Federal Register Federal Register [07/08/1999] #64:36926-36927
Proposed Information Collection Request Submitted for Public Comment and Recommendations; 29 CFR Part 1904, Recording and Reporting Occupational Injuries and Illnesses (1218-0176)

A. Justification

1. Explain the circumstances that make the collection of information necessary. Identify any legal or administrative requirements that necessitate the collection. Attach a copy of the appropriate section of each statute and regulation mandating or authorizing the collection of information.

Public Law 91-596, the Occupational Safety and Health Act of 1970, section 24(a) states that:

The Secretary. . .shall develop and maintain an effective program of collection, compilation, and analysis of occupational safety and health statistics.


. . .the Secretary may promote, encourage, or directly engage in programs of studies, information and communication concerning occupational safety and health statistics.

Section 8(c)(2) of the OSH Act also prescribes that:

The Secretary shall prescribe regulations requiring employers to maintain accurate records of and to make periodic reports on, work-related deaths, injuries and illnesses. . .

Recordkeeping regulations are contained in Title 29 of the Code of Federal Regulations (CFR) Part 1904. Copies of the appropriate sections of the OSH Act and 29 CFR Part 1904 are included in Attachments 1 and 2.

Recordkeeping forms were promulgated under 29 CFR Part 1904, were simplified in 1978, and now consist of the OSHA No. 200, the Log and Summary of Occupational Injuries and Illnesses (Attachment 3) and the OSHA No. 101, the Supplementary Record of Occupational Injuries and Illnesses (Attachment 4). The Recordkeeping Guidelines for Occupational Injuries and Illnesses (Attachment 5), were published in 1986 to assist employers in fulfilling their duties to maintain these forms by providing supplemental instructions for completing the recordkeeping forms. These guidelines represent the Department of Labor's official interpretations of employer recordkeeping requirements under the OSH Act. The use of the recordkeeping forms and recordkeeping guidelines by employers helps to ensure the uniformity of the safety and health data utilized by BLS and OSHA.

2. Indicate how, by whom, and for what purpose the information is to be used. Except for a new collection, indicate the actual use the agency has made of the information received from the current collection.

The OSHA No. 200, Log and Summary; the OSHA No. 101, Supplementary Record; and the recordkeeping guidelines provide employers with the means and specific instructions needed to maintain records of work-related injuries and illnesses. Response to this collection of information is mandatory for employers covered by the regulations, as specified in 29 CFR Part 1904. Approximately 635,239 employers with 1,086,264 establishments are regularly required to maintain the forms, although roughly 35 percent of these establishments will not have a recordable case in any given year and will only have to post the summary part of the OSHA No. 200.

Employers required to keep the occupational injury and illness records pursuant to 29 CFR Part 1904 must maintain the required records at each establishment, and comply with the annual posting requirements of 29 CFR 1904.5 These employers are also required to comply with the access requirements of 29 CFR 1904.7, which provide access to records kept pursuant to 29 CFR 1904.2, 1904 .4 and 1904.5, to representatives of the Secretaries of Labor, and Health and Human Services, and to representatives of a State, under certain circumstances. The access provisions also require that employers provide access to the log and summary for employees, former employees and their representatives.

The records kept pursuant to Part 1904 are used for many purposes. Generally, hard data are necessary to define the nature and extent of existing occupational health and safety problems, or lack thereof. Hard data on occupational injuries and illnesses provide a baseline for use in evaluating efforts to solve existing health and safety problems. Accurate worksite data are indispensable for use in outcome-oriented efforts to improve the safety and health of America's workers.

Specifically, the records kept pursuant to Part 1904 are used by government, employers and employees, academia, corporations, trade associations, labor organizations, and the general public. The records required under this information collection request (OSHA No. 200 and OSHA No. 101) provide the baseline data for employer response to the OSHA Data Initiative which is covered under OMB control number 1218-0209. OSHA uses the information gathered from Part 1904 records during its annual data collection initiative to target its programed inspections and comply with the Government Performance and Results Act (GPRA). OSHA also uses information provided in individual employer's Part1904 records when its compliance officers review them as a part of an on-site OSHA inspection. The information in the records can provide a roadmap for the compliance officer to focus the inspection on the most hazardous aspects of the operation. In short, accurate records are necessary for the optimal prioritization of the use of OSHA's scarce resources.

In addition to OSHA, others use information generated by the Part 1904 records. The Bureau of Labor Statistics (BLS) uses the information collected from the Part 1904 records of participants in its annual statistical survey (which is covered under a separate PRA approval) to produce national statistics on occupational injuries and illnesses. Employers and employees use the records to see -- in a snapshot -- the health and safety record for the establishment. The records provide accurate injury and illness information for each worksite, information which is indispensable for use by the employer as well as employees in accomplishing data-based problem solving and hazard identification to improve the health and safety of the worksite.

3. Describe whether, and to what extent, the collection of information involves the use of automated, electronic, mechanical, or other technological collection techniques or other forms of information technology, e.g., permitting electronic submission of responses, and the basis for the decision for adopting this means of collection. Also describe any consideration of using information technology to reduce burden.

This information collection request does not require respondents to submit the recorded information to the Agency; it only requires that employers maintain, in their establishments, the required records. Section 1904.17 of Part 29 of the CFR, Annual OSHA Injury and Illness Survey of Ten or More Employees, requires selected employers to participate in OSHA's annual survey and is covered by a separate information collection request under OMB Control Number 1218-0209.

Employers may maintain the required Part 1904 records using computers, if the computerized forms contain the same detail and are as readable and comprehensible to the average person as are the Part 1904 forms. Use of such technology, including the advantages of centralization, has greatly reduced employer burden. Rules regarding the use of data processing equipment are explained in detail in the recordkeeping guidelines and in opinion letters (see, for example, interpretation letter to the Organization Resources Counselors, Inc. dated April 3, 1998).

4. Describe efforts to identify duplication. Show specifically why any similar information already available cannot be used or modified for use for the purposes described in Item 2 above.

OSHA knows of no similar data that are comparable to the data recorded on the OSHA No. 200 Log and Summary. Workers' compensation data are not a viable substitute for the data required by Part 1904 because State workers' compensation regulations that define which injuries and illnesses are compensable vary. Furthermore, workers' compensation data are not made available to OSHA by every State.

The OSHA No. 200 and the OSHA No. 101 do not duplicate any existing federal documents. For each recordable occupational injury or illness, as defined by 29 CFR Part 1904.12(c), an employer must complete a line item on OSHA No. 200 and also complete the form OSHA No. 101. Employers may use State workers' compensation forms in lieu of the OSHA No. 101 if the State forms contain all the information required by the OSHA No. 101 or are supplemented to do so. Presently OSHA estimates that 82 percent of employers use State workers' compensation forms in lieu of the OSHA No. 101.

The recordkeeping guidelines were written specifically to supplement the instructions to the OSHA Forms Nos. 200 and 101, and do not duplicate any other documents. The Bureau of Labor Statistics issued the recordkeeping guidelines in 1986 in response to overwhelming demand by employers and trade associations for the Bureau to expand substantially its instructions for completing the recordkeeping forms.

5. If the collection of information impacts small businesses or other small entities (Item 5 of OMB Form 83-I), describe any methods used to minimize burden.

Small employers with fewer than 11 employees in all sectors of the economy and all employers in certain standard industrial classifications are exempt from OSHA recordkeeping unless pre-notified in writing that they must participate in the BLS Annual Survey of Occupational Injuries and Illnesses, OMB No. 1220-0045 or the OSHA Occupational Injury and Illness Data Collection, OMB No. 1218-0209. See 29 CFR 1904.15-17. Of the 6.5 million establishments covered by OSHA and the State Plans, approximately 5.4 million fall under these exemptions. These exemptions do not apply to the reporting requirement that employers must orally report to OSHA a fatality or multiple hospitalization as a result of a work-related incident. See 29 CFR 1904.8. (Note: The reporting requirements of 1904.8 fall under OMB Control Number 1218-0007.)

6. Describe the consequence to Federal program or policy activities if the collection is not conducted or is conducted less frequently, as well as any technical or legal obstacles to reducing burden.

Efforts to fulfill the Congressional mandate to assure "safe and healthful working conditions for working men and women . . ." would be severely hampered if OSHA did not require employers to maintain the records required by Part 1904, or if OSHA required that the records be kept on less than an annual basis. As explained more fully above in answer to question 2, the records kept pursuant to Part 1904 are used for many purposes. The absence of these records, or any change in the system which would result in less frequent generation of these records, would adversely impact many programs. The government and private sector's ability to define -- using hard data -- the nature and extent of existing occupational safety and health problems, and to evaluate occupational safety and health programs, would be severely hampered.

Specifically, OSHA and BLS would be unable to continue their respective annual collections of information generated from the Part 1904 records, and thus their respective programs that utilize that data -- such as OSHA's programmed inspection program, compliance with GPRA, and BLS's generation of national occupational injury and illness statistics -- would be irreprically harmed. OSHA compliance officers would not have the benefit of current Part 1904 records which help to focus their on-site inspections more effectively. In short, OSHA's ability to optimize the use of its scarce resources would be crippled. Furthermore, employers and employees would also lose a valuable resource -- an up-to-date "snapshot" of the safety and health record for the establishment -- if the Part 1904 records ceased to exist, or were maintained on a less frequent basis.

7. Explain any special circumstances that would cause an information collection to be conducted in a manner:

  • requiring respondents to report information to the agency more often than quarterly;

  • requiring respondents to prepare a written response to a collection of information in fewer than 30 days after receipt of it;

  • requiring respondents to submit more than an original and two copies of any document;

  • requiring respondents to retain records, other than health, medical, government contract, grant-in-aid, or tax records for more than three years;

  • in connection with a statistical survey, that is not designed to produce valid and reliable results that can be generalized to the universe of study;

  • requiring the use of a statistical data classification that has not been reviewed and approved by OMB;

  • that includes a pledge of confidentiality that is not supported by authority established in statute or regulation, that is not supported by disclosure and data security policies that are consistent with the pledge, or which unnecessarily impedes sharing of data with other agencies for compatible confidential use; or

  • requiring respondents to submit proprietary trade secret, or other confidential information unless the agency can demonstrate that it has instituted procedures to protect the information's confidentiality to the extent permitted by law.

In some circumstances the information recorded in compliance with Part 1904 may contain confidential information. OSHA considers such information to be potentially confidential, and, as appropriate, follows the procedures set forth in 29 CFR 70.26, which require OSHA to contact the employer which submitted the information prior to any potential release under the Freedom of Information Act, 5 U.S.C. § 552(b)(4). Additionally, Section 15 of the OSH Act protects the confidentiality of trade secrets. 29 U.S.C. § 664. See also 18 U.S.C. § 1905.

8. If applicable, provide a copy and identify the date and page number of publication in the Federal Register of the agency's notice, required by 5 CFR 1320.8(d), soliciting comments on the information collection prior to submission to OMB. Summarize public comments received in response to that notice and describe actions taken by the agency in response to these comments. Specifically address comments received on cost and hour burden.

Describe efforts to consult with persons outside the agency to obtain their views on the availability of data, frequency of collection, the clarity of instructions and recordkeeping, disclosure, or reporting format (if any), and on the data elements to be recorded, disclosed, or reported.

Consultation with representatives of those from whom information is to be obtained or those who must compile records should occur at least once every 3 years -- even if the collection of information activity is the same as in prior periods. There may be circumstances that may preclude consultation in a specific situation. These circumstances should be explained.

OSHA will address the comments received in response to this request for comment.

9. Explain any decision to provide any payment or gift to respondents, other than reenumeration of contractors or grantees.

Respondents will not receive any payments or gifts.

10. Describe any assurance of confidentiality provided to respondents and the basis for the assurance in statute, regulation, or agency policy.

There is no assurance of confidentiality related to these forms and documents. In the vast majority of cases the records are kept by the employer at the workplace and are never submitted to OSHA or other government representatives. While in the possession of the employer, the records are subject to the requirements for access outlined in 29 CFR Part 1904.7. (See Attachment 2) Records obtained by OSHA or other federal government representatives would only be disclosed by the government in accordance with the Freedom of Information Act (FOIA). Exemption 4 of FOIA protects "trade secrets and commercial or financial information obtained from a person [that is] privileged or confidential." See 5 U.S.C. § 552(b)(4). Exemption 6 of FOIA enables an agency to exempt certain information from disclosure which would be "a clearly unwarranted invasion of personal privacy." See 5 U.S.C. §552(b)(6).

11. Provide additional justification for any questions of a sensitive nature, such as sexual behavior and attitudes, religious beliefs, and other matters that are commonly considered private. This justification should include the reasons why the agency considers the questions necessary, the specific uses to be made of the information, the explanation to be given to persons form whom the information is requested, and any steps to be taken to obtain their consent.

No sensitive questions are asked.

12. Provide estimates of the hour burden of the collection of information. The statement should:

  • Indicate the number of respondents, frequency of response, annual hour burden, and an explanation of how the burden was estimated. Unless directed to do so, agencies should not conduct special surveys to obtain information on which to base hour burden estimates. Consultation with a sample (fewer than 10) of potential respondents is desirable. If the hour burden on respondents is expected to vary widely because of differences in activity, size, or complexity, show the range of estimated hour burden, and explain the reasons for the variance. Generally, estimates should not include burden hours for customary and usual business practices.

  • If this request for approval covers more than one form, provide separate hour burden estimates for each form and aggregate the hour burdens in Item 13 of OMB Form 83-I.

  • Provide estimates of annualized cost to respondents for the hour burdens for collections of information, identifying and using appropriate wage rate categories. The cost of contracting out or paying outside parties for information collection activities should not be included here. Instead, this cost should be included in Item 14.

Estimates of the total burden of injury and illness recordkeeping is dependent on the number of recordable cases and varies from year-to-year. The case data used to develop the burden estimates in the table which follows are based on injury and illness statistics from the 1997 BLS Annual Survey. The establishment data are based on the 1996 Small Business Administration enterprise data base. The following assumptions used to develop the burden estimates were generated from consultation with current respondents:

A) Time required to complete an entry on the OSHA 200 (including research in the recordkeeping guidelines) ranges from 4 minutes to 30 minutes and averages 15 minutes;

B) Time required to complete an entry on the OSHA 101 (including research in the recordkeeping guidelines) averages 20 minutes;

C) OSHA estimates that about 18 percent of the cases are recorded using the OSHA No. 101, because most employers use a comparable State workers' compensation form. This estimate is based on information obtained during approximately 400 recordkeeping audit inspections.

Employers are required by 29 CFR 1904.5 to complete and post a summary of occupational injuries and illnesses for each establishment. This applies to the 1,086,264 establishments covered by the regulation, regardless of whether the establishment experienced a recordable case or not.

Employers are also required by 29 CFR 1904.7 to make records available to employees, former employees and employee representatives upon request. OSHA assumes that employers will require two minutes to pull the relevant form and make it available to the person requesting access. OSHA estimates there are approximately 108,000 employee requests to access the OSHA Form 200. This estimate is based on information obtained during approximately 400 recordkeeping audit inspections.

OSHA estimates the turnover of personnel is such that about 20 percent of recordkeeping personnel must learn the basics of the recordkeeping system every year (217,253 establishments). OSHA also estimates that new personnel will require a 30-minute orientation to learn the basics of the recordkeeping system.

The recordkeeping burden varies greatly from establishment-to-establishment, depending upon industry, size, expertise, the use of equivalent forms and computer resources. For example, an experienced record keeper may record many cases without referencing the recordkeeping guidelines. An inexperienced record keeper may need to make much greater use of the guidelines.

Another important factor to be considered is that an establishment in a high-risk industry such as meatpacking may have 300 recordable cases in one year requiring 300 line entries on the OSHA No. 200 log, while a telephone communications company establishment of the same size would average approximately 20 recordable cases. Based on BLS survey data, OSHA estimates that approximately 65 percent of the 1,086,264 employers' establishments maintaining records experience one or more recordable cases.

Estimated Burden Hours

Actions Number of cases Unit hours per case Total burden hours
Complete OSHA 101 (Includes research of instructions and case details to complete the form) 841,618* .33 (1/3) 277,734
Complete OSHA 200 (Includes research of instructions and case details to complete the form) 4,675,654** .25 (1/4) 1,168,913
Employee Access to the OSHA Form 200 108,000 .033 (2/60) 3,564
Learning Basics of the Recordkeeping System -
217,253*** .50 (1/2) 108,627
Fixed Cost
(Set-up, Summary, and Posting of OSHA 200)
1,086,264**** .166 (1/6) 180,319
Total Burden Hours 1,739,157

*Estimate based on 18% of cases recorded on OSHA Form 200
**Estimates of recordable cases from the 1997 Annual Survey of Occupational Injuries and Illnesses.
***Estimated annual turnover rate of 20%
****Estimated number of establishments from the Small Business Administration's 1996 Enterprise Data Base

The average hourly rate (including benefits) for a safety and health professional is estimated to be $18.44. Total annualized cost to respondents is estimated to be $32,070,055.

13. Provide an estimate of the total annual cost burden to respondents or record keepers resulting from the collection of information. (Do not include the cost of any hour burden shown in Items 12 and 14).

  • The cost estimate should be split into two components: (a) a total capital and start-up cost component (annualized over its expected useful life); and (b) a total operation and maintenance and purchase of services component. The estimates should take into account costs associated with generating, maintaining, and disclosing or providing the information. Include descriptions of methods used to estimate major cost factors including system and technology acquisition, expected useful life of capital equipment, the discount rate(s), and the time period over which costs will be incurred. Capital and start-up costs include, among other items, preparations for collecting information such as purchasing computers and software; monitoring, sampling, drilling and testing equipment; and record storage facilities.

  • If cost estimates are expected to vary widely, agencies should present ranges of cost burdens and explain the reasons for the variance. The cost of purchasing or contracting out information collection services should be a part of this cost burden estimate. In developing cost burden estimates, agencies may consult with a sample of respondents (fewer than 10), utilize the 60-day pre-OMB submission public comment process and use existing economic or regulatory impact analysis associated with the rulemaking containing the information collection, as appropriate.

  • Generally, estimates should not include purchases of equipment or services, or portions thereof, made: (1) prior to October 1, 1995, (2) to achieve regulatory compliance with requirements not associated with the information collection, (3) for reasons other than to provide information or keep records for the government, or (4) as part of customary and usual business or private practices.

All of the costs to the regulated community are included in item 12.

14. Provide estimates of annualized cost to the Federal government. Also, provide a description of the method used to estimate cost, which should include quantification of hours, operational expenses (such as equipment, overhead, printing, and support staff), and any other expense that would not have been incurred without this collection of information. Agencies also may aggregate cost estimates from Items 12, 13, and 14 in a single table.

OSHA estimates a total cost to the government of $375,682. This cost is comprised of two components, printing costs for the forms and Guidelines and salary costs for government personnel.

OSHA estimates the printing cost for 1999 will be $16,000.

Document Cost
OSHA Log and Summary $5,000
OSHA Incident record $1,000
Guidelines $10,000
Total Printing Cost $16,000

The following table represents the level of government personnel assigned to this information collection by grade level and estimated annual time spent upon this project.

Grade Level Wage Rate Annual Hours spent Total Dollar Cost
1 GS 15 $40.60 2000 $81,200
2 GS 14 $34.52 2000 $69,040
1 GS 12 $25.57 2000 $51,140
GS 12 - CSHO $27.45 2,833 inspection hours $77,766
9 GS 11 $20.50 200 $36,900
1 GS 9 $16.94 200 $3,388
GS 5 $11.18 3,600 office hours $40,248
Total Personnel Cost $359,682

15. Explain the reasons for any program changes or adjustments reporting in Items 13 or 14 of the OMB Form 83-I.

The adjustments to items 13 and 14 of OMB Form 83-I are primarily due to changes in OSHA's estimate of the number of establishments covered by the requirements and the number of injuries and illness recorded on the forms. OSHA uses the Small Business Administration's enterprise data base to estimate the number of establishments required to maintain the OSHA injury and illness forms. This year's estimate of the number of establishments is based on the 1996 enterprise data base. A 1995 data base was used last year. OSHA uses the Bureau of Labor Statistics' annual occupational injury and illness survey to estimate the number of cases recorded by employers required to maintain the injury and illness records. This year's estimate of the number of recorded injuries and illnesses is based on the 1997 BLS survey. Last year's estimates were based on the 1996 BLS survey.

OSHA has also adjusted its estimate of the percentage of employers who use the OSHA Form 101 from 15% to 18% and its estimate of employee requests of access to the OSHA Form 200 from 444,000 to 108,000. These adjustments are based on data obtained from approximately 400 recordkeeping audits performed over the past two years.

16. For collections of information whose results will be published, outline plans for tabulation, and publication. Address any complex analytical techniques that will be used. Provide the time schedule for the entire project, including beginning and ending dates of the collection of information, completion of report, publication dates, and other actions.

Data collected on these forms are not published by OSHA. Estimates of occupational injuries and illnesses are published based on the results of the BLS Annual Survey of Occupational Injuries and Illnesses (OMB No. 1220-0045).

17. If seeking approval to not display the expiration date for OMB approval of the information collection, explain the reasons that display would be inappropriate.

Such approval is not being sought.

18. Explain each exception to the certification statement identified in Item 19, "Certification for Paperwork Reduction Act Submission," of OMB 83-I.

There are no exceptions to the certification statement identified in item 19, "Certification for Paperwork Reduction Act Submission," of OMB 83-I.

B. Collection Methods

This collection does not employ statistical methods.

[Editorial Note: for Attachments call Barabara Bielaski at (202) 219-4690]