.
653................ Real Estate Agents and Managers 835............... Child Day Care Services.
654................ Title Abstract Offices 839............... Social Services, Not
Elsewhere Classified.
67................. Holding and Other Investment Offices 841............... Museums and Art Galleries.
722................ Photographic Studios, Portrait 86................ Membership Organizations.
723................ Beauty Shops 87................ Engineering, Accounting,
Research, Management, and
Related Services.
724................ Barber Shops 899............... Services, not elsewhere
classified.
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Subpart C--Recordkeeping Forms and Recording Criteria
Note to Subpart C: This Subpart describes the work-related
injuries and illnesses that an employer must enter into the OSHA
records and explains the OSHA forms that employers must use to
record work-related fatalities, injuries, and illnesses.
Sec. 1904.4 Recording criteria.
(a) Basic requirement. Each employer required by this Part 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
Sec. 1904.7 or the application to specific cases of Sec. 1904.8 through
Sec. 1904.12.
(b) Implementation. (1) What sections of this rule describe
recording criteria for recording work-related injuries and illnesses?
The table below indicates which sections of the rule address each
topic.
(i) Determination of work-relatedness. See Sec. 1904.5.
(ii) Determination of a new case. See Sec. 1904.6.
(iii) General recording criteria. See Sec. 1904.7.
(iv) Additional criteria. (Needlestick and sharps injury cases,
tuberculosis cases, hearing loss cases, medical removal cases, and
musculoskeletal disorder cases). See Sec. 1904.8 through Sec. 1904.12.
(2) How do I decide whether a particular injury or illness is
recordable? The decision tree for recording work-related injuries and
illnesses below shows the steps involved in making this determination.
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Sec. 1904.5 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
Sec. 1904.5(b)(2) specifically applies.
(b) Implementation. (1) What is the ``work environment''? OSHA
defines the work environment 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.
------------------------------------------------------------------------
You are not required to record injuries and
1904.5(b)(2) illnesses if . . .
------------------------------------------------------------------------
(i).................. 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.
(ii)................. 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.
(iii)................ 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.
(iv)................. 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.
(v).................. 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.
(vi)................. The injury or illness is solely the result of
personal grooming, self medication for a non-
work-related condition, or is intentionally self-
inflicted.
(vii)................ 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.
(viii)............... 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).
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(ix)................. 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 preexisting injury or illness? A
preexisting injury or illness has been significantly aggravated, for
purposes of OSHA injury and illness recordkeeping, when an event or
exposure in the work environment results in any of the following:
(i) Death, provided that the preexisting injury or illness would
likely not have resulted in death but for the occupational event or
exposure.
(ii) Loss of consciousness, provided that the preexisting injury or
illness would likely not have resulted in loss of consciousness but for
the occupational event or exposure.
(iii) 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.
(iv) 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 preexisting condition if it
resulted solely from a non-work-related event or exposure that occured
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 exceptions
listed below.
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You may use the following to
1904.5 (b)(6) If the employee has . . . determine if an injury or
illness is work-related
----------------------------------------------------------------------------------------------------------------
(i)..................... checked into a hotel or motel for one or more days.. When a traveling employee checks
into a hotel, motel, or into a
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.
(ii).................... taken a detour for personal reasons................. 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.
Sec. 1904.6 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
[[Page 6126]]
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.
Sec. 1904.7 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: 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, 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.
(b) Implementation. (1) How do I decide if a case meets one or more
of the general recording criteria? A work-related injury or illness
must be recorded if it results in one or more of the following:
(i) Death. See Sec. 1904.7(b)(2).
(ii) Days away from work. See Sec. 1904.7(b)(3).
(iii) Restricted work or transfer to another job. See
Sec. 1904.7(b)(4).
(iv) Medical treatment beyond first aid. See Sec. 1904.7(b)(5).
(v) Loss of consciousness. See Sec. 1904.7(b)(6).
(vi) A significant injury or illness diagnosed by a physician or
other licensed health care professional. See Sec. 1904.7(b)(7).
(2) How do I record a work-related injury or illness that results
in the employee's death? You must record an injury or illness that
results in death by entering a check mark on the OSHA 300 Log in the
space for cases resulting in death. You must also report any work-
related fatality to OSHA within eight (8) hours, as required by
Sec. 1904.39.
(3) How do I record a work-related injury or illness that results
in days away from work? When an injury or illness involves one or more
days away from work, you must record the injury or illness on the OSHA
300 Log with a check mark in the space for cases involving days away
and an entry of the number of calendar days away from work in the
number of days column. If the employee is out for an extended period of
time, you must enter an estimate of the days that the employee will be
away, and update the day count when the actual number of days is known.
(i) Do I count the day on which the injury occurred or the illness
began? No, you begin counting days away on the day after the injury
occurred or the illness began.
(ii) How do I record an injury or illness when a physician or other
licensed health care professional recommends that the worker stay at
home but the employee comes to work anyway? You must record these
injuries and illnesses on the OSHA 300 Log using the check box for
cases with days away from work and enter the number of calendar days
away recommended by the physician or other licensed health care
professional. If a physician or other licensed health care professional
recommends days away, you should encourage your employee to follow that
recommendation. However, the days away must be recorded whether the
injured or ill employee follows the physician or licensed health care
professional's recommendation or not. If you receive recommendations
from two or more physicians or other licensed health care
professionals, you may make a decision as to which recommendation is
the most authoritative, and record the case based upon that
recommendation.
(iii) How do I handle a case when a physician or other licensed
health care professional recommends that the worker return to work but
the employee stays at home anyway? In this situation, you must end the
count of days away from work on the date the physician or other
licensed health care professional recommends that the employee return
to work.
(iv) How do I count weekends, holidays, or other days the employee
would not have worked anyway? You must count the number of calendar
days the employee was unable to work as a result of the injury or
illness, regardless of whether or not the employee was scheduled to
work on those day(s). Weekend days, holidays, vacation days or other
days off are included in the total number of days recorded if the
employee would not have been able to work on those days because of a
work-related injury or illness.
(v) How do I record a case in which a worker is injured or becomes
ill on a Friday and reports to work on a Monday, and was not scheduled
to work on the weekend? You need to record this case only if you
receive information from a physician or other licensed health care
professional indicating that the employee should not have worked, or
should have performed only restricted work, during the weekend. If so,
you must record the injury or illness as a case with days away from
work or restricted work, and enter the day counts, as appropriate.
(vi) How do I record a case in which a worker is injured or becomes
ill on the day before scheduled time off such as a holiday, a planned
vacation, or a temporary plant closing? You need to record a case of
this type only if you receive information from a physician or other
licensed health care professional indicating that the employee should
not have worked, or should have performed only restricted work, during
the scheduled time off. If so, you must record the injury or illness as
a case with days away from work or restricted work, and enter the day
counts, as appropriate.
(vii) Is there a limit to the number of days away from work I must
count? Yes, you may ``cap'' the total days away at 180 calendar days.
You are not required to keep track of the number of calendar days away
from work if the injury or illness resulted in more than 180 calendar
days away from work and/or days of job transfer or restriction. In such
a case, entering 180 in the total days away column will be considered
adequate.
(viii) May I stop counting days if an employee who is away from
work because of an injury or illness retires or leaves my company? Yes,
if the employee leaves your company for some reason unrelated to the
injury or illness, such as retirement, a plant closing, or to take
another job, you may stop counting days away from work or days of
restriction/job transfer. If the employee leaves your company because
of the injury or illness, you must estimate the
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total number of days away or days of restriction/job transfer and enter
the day count on the 300 Log.
(ix) If a case occurs in one year but results in days away during
the next calendar year, do I record the case in both years? No, you
only record the injury or illness once. You must enter the number of
calendar days away for the injury or illness on the OSHA 300 Log for
the year in which the injury or illness occurred. If the employee is
still away from work because of the injury or illness when you prepare
the annual summary, estimate the total number of calendar days you
expect the employee to be away from work, use this number to calculate
the total for the annual summary, and then update the initial log entry
later when the day count is known or reaches the 180-day cap.
(4) How do I record a work-related injury or illness that results
in restricted work or job transfer? When an injury or illness involves
restricted work or job transfer but does not involve death or days away
from work, you must record the injury or illness on the OSHA 300 Log by
placing a check mark in the space for job transfer or restriction and
an entry of the number of restricted or transferred days in the
restricted workdays column.
(i) How do I decide if the injury or illness resulted in restricted
work? Restricted work occurs when, as the result of a work-related
injury or illness:
(A) You keep the employee from performing one or more of the
routine functions of his or her job, or from working the full workday
that he or she would otherwise have been scheduled to work; or
(B) A physician or other licensed health care professional
recommends that the employee not perform one or more of the routine
functions of his or her job, or not work the full workday that he or
she would otherwise have been scheduled to work.
(ii) What is meant by ``routine functions''? For recordkeeping
purposes, an employee's routine functions are those work activities the
employee regularly performs at least once per week.
(iii) Do I have to record restricted work or job transfer if it
applies only to the day on which the injury occurred or the illness
began? No, you do not have to record restricted work or job transfers
if you, or the physician or other licensed health care professional,
impose the restriction or transfer only for the day on which the injury
occurred or the illness began.
(iv) If you or a physician or other licensed health care
professional recommends a work restriction, is the injury or illness
automatically recordable as a ``restricted work'' case? No, a
recommended work restriction is recordable only if it affects one or
more of the employee's routine job functions. To determine whether this
is the case, you must evaluate the restriction in light of the routine
functions of the injured or ill employee's job. If the restriction from
you or the physician or other licensed health care professional keeps
the employee from performing one or more of his or her routine job
functions, or from working the full workday the injured or ill employee
would otherwise have worked, the employee's work has been restricted
and you must record the case.
(v) How do I record a case where the worker works only for a
partial work shift because of a work-related injury or illness? A
partial day of work is recorded as a day of job transfer or restriction
for recordkeeping purposes, except for the day on which the injury
occurred or the illness began.
(vi) If the injured or ill worker produces fewer goods or services
than he or she would have produced prior to the injury or illness but
otherwise performs all of the routine functions of his or her work, is
the case considered a restricted work case? No, the case is considered
restricted work only if the worker does not perform all of the routine
functions of his or her job or does not work the full shift that he or
she would otherwise have worked.
(vii) How do I handle vague restrictions from a physician or other
licensed health care professional, such as that the employee engage
only in ``light duty'' or ``take it easy for a week''? If you are not
clear about the physician or other licensed health care professional's
recommendation, you may ask that person whether the employee can do all
of his or her routine job functions and work all of his or her normally
assigned work shift. If the answer to both of these questions is
``Yes,'' then the case does not involve a work restriction and does not
have to be recorded as such. If the answer to one or both of these
questions is ``No,'' the case involves restricted work and must be
recorded as a restricted work case. If you are unable to obtain this
additional information from the physician or other licensed health care
professional who recommended the restriction, record the injury or
illness as a case involving restricted work.
(viii) What do I do if a physician or other licensed health care
professional recommends a job restriction meeting OSHA's definition,
but the employee does all of his or her routine job functions anyway?
You must record the injury or illness on the OSHA 300 Log as a
restricted work case. If a physician or other licensed health care
professional recommends a job restriction, you should ensure that the
employee complies with that restriction. If you receive recommendations
from two or more physicians or other licensed health care
professionals, you may make a decision as to which recommendation is
the most authoritative, and record the case based upon that
recommendation.
(ix) How do I decide if an injury or illness involved a transfer to
another job? If you assign an injured or ill employee to a job other
than his or her regular job for part of the day, the case involves
transfer to another job. Note: This does not include the day on which
the injury or illness occurred.
(x) Are transfers to another job recorded in the same way as
restricted work cases? Yes, both job transfer and restricted work cases
are recorded in the same box on the OSHA 300 Log. For example, if you
assign, or a physician or other licensed health care professional
recommends that you assign, an injured or ill worker to his or her
routine job duties for part of the day and to another job for the rest
of the day, the injury or illness involves a job transfer. You must
record an injury or illness that involves a job transfer by placing a
check in the box for job transfer.
(xi) How do I count days of job transfer or restriction? You count
days of job transfer or restriction in the same way you count days away
from work, using Sec. 1904.7(b)(3)(i) to (viii), above. The only
difference is that, if you permanently assign the injured or ill
employee to a job that has been modified or permanently changed in a
manner that eliminates the routine functions the employee was
restricted from performing, you may stop the day count when the
modification or change is made permanent. You must count at least one
day of restricted work or job transfer for such cases.
(5) How do I record an injury or illness that involves medical
treatment beyond first aid? If a work-related injury or illness results
in medical treatment beyond first aid, you must record it on the OSHA
300 Log. If the injury or illness did not involve death, one or more
days away from work, one or more days of restricted work, or one or
more days of job transfer, you enter a check mark in the box for cases
where the employee received medical treatment but remained at work and
was not transferred or restricted.
(i) What is the definition of medical treatment? ``Medical
treatment'' means the management and care of a patient to
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combat disease or disorder. For the purposes of Part 1904, medical
treatment does not include:
(A) Visits to a physician or other licensed health care
professional solely for observation or counseling;
(B) The conduct of diagnostic procedures, such as x-rays and blood
tests, including the administration of prescription medications used
solely for diagnostic purposes (e.g., eye drops to dilate pupils); or
(C) ``First aid'' as defined in paragraph (b)(5)(ii) of this
section.
(ii) What is ``first aid''? For the purposes of Part 1904, ``first
aid'' means the following:
(A) Using a non-prescription medication at nonprescription strength
(for medications available in both prescription and non-prescription
form, a recommendation by a physician or other licensed health care
professional to use a non-prescription medication at prescription
strength is considered medical treatment for recordkeeping purposes);
(B) Administering tetanus immunizations (other immunizations, such
as Hepatitis B vaccine or rabies vaccine, are considered medical
treatment);
(C) Cleaning, flushing or soaking wounds on the surface of the
skin;
(D) Using wound coverings such as bandages, Band-AidsTM,
gauze pads, etc.; or using butterfly bandages or Steri-
StripsTM (other wound closing devices such as sutures,
staples, etc., are considered medical treatment);
(E) Using hot or cold therapy;
(F) Using any non-rigid means of support, such as elastic bandages,
wraps, non-rigid back belts, etc. (devices with rigid stays or other
systems designed to immobilize parts of the body are considered medical
treatment for recordkeeping purposes);
(G) Using temporary immobilization devices while transporting an
accident victim (e.g., splints, slings, neck collars, back boards,
etc.).
(H) Drilling of a fingernail or toenail to relieve pressure, or
draining fluid from a blister;
(I) Using eye patches;
(J) Removing foreign bodies from the eye using only irrigation or a
cotton swab;
(K) Removing splinters or foreign material from areas other than
the eye by irrigation, tweezers, cotton swabs or other simple means;
(L) Using finger guards;
(M) Using massages (physical therapy or chiropractic treatment are
considered medical treatment for recordkeeping purposes); or
(N) Drinking fluids for relief of heat stress.
(iii) Are any other procedures included in first aid? No, this is a
complete list of all treatments considered first aid for Part 1904
purposes.
(iv) Does the professional status of the person providing the
treatment have any effect on what is considered first aid or medical
treatment? No, OSHA considers the treatments listed in
Sec. 1904.7(b)(5)(ii) of this Part to be first aid regardless of the
professional status of the person providing the treatment. Even when
these treatments are provided by a physician or other licensed health
care professional, they are considered first aid for the purposes of
Part 1904. Similarly, OSHA considers treatment beyond first aid to be
medical treatment even when it is provided by someone other than a
physician or other licensed health care professional.
(v) What if a physician or other licensed health care professional
recommends medical treatment but the employee does not follow the
recommendation? If a physician or other licensed health care
professional recommends medical treatment, you should encourage the
injured or ill employee to follow that recommendation. However, you
must record the case even if the injured or ill employee does not
follow the physician or other licensed health care professional's
recommendation.
(6) Is every work-related injury or illness case involving a loss
of consciousness recordable? Yes, you must record a work-related injury
or illness if the worker becomes unconscious, regardless of the length
of time the employee remains unconscious.
(7) What is a ``significant'' diagnosed injury or illness that is
recordable under the general criteria 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? Work-related
cases involving cancer, chronic irreversible disease, a fractured or
cracked bone, or a punctured eardrum must always be recorded under the
general criteria at the time of diagnosis by a physician or other
licensed health care professional.
Note to Sec. 1904.7: OSHA believes that most significant
injuries and illnesses will result in one of the criteria listed in
Sec. 1904.7(a): death, days away from work, restricted work or job
transfer, medical treatment beyond first aid, or loss of
consciousness. However, there are some significant injuries, such as
a punctured eardrum or a fractured toe or rib, for which neither
medical treatment nor work restrictions may be recommended. In
addition, there are some significant progressive diseases, such as
byssinosis, silicosis, and some types of cancer, for which medical
treatment or work restrictions may not be recommended at the time of
diagnosis but are likely to be recommended as the disease
progresses. OSHA believes that cancer, chronic irreversible
diseases, fractured or cracked bones, and punctured eardrums are
generally considered significant injuries and illnesses, and must be
recorded at the initial diagnosis even if medical treatment or work
restrictions are not recommended, or are postponed, in a particular
case.
Sec. 1904.8 Recording criteria for needlestick and sharps injuries.
(a) Basic requirement. You must record all work-related needlestick
injuries and cuts from sharp objects that are contaminated with another
person's blood or other potentially infectious material (as defined by
29 CFR 1910.1030). You must enter the case on the OSHA 300 Log as an
injury. To protect the employee's privacy, you may not enter the
employee's name on the OSHA 300 Log (see the requirements for privacy
cases in paragraphs 1904.29(b)(6) through 1904.29(b)(9)).
(b) Implementation. (1) What does ``other potentially infectious
material'' mean? The term ``other potentially infectious materials'' is
defined in the OSHA Bloodborne Pathogens standard at Sec. 1910.1030(b).
These materials include:
(i) Human bodily fluids, tissues and organs, and
(ii) Other materials infected with the HIV or hepatitis B (HBV)
virus such as laboratory cultures or tissues from experimental animals.
(2) Does this mean that I must record all cuts, lacerations,
punctures, and scratches? No, you need to record cuts, lacerations,
punctures, and scratches only if they are work-related and involve
contamination with another person's blood or other potentially
infectious material. If the cut, laceration, or scratch involves a
clean object, or a contaminant other than blood or other potentially
infectious material, you need to record the case only if it meets one
or more of the recording criteria in Sec. 1904.7.
(3) If I record an injury and the employee is later diagnosed with
an infectious bloodborne disease, do I need to update the OSHA 300 Log?
Yes, you must update the classification of the case on the OSHA 300 Log
if the case results in death, days away from work, restricted work, or
job transfer. You must also update the description to identify the
infectious disease and change the classification of the case from an
injury to an illness.
(4) What if one of my employees is splashed or exposed to blood or
other
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potentially infectious material without being cut or scratched? Do I
need to record this incident? You need to record such an incident on
the OSHA 300 Log as an illness if:
(i) It results in the diagnosis of a bloodborne illness, such as
HIV, hepatitis B, or hepatitis C; or
(ii) It meets one or more of the recording criteria in Sec. 1904.7.
Sec. 1904.9 Recording criteria for cases involving medical removal
under OSHA standards.
(a) Basic requirement. If an employee is medically removed under
the medical surveillance requirements of an OSHA standard, you must
record the case on the OSHA 300 Log.
(b) Implementation. (1) How do I classify medical removal cases on
the OSHA 300 Log? You must enter each medical removal case on the OSHA
300 Log as either a case involving days away from work or a case
involving restricted work activity, depending on how you decide to
comply with the medical removal requirement. If the medical removal is
the result of a chemical exposure, you must enter the case on the OSHA
300 Log by checking the ``poisoning'' column.
(2) Do all of OSHA's standards have medical removal provisions? No,
some OSHA standards, such as the standards covering bloodborne
pathogens and noise, do not have medical removal provisions. Many OSHA
standards that cover specific chemical substances have medical removal
provisions. These standards include, but are not limited to, lead,
cadmium, methylene chloride, formaldehyde, and benzene.
(3) Do I have to record a case where I voluntarily removed the
employee from exposure before the medical removal criteria in an OSHA
standard are met? No, if the case involves voluntary medical removal
before the medical removal levels required by an OSHA standard, you do
not need to record the case on the OSHA 300 Log.
Sec. 1904.10 Recording criteria for cases involving occupational
hearing loss.
(a) Basic requirement. If an employee's hearing test (audiogram)
reveals that a Standard Threshold Shift (STS) has occurred, you must
record the case on the OSHA 300 Log by checking the ``hearing loss''
column.
(b) Implementation. (1) What is a Standard Threshold Shift? A
Standard Threshold Shift, or STS, is defined in the occupational noise
exposure standard at 29 CFR 1910.95(c)(10)(i) as a change in hearing
threshold, relative to the most recent audiogram for that employee, of
an average of 10 decibels (dB) or more at 2000, 3000, and 4000 hertz in
one or both ears.
(2) How do I determine whether an STS has occurred? If the employee
has never previously experienced a recordable hearing loss, you must
compare the employee's current audiogram with that employee's baseline
audiogram. If the employee has previously experienced a recordable
hearing loss, you must compare the employee's current audiogram with
the employee's revised baseline audiogram (the audiogram reflecting the
employee's previous recordable hearing loss case).
(3) May I adjust the audiogram results to reflect the effects of
aging on hearing? Yes, when comparing audiogram results, you may adjust
the results for the employee's age when the audiogram was taken using
Tables F-1 or F-2, as appropriate, in Appendix F of 29 CFR 1910.95.
(4) Do I have to record the hearing loss if I am going to retest
the employee's hearing? No, if you retest the employee's hearing within
30 days of the first test, and the retest does not confirm the STS, you
are not required to record the hearing loss case on the OSHA 300 Log.
If the retest confirms the STS, you must record the hearing loss
illness within seven (7) calendar days of the retest.
(5) Are there any special rules for determining whether a hearing
loss case is work-related? Yes, hearing loss is presumed to be work-
related if the employee is exposed to noise in the workplace at an 8-
hour time-weighted average of 85 dBA or greater, or to a total noise
dose of 50 percent, as defined in 29 CFR 1910.95. For hearing loss
cases where the employee is not exposed to this level of noise, you
must use the rules in Sec. 1904.5 to determine if the hearing loss is
work-related.
(6) If a physician or other licensed health care professional
determines the hearing loss is not work-related, do I still need to
record the case? If a physician or other licensed health care
professional determines that the hearing loss is not work-related or
has not been significantly aggravated by occupational noise exposure,
you are not required to consider the case work-related or to record the
case on the OSHA 300 Log.
Sec. 1904.11 Recording criteria for work-related tuberculosis cases.
(a) Basic requirement. If any of your employees has been
occupationally exposed to anyone with a known case of active
tuberculosis (TB), and that employee subsequently develops a
tuberculosis infection, as evidenced by a positive skin test or
diagnosis by a physician or other licensed health care professional,
you must record the case on the OSHA 300 Log by checking the
``respiratory condition'' column.
(b) Implementation. (1) Do I have to record, on the Log, a positive
TB skin test result obtained at a pre-employment physical? No, you do
not have to record it because the employee was not occupationally
exposed to a known case of active tuberculosis in your workplace.
(2) May I line-out or erase a recorded TB case if I obtain evidence
that the case was not caused by occupational exposure? Yes, you may
line-out or erase the case from the Log under the following
circumstances:
(i) The worker is living in a household with a person who has been
diagnosed with active TB;
(ii) The Public Health Department has identified the worker as a
contact of an individual with a case of active TB unrelated to the
workplace; or
(iii) A medical investigation shows that the employee's infection
was caused by exposure to TB away from work, or proves that the case
was not related to the workplace TB exposure.
Sec. 1904.12 Recording criteria for cases involving work-related
musculoskeletal disorders.
(a) Basic requirement. If any of your employees experiences a
recordable work-related musculoskeletal disorder (MSD), you must record
it on the OSHA 300 Log by checking the ``musculoskeletal disorder''
column.
(b) Implementation. (1) What is a ``musculoskeletal disorder'' or
MSD? Musculoskeletal disorders (MSDs) are disorders of the muscles,
nerves, tendons, ligaments, joints, cartilage and spinal discs. MSDs do
not include disorders caused by slips, trips, falls, motor vehicle
accidents, or other similar accidents. Examples of MSDs include: Carpal
tunnel syndrome, Rotator cuff syndrome, De Quervain's disease, Trigger
finger, Tarsal tunnel syndrome, Sciatica, Epicondylitis, Tendinitis,
Raynaud's phenomenon, Carpet layers knee, Herniated spinal disc, and
Low back pain.
(2) How do I decide which musculoskeletal disorders to record?
There are no special criteria for determining which musculoskeletal
disorders to record. An MSD case is recorded using the same process you
would use for any other injury or illness. If a musculoskeletal
disorder is work-related, and is a new case, and meets one or more of
the general recording criteria, you must record the musculoskeletal
disorder. The following table will guide you to the appropriate
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section of the rule for guidance on recording MSD cases.
(i) Determining if the MSD is work-related. See Sec. 1904.5.
(ii) Determining if the MSD is a new case. See Sec. 1904.6.
(iii) Determining if the MSD meets one or more of the general
recording criteria:
(A) Days away from work, see Sec. 1904.7(b)(3).
(B) Restricted work or transfer to another job, or see
Sec. 1904.7(b)(4).
(C) Medical treatment beyond first aid. See Sec. 1904.7(b)(5).
(3) If a work-related MSD case involves only subjective symptoms
like pain or tingling, do I have to record it as a musculoskeletal
disorder? The symptoms of an MSD are treated the same as symptoms for
any other injury or illness. If an employee has pain, tingling,
burning, numbness or any other subjective symptom of an MSD, and the
symptoms are work-related, and the case is a new case that meets the
recording criteria, you must record the case on the OSHA 300 Log as a
musculoskeletal disorder.
Secs. 1904.13-1904.28 [Reserved]
Sec. 1904.29 Forms
(a) Basic requirement. You must use OSHA 300, 300-A, and 301 forms,
or equivalent forms, for recordable injuries and illnesses. The OSHA
300 form is called the Log of Work-Related Injuries and Illnesses, the
300-A is the Summary of Work-Related Injuries and Illnesses, and the
OSHA 301 form is called the Injury and Illness Incident Report.
(b) Implementation. (1) What do I need to do to complete the OSHA
300 Log? You must enter information about your business at the top of
the OSHA 300 Log, enter a one or two line description for each
recordable injury or illness, and summarize this information on the
OSHA 300-A at the end of the year.
(2) What do I need to do to complete the OSHA 301 Incident Report?
You must complete an OSHA 301 Incident Report form, or an equivalent
form, for each recordable injury or illness entered on the OSHA 300
Log.
(3) How quickly must each injury or illness be recorded? You must
enter each recordable injury or illness on the OSHA 300 Log and 301
Incident Report within seven (7) calendar days of receiving information
that a recordable injury or illness has occurred.
(4) What is an equivalent form? An equivalent form is one that has
the same information, is as readable and understandable, and is
completed using the same instructions as the OSHA form it replaces.
Many employers use an insurance form instead of the OSHA 301 Incident
Report, or supplement an insurance form by adding any additional
information required by OSHA.
(5) May I keep my records on a computer? Yes, if the computer can
produce equivalent forms when they are needed, as described under
Secs. 1904.35 and 1904.40, you may keep your records using the computer
system.
(6) Are there situations where I do not put the employee's name on
the forms for privacy reasons? Yes, if you have a ``privacy concern
case,'' you may not enter the employee's name on the OSHA 300 Log.
Instead, enter ``privacy case'' in the space normally used for the
employee's name. This will protect the privacy of the injured or ill
employee when another employee, a former employee, or an authorized
employee representative is provided access to the OSHA 300 Log under
Sec. 1904.35(b)(2). 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.
(7) How do I determine if an injury or illness is a privacy concern
case? You must consider the following injuries or illnesses to be
privacy concern cases:
(i) An injury or illness to an intimate body part or the
reproductive system;
(ii) An injury or illness resulting from a sexual assault;
(iii) Mental illnesses;
(iv) HIV infection, hepatitis, or tuberculosis;
(v) Needlestick injuries and cuts from sharp objects that are
contaminated with another person's blood or other potentially
infectious material (see Sec. 1904.8 for definitions); and
(vi) Other illnesses, if the employee independently and voluntarily
requests that his or her name not be entered on the log.
Musculoskeletal disorders (MSDs) are not considered privacy concern
cases.
(8) May I classify any other types of injuries and illnesses as
privacy concern cases? No, this is a complete list of all injuries and
illnesses considered privacy concern cases for Part 1904 purposes.
(9) If I have removed the employee's name, but still believe that
the employee may be identified from the information on the forms, is
there anything else that I can do to further protect the employee's
privacy? Yes, if you have a reasonable basis to believe that
information describing the privacy concern case may be personally
identifiable even though the employee's name has been omitted, you may
use discretion in describing the injury or illness on both the OSHA 300
and 301 forms. You must enter enough information to identify the cause
of the incident and the general severity of the injury or illness, but
you do not need to include details of an intimate or private nature.
For example, a sexual assault case could be described as ``injury from
assault,'' or an injury to a reproductive organ could be described as
``lower abdominal injury.''
(10) What must I do to protect employee privacy if I wish to
provide access to the OSHA Forms 300 and 301 to persons other than
government representatives, employees, former employees or authorized
representatives? If you decide to voluntarily disclose the Forms to
persons other than government representatives, employees, former
employees or authorized representatives (as required by Secs. 1904.35
and 1904.40), you must remove or hide the employees' names and other
personally identifying information, except for the following cases. You
may disclose the Forms with personally identifying information only:
(i) to an auditor or consultant hired by the employer to evaluate
the safety and health program;
(ii) to the extent necessary for processing a claim for workers'
compensation or other insurance benefits; or
(iii) to a public health authority or law enforcement agency for
uses and disclosures for which consent, an authorization, or
opportunity to agree or object is not required under Department of
Health and Human Services Standards for Privacy of Individually
Identifiable Health Information, 45 CFR 164.512.
Subpart D--Other OSHA Injury and Illness Recordkeeping Requirements
Sec. 1904.30 Multiple business establishments.
(a) Basic requirement. You must keep a separate OSHA 300 Log for
each establishment that is expected to be in operation for one year or
longer.
(b) Implementation. (1) Do I need to keep OSHA injury and illness
records for short-term establishments (i.e., establishments that will
exist for less than a year)? Yes, however, you do not have to keep a
separate OSHA 300 Log for each such establishment. You may keep one
OSHA 300 Log that covers all of your short-term establishments. You may
also include the short-term establishments' recordable injuries and
illnesses on an OSHA 300 Log that
[[Page 6131]]
covers short-term establishments for individual company divisions or
geographic regions.
(2) May I keep the records for all of my establishments at my
headquarters location or at some other central location? Yes, you may
keep the records for an establishment at your headquarters or other
central location if you can:
(i) Transmit information about the injuries and illnesses from the
establishment to the central location within seven (7) calendar days of
receiving information that a recordable injury or illness has occurred;
and
(ii) Produce and send the records from the central location to the
establishment within the time frames required by Sec. 1904.35 and
Sec. 1904.40 when you are required to provide records to a government
representative, employees, former employees or employee
representatives.
(3) Some of my employees work at several different locations or do
not work at any of my establishments at all. How do I record cases for
these employees? You must link each of your employees with one of your
establishments, for recordkeeping purposes. You must record the injury
and illness on the OSHA 300 Log of the injured or ill employee's
establishment, or on an OSHA 300 Log that covers that employee's short-
term establishment.
(4) How do I record an injury or illness when an employee of one of
my establishments is injured or becomes ill while visiting or working
at another of my establishments, or while working away from any of my
establishments? If the injury or illness occurs at one of your
establishments, you must record the injury or illness on the OSHA 300
Log of the establishment at which the injury or illness occurred. If
the employee is injured or becomes ill and is not at one of your
establishments, you must record the case on the OSHA 300 Log at the
establishment at which the employee normally works.
Sec. 1904.31 Covered employees.
(a) Basic requirement. You must record on the OSHA 300 Log the
recordable injuries and illnesses of all employees on your payroll,
whether they are labor, executive, hourly, salary, part-time, seasonal,
or migrant workers. You also must record the recordable injuries and
illnesses that occur to employees who are not on your payroll if you
supervise these employees on a day-to-day basis. If your business is
organized as a sole proprietorship or partnership, the owner or
partners are not considered employees for recordkeeping purposes.
(b) Implementation. (1) If a self-employed person is injured or
becomes ill while doing work at my business, do I need to record the
injury or illness? No, self-employed individuals are not covered by the
OSH Act or this regulation.
(2) If I obtain employees from a temporary help service, employee
leasing service, or personnel supply service, do I have to record an
injury or illness occurring to one of those employees? You must record
these injuries and illnesses if you supervise these employees on a day-
to-day basis.
(3) If an employee in my establishment is a contractor's employee,
must I record an injury or illness occurring to that employee? If the
contractor's employee is under the day-to-day supervision of the
contractor, the contractor is responsible for recording the injury or
illness. If you supervise the contractor employee's work on a day-to-
day basis, you must record the injury or illness.
(4) Must the personnel supply service, temporary help service,
employee leasing service, or contractor also record the injuries or
illnesses occurring to temporary, leased or contract employees that I
supervise on a day-to-day basis? No, you and the temporary help
service, employee leasing service, personnel supply service, or
contractor should coordinate your efforts to make sure that each injury
and illness is recorded only once: either on your OSHA 300 Log (if you
provide day-to-day supervision) or on the other employer's OSHA 300 Log
(if that company provides day-to-day supervision).
Sec. 1904.32 Annual summary.
(a) Basic requirement. At the end of each calendar year, you must:
(1) Review the OSHA 300 Log to verify that the entries are complete
and accurate, and correct any deficiencies identified;
(2) Create an annual summary of injuries and illnesses recorded on
the OSHA 300 Log;
(3) Certify the summary; and
(4) Post the annual summary.
(b) Implementation. (1) How extensively do I have to review the
OSHA 300 Log entries at the end of the year? You must review the
entries as extensively as necessary to make sure that they are complete
and correct.
(2) How do I complete the annual summary? You must:
(i) Total the columns on the OSHA 300 Log (if you had no recordable
cases, enter zeros for each column total); and
(ii) Enter the calendar year covered, the company's name,
establishment name, establishment address, annual average number of
employees covered by the OSHA 300 Log, and the total hours worked by
all employees covered by the OSHA 300 Log.
(iii) If you are using an equivalent form other than the OSHA 300-A
summary form, as permitted under Sec. 1904.6(b)(4), the summary you use
must also include the employee access and employer penalty statements
found on the OSHA 300-A Summary form.
(3) How do I certify the annual summary? A company executive must
certify that he or she has examined the OSHA 300 Log and that he or she
reasonably believes, based on his or her knowledge of the process by
which the information was recorded, that the annual summary is correct
and complete.
(4) Who is considered a company executive? The company executive
who certifies the log must be one of the following persons:
(i) An owner of the company (only if the company is a sole
proprietorship or partnership);
(ii) An officer of the corporation;
(iii) The highest ranking company official working at the
establishment; or
(iv) The immediate supervisor of the highest ranking company
official working at the establishment.
(5) How do I post the annual summary? You must post a copy of the
annual summary in each establishment in a conspicuous place or places
where notices to employees are customarily posted. You must ensure that
the posted annual summary is not altered, defaced or covered by other
material.
(6) When do I have to post the annual summary? You must post the
summary no later than February 1 of the year following the year covered
by the records and keep the posting in place until April 30.
Sec. 1904.33 Retention and updating.
(a) Basic requirement. You must save the OSHA 300 Log, the privacy
case list (if one exists), the annual summary, and the OSHA 301
Incident Report forms for five (5) years following the end of the
calendar year that these records cover.
(b) Implementation. (1) Do I have to update the OSHA 300 Log during
the five-year storage period? Yes, during the storage period, you must
update your stored OSHA 300 Logs to include newly discovered recordable
injuries or illnesses and to show any changes that have occurred in the
classification of previously recorded injuries and illnesses. If the
description or outcome of a case changes, you must remove or line out
the original entry and enter the new information.
[[Page 6132]]
(2) Do I have to update the annual summary? No, you are not
required to update the annual summary, but you may do so if you wish.
(3) Do I have to update the OSHA 301 Incident Reports? No, you are
not required to update the OSHA 301 Incident Reports, but you may do so
if you wish.
Sec. 1904.34 Change in business ownership.
If your business changes ownership, you are responsible for
recording and reporting work-related injuries and illnesses only for
that period of the year during which you owned the establishment. You
must transfer the Part 1904 records to the new owner. The new owner
must save all records of the establishment kept by the prior owner, as
required by Sec. 1904.33 of this Part, but need not update or correct
the records of the prior owner.
Sec. 1904.35 Employee involvement.
(a) Basic requirement. Your employees and their representatives
must be involved in the recordkeeping system in several ways.
(1) You must inform each employee of how he or she is to report an
injury or illness to you.
(2) You must provide limited access to your injury and illness
records for your employees and their representatives.
(b) Implementation. (1) What must I do to make sure that employees
report work-related injuries and illnesses to me?
(i) You must set up a way for employees to report work-related
injuries and illnesses promptly; and
(ii) You must tell each employee how to report work-related
injuries and illnesses to you.
(2) Do I have to give my employees and their representatives access
to the OSHA injury and illness records? Yes, your employees, former
employees, their personal representatives, and their authorized
employee representatives have the right to access the OSHA injury and
illness records, with some limitations, as discussed below.
(i) Who is an authorized employee representative? An authorized
employee representative is an authorized collective bargaining agent of
employees.
(ii) Who is a ``personal representative'' of an employee or former
employee? A personal representative is:
(A) Any person that the employee or former employee designates as
such, in writing; or
(B) The legal representative of a deceased or legally incapacitated
employee or former employee.
(iii) If an employee or representative asks for access to the OSHA
300 Log, when do I have to provide it? When an employee, former
employee, personal representative, or authorized employee
representative asks for copies of your current or stored OSHA 300
Log(s) for an establishment the employee or former employee has worked
in, you must give the requester a copy of the relevant OSHA 300 Log(s)
by the end of the next business day.
(iv) May I remove the names of the employees or any other
information from the OSHA 300 Log before I give copies to an employee,
former employee, or employee representative? No, you must leave the
names on the 300 Log. However, to protect the privacy of injured and
ill employees, you may not record the employee's name on the OSHA 300
Log for certain ``privacy concern cases,'' as specified in paragraphs
1904.29(b)(6) through 1904.29(b)(9).
(v) If an employee or representative asks for access to the OSHA
301 Incident Report, when do I have to provide it?
(A) When an employee, former employee, or personal representative
asks for a copy of the OSHA 301 Incident Report describing an injury or
illness to that employee or former employee, you must give the
requester a copy of the OSHA 301 Incident Report containing that
information by the end of the next business day.
(B) When an authorized employee representative asks for a copies of
the OSHA 301 Incident Reports for an establishment where the agent
represents employees under a collective bargaining agreement, you must
give copies of those forms to the authorized employee representative
within 7 calendar days. You are only required to give the authorized
employee representative information from the OSHA 301 Incident Report
section titled ``Tell us about the case.'' You must remove all other
information from the copy of the OSHA 301 Incident Report or the
equivalent substitute form that you give to the authorized employee
representative.
(vi) May I charge for the copies? No, you may not charge for these
copies the first time they are provided. However, if one of the
designated persons asks for additional copies, you may assess a
reasonable charge for retrieving and copying the records.
Sec. 1904.36 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.
That provision of the Act 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.
Sec. 1904.37 State recordkeeping regulations.
(a) Basic requirement. Some States operate their own OSHA programs,
under the authority of a State Plan approved by OSHA. States operating
OSHA-approved State Plans must have occupational injury and illness
recording and reporting requirements that are substantially identical
to the requirements in this Part (see 29 CFR 1902.3(k), 29 CFR 1952.4
and 29 CFR 1956.10(i)).
(b) Implementation. (1) State-Plan States must have the same
requirements as Federal OSHA for determining which injuries and
illnesses are recordable and how they are recorded.
(2) For other Part 1904 provisions (for example, industry
exemptions, reporting of fatalities and hospitalizations, record
retention, or employee involvement), State-Plan State requirements may
be more stringent than or supplemental to the Federal requirements, but
because of the unique nature of the national recordkeeping program,
States must consult with and obtain approval of any such requirements.
(3) Although State and local government employees are not covered
Federally, all State-Plan States must provide coverage, and must
develop injury and illness statistics, for these workers. State Plan
recording and reporting requirements for State and local government
entities may differ from those for the private sector but must meet the
requirements of paragraphs 1904.37(b)(1) and (b)(2).
(4) A State-Plan State may not issue a variance to a private sector
employer and must recognize all variances issued by Federal OSHA.
(5) A State Plan State may only grant an injury and illness
recording and reporting variance to a State or local government
employer within the State after obtaining approval to grant the
variance from Federal OSHA.
Sec. 1904.38 Variances from the recordkeeping rule.
(a) Basic requirement. If you wish to keep records in a different
manner from the manner prescribed by the Part 1904 regulations, you may
submit a variance petition to the Assistant Secretary of Labor for
Occupational Safety and Health, U.S. Department of Labor, Washington,
DC 20210. You can obtain
[[Page 6133]]
a variance only if you can show that your alternative recordkeeping
system:
(1) Collects the same information as this Part requires;
(2) Meets the purposes of the Act; and
(3) Does not interfere with the administration of the Act.
(b) Implementation. (1) What do I need to include in my variance
petition? You must include the following items in your petition:
(i) Your name and address;
(ii) A list of the State(s) where the variance would be used;
(iii) The address(es) of the business establishment(s) involved;
(iv) A description of why you are seeking a variance;
(v) A description of the different recordkeeping procedures you
propose to use;
(vi) A description of how your proposed procedures will collect the
same information as would be collected by this Part and achieve the
purpose of the Act; and
(vii) A statement that you have informed your employees of the
petition by giving them or their authorized representative a copy of
the petition and by posting a statement summarizing the petition in the
same way as notices are posted under Sec. 1903.2(a).
(2) How will the Assistant Secretary handle my variance petition?
The Assistant Secretary will take the following steps to process your
variance petition.
(i) The Assistant Secretary will offer your employees and their
authorized representatives an opportunity to submit written data,
views, and arguments about your variance petition.
(ii) The Assistant Secretary may allow the public to comment on
your variance petition by publishing the petition in the Federal
Register. If the petition is published, the notice will establish a
public comment period and may include a schedule for a public meeting
on the petition.
(iii) After reviewing your variance petition and any comments from
your employees and the public, the Assistant Secretary will decide
whether or not your proposed recordkeeping procedures will meet the
purposes of the Act, will not otherwise interfere with the Act, and
will provide the same information as the Part 1904 regulations provide.
If your procedures meet these criteria, the Assistant Secretary may
grant the variance subject to such conditions as he or she finds
appropriate.
(iv) If the Assistant Secretary grants your variance petition, OSHA
will publish a notice in the Federal Register to announce the variance.
The notice will include the practices the variance allows you to use,
any conditions that apply, and the reasons for allowing the variance.
(3) If I apply for a variance, may I use my proposed recordkeeping
procedures while the Assistant Secretary is processing the variance
petition? No, alternative recordkeeping practices are only allowed
after the variance is approved. You must comply with the Part 1904
regulations while the Assistant Secretary is reviewing your variance
petition.
(4) If I have already been cited by OSHA for not following the Part
1904 regulations, will my variance petition have any effect on the
citation and penalty? No, in addition, the Assistant Secretary may
elect not to review your variance petition if it includes an element
for which you have been cited and the citation is still under review by
a court, an Administrative Law Judge (ALJ), or the OSH Review
Commission.
(5) If I receive a variance, may the Assistant Secretary revoke the
variance at a later date? Yes, the Assistant Secretary may revoke your
variance if he or she has good cause. The procedures revoking a
variance will follow the same process as OSHA uses for reviewing
variance petitions, as outlined in paragraph 1904.38(b)(2). Except in
cases of willfulness or where necessary for public safety, the
Assistant Secretary will:
(i) Notify you in writing of the facts or conduct that may warrant
revocation of your variance; and
(ii) Provide you, your employees, and authorized employee
representatives with an opportunity to participate in the revocation
procedures.
Subpart E--Reporting Fatality, Injury and Illness Information to
the Government
Sec. 1904.39 Reporting fatalities and multiple hospitalization
incidents to OSHA.
(a) Basic requirement. Within eight (8) hours after the death of
any employee from a work-related incident or the in-patient
hospitalization of three or more employees as a result of a work-
related incident, you must orally report the fatality/multiple
hospitalization by telephone or in person to the Area Office of the
Occupational Safety and Health Administration (OSHA), U.S. Department
of Labor, that is nearest to the site of the incident. You may also use
the OSHA toll-free central telephone number, 1-800-321-OSHA (1-800-321-
6742).
(b) Implementation. (1) If the Area Office is closed, may I report
the incident by leaving a message on OSHA's answering machine, faxing
the area office, or sending an e-mail? No, if you can't talk to a
person at the Area Office, you must report the fatality or multiple
hospitalization incident using the 800 number.
(2) What information do I need to give to OSHA about the incident?
You must give OSHA the following information for each fatality or
multiple hospitalization incident:
(i) The establishment name;
(ii) The location of the incident;
(iii) The time of the incident;
(iv) The number of fatalities or hospitalized employees;
(v) The names of any injured employees;
(vi) Your contact person and his or her phone number; and
(vii) A brief description of the incident.
(3) Do I have to report every fatality or multiple hospitalization
incident resulting from a motor vehicle accident? No, you do not have
to report all of these incidents. If the motor vehicle accident occurs
on a public street or highway, and does not occur in a construction
work zone, you do not have to report the incident to OSHA. However,
these injuries must be recorded on your OSHA injury and illness
records, if you are required to keep such records.
(4) Do I have to report a fatality or multiple hospitalization
incident that occurs on a commercial or public transportation system?
No, you do not have to call OSHA to report a fatality or multiple
hospitalization incident if it involves a commercial airplane, train,
subway or bus accident. However, these injuries must be recorded on
your OSHA injury and illness records, if you are required to keep such
records.
(5) Do I have to report a fatality caused by a heart attack at
work? Yes, your local OSHA Area Office director will decide whether to
investigate the incident, depending on the circumstances of the heart
attack.
(6) Do I have to report a fatality or hospitalization that occurs
long after the incident? No, you must only report each fatality or
multiple hospitalization incident that occurs within thirty (30) days
of an incident.
(7) What if I don't learn about an incident right away? If you do
not learn of a reportable incident at the time it occurs and the
incident would otherwise be reportable under paragraphs (a) and (b) of
this section, you must make the report within eight (8) hours of the
time the incident is reported to you or to any of your agent(s) or
employee(s).
[[Page 6134]]
Sec. 1904.40 Providing records to government representatives.
(a) Basic requirement. When an authorized government representative
asks for the records you keep under Part 1904, you must provide copies
of the records within four (4) business hours.
(b) Implementation. (1) What government representatives have the
right to get copies of my Part 1904 records? The government
representatives authorized to receive the records are:
(i) A representative of the Secretary of Labor conducting an
inspection or investigation under the Act;
(ii) A representative of the Secretary of Health and Human Services
(including the National Institute for Occupational Safety and Health--
NIOSH) conducting an investigation under section 20(b) of the Act, or
(iii) A representative of a State agency responsible for
administering a State plan approved under section 18 of the Act.
(2) Do I have to produce the records within four (4) hours if my
records are kept at a location in a different time zone? OSHA will
consider your response to be timely if you give the records to the
government representative within four (4) business hours of the
request. If you maintain the records at a location in a different time
zone, you may use the business hours of the establishment at which the
records are located when calculating the deadline.
Sec. 1904.41 Annual OSHA injury and illness survey of ten or more
employers.
(a) Basic requirement. If you receive OSHA's annual survey form,
you must fill it out and send it to OSHA or OSHA's designee, as stated
on the survey form. You must report the following information for the
year described on the form:
(1) the number of workers you employed;
(2) the number of hours worked by your employees; and
(3) the requested information from the records that you keep under
Part 1904.
(b) Implementation. (1) Does every employer have to send data to
OSHA? No, each year, OSHA sends injury and illness survey forms to
employers in certain industries. In any year, some employers will
receive an OSHA survey form and others will not. You do not have to
send injury and illness data to OSHA unless you receive a survey form.
(2) How quickly do I need to respond to an OSHA survey form? You
must send the survey reports to OSHA, or OSHA's designee, by mail or
other means described in the survey form, within 30 calendar days, or
by the date stated in the survey form, whichever is later.
(3) Do I have to respond to an OSHA survey form if I am normally
exempt from keeping OSHA injury and illness records? Yes, even if you
are exempt from keeping injury and illness records under Sec. 1904.1 to
Sec. 1904.3, OSHA may inform you in writing that it will be collecting
injury and illness information from you in the following year. If you
receive such a letter, you must keep the injury and illness records
required by Sec. 1904.5 to Sec. 1904.15 and make a survey report for
the year covered by the survey.
(4) Do I have to answer the OSHA survey form if I am located in a
State-Plan State? Yes, all employers who receive survey forms must
respond to the survey, even those in State-Plan States.
(5) Does this section affect OSHA's authority to inspect my
workplace? No, nothing in this section affects OSHA's statutory
authority to investigate conditions related to occupational safety and
health.
Sec. 1904.42 Requests from the Bureau of Labor Statistics for data.
(a) Basic requirement. If you receive a Survey of Occupational
Injuries and Illnesses Form from the Bureau of Labor Statistics (BLS),
or a BLS designee, you must promptly complete the form and return it
following the instructions contained on the survey form.
(b) Implementation. (1) Does every employer have to send data to
the BLS? No, each year, the BLS sends injury and illness survey forms
to randomly selected employers and uses the information to create the
Nation's occupational injury and illness statistics. In any year, some
employers will receive a BLS survey form and others will not. You do
not have to send injury and illness data to the BLS unless you receive
a survey form.
(2) If I get a survey form from the BLS, what do I have to do? If
you receive a Survey of Occupational Injuries and Illnesses Form from
the Bureau of Labor Statistics (BLS), or a BLS designee, you must
promptly complete the form and return it, following the instructions
contained on the survey form.
(3) Do I have to respond to a BLS survey form if I am normally
exempt from keeping OSHA injury and illness records? Yes, even if you
are exempt from keeping injury and illness records under Sec. 1904.1 to
Sec. 1904.3, the BLS may inform you in writing that it will be
collecting injury and illness information from you in the coming year.
If you receive such a letter, you must keep the injury and illness
records required by Sec. 1904.5 to Sec. 1904.15 and make a survey
report for the year covered by the survey.
(4) Do I have to answer the BLS survey form if I am located in a
State-Plan State? Yes, all employers who receive a survey form must
respond to the survey, even those in State-Plan States.
Subpart F--Transition From the Former Rule
Sec. 1904.43 Summary and posting of the 2001 data.
(a) Basic requirement. If you were required to keep OSHA 200 Logs
in 2001, you must post a 2000 annual summary from the OSHA 200 Log of
occupational injuries and illnesses for each establishment.
(b) Implementation. (1) What do I have to include in the summary?
(i) You must include a copy of the totals from the 2001 OSHA 200
Log and the following information from that form:
(A) The calendar year covered;
(B) Your company name;
(C) The name and address of the establishment; and
(D) The certification signature, title and date.
(ii) If no injuries or illnesses occurred at your establishment in
2001, you must enter zeros on the totals line and post the 2001
summary.
(2) When am I required to summarize and post the 2001 information?
(i) You must complete the summary by February 1, 2002; and
(ii) You must post a copy of the summary in each establishment in a
conspicuous place or places where notices to employees are customarily
posted. You must ensure that the summary is not altered, defaced or
covered by other material.
(3) You must post the 2001 summary from February 1, 2002 to March
1, 2002.
Sec. 1904.44 Retention and updating of old forms.
You must save your copies of the OSHA 200 and 101 forms for five
years following the year to which they relate and continue to provide
access to the data as though these forms were the OSHA 300 and 301
forms. You are not required to update your old 200 and 101 forms.
Sec. 1904.45 OMB control numbers under the Paperwork Reduction Act
The following sections each contain a collection of information
requirement which has been approved by the Office of Management and
Budget under the control number listed
[[Page 6135]]
------------------------------------------------------------------------
OMB
29 CFR citation Control
No.
------------------------------------------------------------------------
1904.4-35................................................... 1218-0176
1904.39-41.................................................. 1218-0176
1904.42..................................................... 1220-0045
1904.43-44.................................................. 1218-0176
------------------------------------------------------------------------
Subpart G--Definitions
Sec. 1904.46 Definitions
The Act. The Act means the Occupational Safety and Health Act of
1970 (29 U.S.C. 651 et seq.). The definitions contained in section 3 of
the Act (29 U.S.C. 652) and related interpretations apply to such terms
when used in this Part 1904.
Establishment. An establishment is a single physical location where
business is conducted or where services or industrial operations are
performed. For activities where employees do not work at a single
physical location, such as construction; transportation;
communications, electric, gas and sanitary services; and similar
operations, the establishment is represented by main or branch offices,
terminals, stations, etc. that either supervise such activities or are
the base from which personnel carry out these activities.
(1) Can one business location include two or more establishments?
Normally, one business location has only one establishment. Under
limited conditions, the employer may consider two or more separate
businesses that share a single location to be separate establishments.
An employer may divide one location into two or more establishments
only when:
(i) Each of the establishments represents a distinctly separate
business;
(ii) Each business is engaged in a different economic activity;
(iii) No one industry description in the Standard Industrial
Classification Manual (1987) applies to the joint activities of the
establishments; and
(iv) Separate reports are routinely prepared for each establishment
on the number of employees, their wages and salaries, sales or
receipts, and other business information. For example, if an employer
operates a construction company at the same location as a lumber yard,
the employer may consider each business to be a separate establishment.
(2) Can an establishment include more than one physical location?
Yes, but only under certain conditions. An employer may combine two or
more physical locations into a single establishment only when:
(i) The employer operates the locations as a single business
operation under common management;
(ii) The locations are all located in close proximity to each
other; and
(iii) The employer keeps one set of business records for the
locations, such as records on the number of employees, their wages and
salaries, sales or receipts, and other kinds of business information.
For example, one manufacturing establishment might include the main
plant, a warehouse a few blocks away, and an administrative services
building across the street.
(3) If an employee telecommutes from home, is his or her home
considered a separate establishment? No, for employees who telecommute
from home, the employee's home is not a business establishment and a
separate 300 Log is not required. Employees who telecommute must be
linked to one of your establishments under Sec. 1904.30(b)(3).
Injury or illness. An injury or illness is an abnormal condition or
disorder. Injuries include cases such as, but not limited to, a cut,
fracture, sprain, or amputation. Illnesses include both acute and
chronic illnesses, such as, but not limited to, a skin disease,
respiratory disorder, or poisoning. (Note: Injuries and illnesses are
recordable only if they are new, work-related cases that meet one or
more of the Part 1904 recording criteria.)
Physician or Other Licensed Health Care Professional. A physician
or other licensed health care professional is an individual whose
legally permitted scope of practice (i.e., license, registration, or
certification) allows him or her to independently perform, or be
delegated the responsibility to perform, the activities described by
this regulation.
You. ``You'' means an employer as defined in Section 3 of the
Occupational Safety and Health Act of 1970 (29 U.S.C. 652).
PART 1952--[AMENDED]
2. The authority citation for Part 1952 is revised to read as
follows:
Authority: 29 U.S.C. 667; 29 CFR part 1902, Secretary of Labor's
Order No. 1-90 (55 FR 9033) and 6-96 (62 FR 111).
3. Section 1952.4 is revised to read as follows:
Sec. 1952.4 Injury and illness recording and reporting requirements.
(a) Injury and illness recording and reporting requirements
promulgated by State-Plan States must be substantially identical to
those in 29 CFR part 1904 ``Recording and Reporting Occupational
Injuries and Illnesses.'' State-Plan States must promulgate recording
and reporting requirements that are the same as the Federal
requirements for determining which injuries and illnesses will be
entered into the records and how they are entered. All other injury and
illness recording and reporting requirements that are promulgated by
State-Plan States may be more stringent than, or supplemental to, the
Federal requirements, but, because of the unique nature of the national
recordkeeping program, States must consult with OSHA and obtain
approval of such additional or more stringent reporting and recording
requirements to ensure that they will not interfere with uniform
reporting objectives. State-Plan States must extend the scope of their
regulation to State and local government employers.
(b) A State may not grant a variance to the injury and illness
recording and reporting requirements for private sector employers. Such
variances may only be granted by Federal OSHA to assure nationally
consistent workplace injury and illness statistics. A State may only
grant a variance to the injury and illness recording and reporting
requirements for State or local government entities in that State after
obtaining approval from Federal OSHA.
(c) A State must recognize any variance issued by Federal OSHA.
(d) A State may, but is not required, to participate in the Annual
OSHA Injury/Illness Survey as authorized by 29 CFR 1904.41. A
participating State may either adopt requirements identical to 1904.41
in its recording and reporting regulation as an enforceable State
requirement, or may defer to the Federal regulation for enforcement.
Nothing in any State plan shall affect the duties of employers to
comply with 1904.41, when surveyed, as provided by section 18(c)(7) of
the Act.
[FR Doc. 01-725 Filed 1-18-01; 8:45 am]
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