A Brief Guide To Recordkeeping Requirements For Occupational Injuries And Illnesses
We will issue our final recordkeeping rule in 2001.
As a result, the new rule will not go into effect until January 2002. That will give everyone time to make the necessary changes to their systems. It's critical to the success of the new recordkeeping system for people to have the training and support they need to help them learn the differences. But to do it right, we need -- and employers and state OSHA programs need -- more than a couple of months to gear up.
The new rule will offer clearer definitions of work-relatedness, a better explanation of what constitutes light duty and a much improved and simpler recordkeeping form.
O.M.B. No. 1218-0176
The information in this pamphlet explains the requirements of the Occupational Safety and Health Act of 1970 and Title 29 of the Code of Federal Regulations, Part 1904 (29 CFR Part 1904) for recording and reporting occupational injuries and illnesses. The Occupational Safety and Health Act of 1970 and 29 CFR Part 1904 require employers to prepare and maintain records of occupational injuries and illnesses. The act made the Secretary of Labor responsible for the collection, compilation, and analysis of statistics of work-related injuries and illnesses. The Bureau of Labor Statistics (BLS) administers this recordkeeping and reporting system. In most States, a State agency cooperates with BLS in administering these programs.
Records of injuries and illnesses are necessary for carrying out the purposes of the act. They provide a basis for a statistical program which produces injury and illness data which are used by OSHA in measuring and directing the agency's efforts. The records are also helpful to employers and employees in identifying many of the factors which cause. injuries or illnesses in the workplace. In addition, OSHA records are designed to assist safety and health compliance officers in making OSHA inspections.
This pamphlet summarizes the OSHA recordkeeping requirements of 29 CFR Part 1904, and provides basic instructions and guidelines to assist employers in fulfilling their recordkeeping and reporting obligations. Many specific standards and regulations of the Occupational Safety and Health Administration (OSHA) have additional requirements for the maintenance and retention of records of medical surveillance, exposure monitoring, inspections, accidents and other activities and incidents relevant to occupational safety and health, and for the reporting of certain information to employees and to OSHA. These additional requirements are not covered in this pamphlet. For information on these requirements, employers should refer directly to the OSHA standards or regulations or contact their OSHA Area Office.
Further information on the requirements outlined in this pamphlet is available in the free detailed report, Recordkeeping Guidelines for Occupational Injuries and Illnesses, which may be obtained by using the order form on page 18. Assistance can also be obtained by contacting the participating State agency or the BLS regional office for your area.
The following government agencies are involved in OSHA recordkeeping:
The Occupational Safety and Health Administration, U.S. Department of Labor. The Occupational Safety and Health Administration is responsible for developing, implementing, and enforcing safety and health standards and regulations. OSHA works with employers and employees to foster effective safety and health programs which reduce workplace hazards.
Bureau of Labor Statistics, US. Department of Labor The Bureau of Labor Statistics is responsible for administering and maintaining the OSHA recordkeeping system, and for collecting, compiling, and analyzing work injury and illness statistics.
State Agencies. Many States cooperate with BLs in administering the OSHA recordkeeping and reporting programs. Some States have their own safety and health laws which may impose additional obligations. Employers should consult their State safety and health laws concerning these requirements.
These guidelines were prepared in the BLS Office of Occupational Safety and Health Statistics, by Stephen Newell, under the general direction of William M. Eisenberg, Associate Commissioner.
OMB DISCLOSURE STATEMENT
OSHA estimates that it will take an average of 15 minutes for completing a line entry on an OSHA No. 200 which includes use of this supplementary instruction booklet. Persons are not required to respond to the collection of information unless it displays a currently valid OMB control number. If you have any comments regarding this estimate or any other aspect of this recordkeeping system, including suggestions for reducing this burden, please send them to the OSHA Office of Statistics, and/or the Office of IRM Policy, Department of Labor, (1218-0176), 200 Constitution Avenue, NW, Washington, DC 20210.
I. Employers subject to the recordkeeping requirements of the Occupational Safety and Health Act of 1970
II. OSHA recordkeeping forms
III. Location, retention, and maintenance of records
IV. Deciding whether a case should be recorded and how to classify it
V. Categories for evaluating the extent of recordable cases
VI. Employer obligations for reporting occupational injuries and illnesses
VII. Access to OSHA records and penalties for failure to comply with recordkeeping obligations
Glossary of Terms
List of participating State agencies
BLS regional offices
Chapter I. Employers Subject to the Recordkeeping Requirements of the Occupational Safety and Health Act of 1970
The recordkeeping requirements of the Occupational Safety and Health Act of 1970 apply to private sector employers in all States, the District of Columbia, Puerto Rico, the Virgin Islands, American Samoa, Guam, and the Trust Territories of the Pacific Islands.
A. Employers who must keep OSHA records
Employers with 11 or more employees (at any one time in the previous calendar year) in the following industries must keep OSHA records. The industries are identified by name and by the appropriate Standard Industrial Classification (sic) code:
If employers in any of the industries listed above have more than one establishment with combined employment of 11 or more employees, records must be kept for each individual establishment.
B. Employers who infrequently must keep OSHA records
Employers in the industries listed below are normally exempt from OSHA recordkeeping. However, each year a small rotating sample of these employers is required to keep records and participate in a mandatory statistical survey of occupational injuries and illnesses. Their participation is necessary to produce national estimates of occupational injuries and illnesses for all employers (both exempt and nonexempt) in the private sector. If an employer who is regularly exempt is selected to maintain records and participate in the Annual Survey of Occupational Injuries and Illnesses, he or she will be notified in advance and supplied with the necessary forms and instructions. Employers who normally do not have to keep OSHA records include: 1. All employers with no more than 10 full- or part-time employees at any one time in the previous calendar year.
2. Employers in the following retail trade, finance, insurance and real estate, and services industries (identified by sic codes):
Even though recordkeeping requirements are reduced for employers in these industries, they, like nonexempt employers, must comply with OSHA standards, display the OSHA poster, and report to OSHA within 8 hours any accident which results in one or more fatalities or the hospitalization of three or more employees. Also, some State safety and health laws may require regularly exempt employers to keep injury and illness records, and some States have more stringent catastrophic reporting requirements.
C. Employers and individuals who never keep OSHA records
The following employers and individuals do not have to keep OSHA injury and illness records:
State and local government agencies are usually exempt from OSHA recordkeeping. However, in certain States, agencies of State and local governments are required to keep injury and illness records in accordance with State regulations.
D. Employers subject to other Federal safety and health regulations
Employers subject to injury and illness recordkeeping requirements of other Federal safety and health regulations are not exemptfrom OSHA recordkeeping. However, records used to comply with other Federal recordkeeping obligations may also be used to satisfy the OSHA recordkeeping requirements. The forms used must be equivalent to the log and summary (OSHA No. 200) and the supplementary record (OSHA No. 101).
Chapter II. OSHA Recordkeeping Forms
Only two forms are used for OSHA recordkeeping. One form, the OSHA No. 200, serves as both the Log of Occupational Injuries and Illnesses, on which the occurrence and extent of cases are recorded during the year; and as the Summary of Occupational Injuries and Illnesses, which is used to summarize the log at the end of the year to satisfy employer posting obligations. The other form, the Supplementary Record of Occupational Injuries and Illnesses, OSHA No. 101, provides additional information on each of the cases that have been recorded on the log.
A. The Log and Summary of Occupational Injuries and Illnesses, OSHA No. 200
Refer to the OSHA Publications Page for downloadable versions of the OSHA No. 200 Log Form.
The log is used for recording and classifying occupational injuries and illnesses, and for noting the extent of each case. The log shows when the occupational injury or illness occurred, to whom, the regular job of the injured or ill person at the time of the injury or illness exposure, the department in which the person was employed, the kind of injury or illness, how much time was lost, whether the case resulted in a fatality, etc. The log consists of three parts: A descriptive section which identifies the employee and briefly describes the injury or illness; a section covering the extent of the injuries recorded; and a section on the type and extent of illnesses.
Usually, the OSHA No. 200 form is used by employers as their record of occupational injuries and illnesses. However, a private form equivalent to the log, such as a computer printout, may be used if it contains the same detail as the OSHA No. 200 and is as readable and comprehensible as the OSHA No. 200 to a person not familiar with the equivalent form. It is important that the columns of the equivalent form have the same identifying number as the corresponding columns of the OSHA No. 200 because the instructions for completing the survey of occupational injuries and illnesses refer to log columns by number. It is advisable that employers have private equivalents of the log form reviewed by BLS to insure compliance with the regulations.
The portion of the OSHA No. 200 to the right of the dotted vertical line is used to summarize injuries and illnesses in an establishment for the calendar year. Every nonexempt employer who is required to keep OSHA records must prepare an annual summary for each establishment based on the information contained in the log for each establishment. The summary is prepared by totaling the column entries on the log (or its equivalent) and signing and dating the certification portion of the form at the bottom of the page.
B. The Supplementary Record of Occupational Injuries and Illnesses, OSHA No. 101
For every injury or illness entered on the log, it is necessary to record additional information on the supplementary record, OSHA No. 101. The supplementary record describes how the accident or illness exposure occurred, lists the objects or substances involved, and indicates the nature of the injury or illness and the part(s) of the body affected.
The OSHA No. 101 is not the only form that can be used to satisfy this requirement. To eliminate duplicate recording, workers'compensation, insurance, or other reports may be used as supplementary records if they contain all of the items on the OSHA No. 101. If they do not, the missing items must be added to the substitute or included on a separate attachment.
Completed supplementary records must be present in the establishment within 6 workdays after the employer has received information that an injury or illness has occurred.
Chapter III. Location, Retention, and Maintenance of Records
Ordinarily, injury and illness records must be kept by employers for each of their establishments. This chapter describes what is considered to be an establishment for recordkeeping purposes, where the records must be located, how long they must be kept, and how they should be updated.
If an employer has more than one establishment, a separate set of records must be maintained for each one. The recordkeeping regulations define an establishment as 44a single physical location where business is conducted or where services or industrial operations are performed." Examples include a factory, mill, store, hotel, restaurant, movie theater, farm, ranch, sales office, warehouse, or central administrative office.
The regulations specify that distinctly separate activities performed at the same physical location (for example, contract construction activities operated from the same physical location as a lumber yard) shall each be treated as a separate establishment for recordkeeping purposes. Production of dissimilar products; different kinds of operational procedures; different facilities; and separate management, personnel, payroll, or support staff are all indicative of separate activities and separate establishments.
B. Location of records
Injury and illness records (the log, OSHA No. 200, and the supplementary record, OSHA No. 101) must be kept for every physical location where operations are performed. Under the regulations, the location of these records depends upon whether or not the employees are associated with a fixed establishment. The distinction between fixed and nonfixed establishments generally rests on thenature and duration of the operation and not on the type of structure in which the business is located. A nonfixed establishment usually operates at a single location for a relatively short period of time. A fixed establishment remains at a given location on a long-term or permanent basis. Generally, any operation at a given site for more than I year is considered a fixed establishment. Also, fixedestablishments are generally places where clerical, administrative, or other business records are kept.
1. Employees associated with fixed establishments. Records for these employees should be located as follows:
a. Records for employees working at fixed locations, such as factories, stores, restaurants, warehouses, etc., should be kept at the work location.
b. Records for employees who report to a fixed location but work elsewhere should be kept at the place where the employees report each day. These employees are generally engaged in activities such as agriculture, construction, transportation, etc.
c. Records for employees whose payroll or personnel records are maintained at a fixed location, but who do not report or work at a single establishment, should be maintained at the base from which they are paid or the base of their firm's personnel operations. This category includes generally unsupervised employees such as traveling salespeople, technicians, or engineers.
2. Employees not associated with fixed establishments. Some employees are subject to common supervision, but do not report or work at a fixed establishment on a regular basis. These employees are engaged in physically dispersed activities that occur in construction, installation, repair, or service operations. Records for these employees should be located as follows:
a. Records may be kept at the field office or mobile base of operations.
b. Records may also be kept at an established central location. If the records are maintained centrally: (1) The address and telephone number of the place where records are kept must be available at the worksite; and (2) there must be someone available at the central location during normal business hours to provide information from the records.
C. Location exception for the log (OSHA No. 200)
Although the supplementary record and the annual summary must be located as outlined in the previous section, it is possible to prepare and maintain the log at an alternate location or by means of data processing equipment, or both. Two requirements must be met: (1) Sufficient information must be available at the alternate location to complete the log within 6 workdays after receipt of information that a recordable case has occurred; and (2) a copy of the log updated to within 45 calendar days must be present at all times in the establishment. This location exception applies only to the log, and not to the other OSHA records. Also, it does not affect the employer's posting obligations.
D. Retention of OSHA records
The log and summary, OSHA No. 200, and the supplementary record, OSHA No. 101, must be retained in each establishment for 5 calendar years following the end of the year to which they relate. If an establishment changes ownership, the new employer must preserve the records for the remainder of the 5-year period. However, the new employer is not responsible for updating the records of the former owner.
E. Maintenance of the log (OSHA No. 200)
In addition to keeping the log on a calendar year basis, employers are required to update this form to include newly discovered cases and to reflect changes which occur in recorded cases after the end of the calendar year. Maintenance or updating of the log is different from the retention of records discussed in the previous section. Although all OSHA injury and illness records must be retained, only the log must be updated by the employer. If, during the 5-year retention period, there is a change in the extent or outcome of an injury or illness which affects an entry on a previous year's log, then the first entry should be lined out and a corrected entry made on that log. Also, new entries should be made for previously unrecorded cases that are discovered or for cases that initially weren't recorded but were found to be recordable after the end of the year in which the case occurred. The entire entry should be lined out for recorded cases that are later found nonrecordable. Log totals should also be modified to reflect these changes.
Chapter IV. Deciding Whether a Case Should Be Recorded and How To Classify It
This chapter presents guidelines for determining whether a case must be recorded under the OSHA recordkeeping requirements. These requirements should not be confused with recordkeeping requirements of various workers' compensation systems, internal industrial safety and health monitoring systems, the ANSI Z.16 standards for recording and measuring work injury and illness experience, and private insurance company rating systems. Reporting a case on the OSHA records should not affect recordkeeping determinations under these or other systems. Also-
Recording an injury or illness under the OSHA system does not necessarily imply that management was at fault, that the worker was at fault, that a violation of an OSHA standard has occurred, or that the injury or illness is compensable under workers' compensation or other systems.
A. Employees vs. other workers on site
Employers must maintain injury and illness records for their own employees at each of their establishments, but they are not responsible for maintaining records for employees of other firms or for independent contractors, even though these individuals may be working temporarily in their establishment or on one of their jobsites at the time an injury or illness exposure occurs. Therefore, before deciding whether a case is recordable an employment relationship needs to be determined.
Employee status generally exists for recordkeeping purposes when the employer supervises not only the output, product, or result to be accomplished by the person's work, but also the details, means, methods, and processes by which the work is accomplished. This means the employer who supervises the worker's day-to-day activities is responsible for recording his injuries and illnesses. Independent contractors are not considered employees; they are primarily subject to supervision by the using firm only in regard to the result to be accomplished or end product to be delivered. Independent contractors keep their own injury and illness records.
Other factors which may be considered in determining employee status are: (1) Whom the worker considers to be his or her employer; (2) who pays the worker's wages; (3) who withholds the worker's Social Security taxes; (4) who hired the worker; and (5) who has the authority to terminate the worker's employment.
B. Method used for case analysis
The decisionmaking process consists of five steps:
Chart I presents this methodology in graphic form.
C. Determining whether a case occurred
The first step in the decisionmaking process is the determination of whether or not an injury or illness has occurred. Employers have nothing to record unless an employee has experienced a work-related injury or illness. In most instances, recognition of these injuries and illnesses is a fairly simple matter. However, some situations have troubled employers over the years. Two of these are:
b. Illnesses. Generally, each occupational illness should be recorded with a separate entry on the OSHA No. 200. However, certain illnesses, such as silicosis, may have prolonged effects which recur over time. The recurrence of these symptoms should not be recorded as new cases on the OSHA forms. The recurrence of symptoms of previous illnesses may require adjustment of entries on the log for previously recorded illnesses to reflect possible changes in the extent or outcome of the particular case.
Some occupational illnesses, such as certain dermatitis or respiratory conditions, may recur as the result of new exposures to sensitizing agents, and should be recorded as new cases.
D. Establishing work relationship
The Occupational Safety and Health Act of 1970 requires employers to record only those injuries and illnesses that are work related. Work relationship is established under the OSHA recordkeeping system when the injury or illness results from an event or exposure in the work environment. The work environment is primarily composed of (1) The employer's premises, and (2) other locations where employees are engaged in work-related activities or are present as a condition of their employment. When an employee is off the employer's premises, work relationship must be established; when on the premises, this relationship is presumed. The employer's premises encompass the total establishment, including not only the primary work facility, but also such areas as company storage facilities. In addition to physical locations, equipment or materials used in the course of an employee's work are also considered part of the employee's work environment.
1. Injuries and illnesses resulting from events or exposures on the employer's premises. Injuries and illnesses that result from an event or exposure on the employer's premises are generally considered work related. The employer's premises consist of the total establishment. They include the primary work facilities and other areas which are considered part of the employer's general work area.
The presumption of work relationship for activities on the employer's premises is rebuttable. Situations where the presumption would not apply include: (1) When a worker is on the employer's premises as a member of the general public and not as an employee, and (2) when employees have symptoms that merely surface on the employer's premises, but are the result of a nonworkrelated event or exposure off the premises.
The following subjects warrant special mention:
a. Company restrooms, hallways, and cafeterias are all considered to be part of the employer's premises and constitute part of the work environment. Therefore, injuries occurring in these places are generally considered work related.
b. For OSHA recordkeeping purposes, the definition of work premises excludes all employer controlled ball fields, tennis courts, golf courses, parks, swimming pools, gyms, and other similar recreational facilities which are often apart from the workplace and used by employees on a voluntary basis for their own benefit, primarily during offwork hours. Therefore, injuries to employees in these recreational facilities are not recordable unless the employee was engaged in some work-related activity, or was required by the employer to participate.
c. Company parking facilities are generally not considered part of the employer's premises for OSHA recordkeeping purposes. Therefore, injuries to employees on these parking lots are not presumed to be work related, and are not recordable unless the employee was engaged in some work-related activity.
2. Injuries and illnesses resulting from events or exposures off the employer's premises. When an employee is off the employer's premises and suffers an injury or an illness exposure, work relationship must be established; it is not presumed. Injuries and illness exposures off premises are considered work related if the employee iss engaged in a work activity or if they occur in the work environment. The work environment in these instances includes locations where employees are engaged in job tasks or work-related activities, or places where employees are present due to the nature of their job or as a condition of their employment.
Employees who travel on company business shall be considered to be engaged in work-related activities all the time they spend in the interest of the company, including, but not limited to, travel to and from customer contacts, and entertaining or being entertained for the purpose of transacting, discussing, or promoting business, etc. However, an injury/illness would not be recordable if it occurred during normal living activities (eating, sleeping, recreation); or if the employee deviates from a reasonably direct route of travel (side trip for vacation or other personal reasons). He would again be in the course of employment when he returned to the normal route of travel.
When a traveling employee checks into a hotel or motel, he establishes a "home away from home." Thereafter, his activities are evaluated in the same manner as for nontraveling employees. For example, if an employee on travel status is to report each day to a fixed worksite, then injuries sustained when traveling to this worksite would be considered off the job. The rationale is that an employee's normal commute from home to office would not be considered work related. However, there are situations where employees in travel status report to, or rotate among several different worksites after they establish their "home away from home" (such as a salesperson traveling to and from different customer contacts). In these situations, the injuries sustained when traveling to and from the sales locations would be considered job related.
Traveling sales personnel may establish only one base of operations (home or company office). A sales person with his home as an office is considered at work when he is in that office and when he leaves his premises in the interest of the company.
Chart 2 provides a guide for establishing the work relationship of cases.
E. Distinguishing between injuries and illnesses
Under the OSH Act, all work-related illnesses must be recorded, while injuries are recordable only when they require medical treatment (other than first aid), or involve loss of consciousness, restriction of work or motion, or transfer to another job. The distinction between injuries and illnesses, therefore, has significant recordkeeping implications.
Whether a case involves an injury or illness is determined by the nature of the original event or exposure which caused the case, not by the resulting condition of the affected employee. Injuries are caused by instantaneous events in the work environment. Cases resulting from anything other than instantaneous events are considered illnesses. This concept of illnesses includes acute illnesses which result from exposures of relatively short duration.
Some conditions may be classified as either an injury or an illness (but not both), depending upon the nature of the event that produced the condition. For example, a loss of hearing resulting from an explosion (an instantaneous event) is classified as an injury; the same condition arising from exposure to industrial noise over a period of time would be classified as an occupational illness.
F. Recording occupational illnesses
Employers are required to record the occurrence of all occupational illnesses, which are defined in the instructions of the log and summary as:
Any abnormal condition or disorder, other than one resulting from an occupational injury, caused by exposure to environmental factors associated with employment. It includes acute and chronic illnesses or diseases which may be caused by inhalation, absorption, ingestion, or direct contact.
The instructions also refer to recording illnesses which were "diagnosed or recognized." Illness exposures ultimately result in conditions of a chemical, physical, biological, or psychological nature.
Occupational illnesses must be diagnosed to be recordable. However, they do not necessarily have to be diagnosed by a physician or other medical personnel. Diagnosis may be by a physician, registered nurse, or a person who by training or experience is capable to make such a determination. Employers, employees, and others may be able to detect some illnesses such as skin diseases or disorders without the benefit of specialized medical training. However, a case more difficult to diagnose, such as silicosis, would require evaluation by properly trained medical personnel.
In addition to recording the occurrence of occupational illnesses, employers are required to record each illness case in I of the 7 categories on the front of the log. The back of the log form contains a listing of types of illnesses or disorders and gives examples for each illness category. These are only examples, however, and should not be considered as a complete list of types of illnesses under each category.
Recording and classifying occupational illnesses may be difficult for employers, especially the chronic and long term latent illnesses. Many illnesses are not easily detected; and once detected, it is often difficult to determine whether an illness is work related. Also, employees may not report illnesses because the symptoms may not be readily apparent, or because they do not think their illness is serious or work related.
The following material is provided to assist in detecting occupational illnesses and in establishing their work relationship:
1. Detection and diagnosis of occupational illnesses. An occupational illness is defined in the instructions on the log as any work-related abnormal condition or disorder (other than an occupational injury). Detection of these abnormal conditions or disorders, the first step in recording illnesses, is often difficult. When an occupational illness is suspected, employers may want to consider the following:
a. A medical examination of the employee's physiological systems. For example:
b. Observation and evaluation of behavior related to emotional status, such as deterioration in job performance which cannot be explained;
c. Specific examination for health effects of suspected or possible disease agents by competent medical personnel;
d. Comparison of date of onset of symptoms with occupational history;
e. Evaluation of results of any past biological or medical monitoring (blood, urine, other sample analysis) and previous physical examinations;
f. Evaluation of laboratory tests: Routine (complete blood count, blood chemistry profile, urinalysis) and specific tests for suspected disease agents (e.g., blood and urine tests for specific agents, chest or other X-rays, liver function tests, pulmonary function tests); and
g. Reviewing the literature, such as Material Safety Data Sheets and other reference documents, to ascertain whether the levels to which the workers were exposed could have produced the ill effects.
2. Determining whether the illness is occupationally related. The instructions on the back of the log define occupational illnesses as those "caused by environmental factors associated with employment." In some cases, such as contact dermatitis, the relationship between an illness and work-related exposure is easy to recognize. In other cases, where the occupational cause is not direct and apparent, it may be difficult to determine accurately whether an employee's illness is occupational in nature. In these situations, it may help employers to ask the following questions:
a. Has an illness condition clearly been established?
b. Does it appear that the illness resulted from, or was aggravated by, suspected agents or other conditions in the work environment?
c. Are these suspected agents present (or have they been present) in the work environment?
d. Was the ill employee exposed to these agents in the work environment?
e. Was the exposure to a sufficient degree and/or duration to result in the illness condition?
f. Was the illness attributable solely to a nonoccupational exposure?
G. Deciding if work-related injuries are recordable Although the OSH Act requires that all work-related deaths and illnesses be recorded, the recording of nonfatal injuries is limited to certain specific types of cases: Those which require medical treatment or involve loss of consciousness; restriction of work or motion; or transfer to another job. Minor injuries requiring only first aid treatment are not recordable.
1. Medical treatment. It is important to understand the distinction between medical treatment and first aid treatment since many work-related injuries are recordable only because medical treatment was given.
The regulations and the instructions on the back of the log and summary, OSHA No. 200, define medical treatment as any treatment, other than first aid treatment, administered to injured employees. Essentially, medical treatment involves the provision of medical or surgical care for injuries that are not minor through the application of procedures or systematic therapeutic measures.
The act also specifically states that work-related injuries which involve only first aid treatment should not be recorded. First aid is commonly thought to mean emergency treatment of injuries before regular medical care is available. However, first aid treatment has a different meaning for OSHA recordkeeping purposes. The regulations define first aid treatment as:
... any one-time treatment, and any followup visit for the purpose of observation, of minor scratches, cuts, burns, splinters, and so forth, which do not ordinarily require medical care. Such one-time treatment, and followup visit for the purpose of observation, is considered first aid even though provided by a physician or registered professional personnel.
The distinction between medical treatment and first aid depends not only on the treatment provided, but also on the severity of the injury being treated. First aid is: (1) Limited to one-time treatment and subsequent observation; and (2) involves treatment of only minor injuries, not emergency treatment of serious injuries. Injuries are not minor if
a. They must be treated only by a physician or licensed medical personnel;
b. They impair bodily function (i.e., normal use of senses, limbs, etc.);
c. They result in damage to the physical structure of a nonsuperficial nature (e.g., fractures); or
d. They involve complications requiring followup medical treatment.
Physicians or registered medical professionals, working under the standing orders of a physician, routinely treat minor injuries. Such treatment may constitute first aid. Also, some visits to a doctor do not involve treatment at all. For example, a visit to a doctor for an examination or other diagnostic procedure to determine whether the employee has an injury does not constitute medical treatment. Conversely, medical treatment can be provided to employees by lay persons; i.e., someone other than a physician or registered medical personnel.
The following classifications list certain procedures as either medical treatment or first aid treatment.
The following are generally considered medical treatment. Work-related injuries for which this type of treatment was provided or should have been provided are almost always recordable:
First Aid Treatment:
The following are generally considered first aid treatment (e.g., one-time treatment and subsequent observation of minor injuries) and should not be recorded if the work-related injury does not involve loss of consciousness, restriction of work or motion, or transfer to another job:
The following procedure, by itself, is not considered medical treatment:
*Administration of TETANUS SHOT(S) or BOOSTER(S). However, these shots are often given in conjunction with more serious injuries; consequently, injuries requiring these shots may be recordable for other reasons.
2. Loss of consciousness. If an employee loses con sciousness as the result of a work-related injury, the case must be recorded no matter what type of treatment was provided. The rationale behind this recording requirement is that loss of consciousness is generally associated with the more serious injuries.
3. Restriction of work or motion. Restricted work activity occurs when the employee, because of the impact of a job-related injury, is physically or mentally unable to perform all or any part of his or her normal assignment during all or any part of the workday or shift. The emphasis is on the employee's ability to perform normal job duties. Restriction of work or motion may result in either a lost worktime injury or a nonlost-worktime injury, depending upon whether the restriction extended beyond the day of injury.
4. Transfer to another job. Injuries requiring transfer of the employee to another job are also considered serious enough to be recordable regardless of the type of treatment provided. Transfers are seldom the sole criterion for recordability because injury cases are almost always recordable on other grounds, primarily medical treatment or restriction of work or motion.
Chapter V. Categories for Evaluating the Extent of Recordable Cases
Once the employer decides that a recordable injury or illness has occurred, the case must be evaluated to determine its extent or outcome. There are three categories of recordable cases: Fatalities, lost workday cases, and cases without lost workdays. Every recordable case must be placed in only one of these categories.
All work-related fatalities must be recorded, regardless of the time between the injury and the death, or the length of the illness.
B. Lost workday cases
Lost workday cases occur when the injured or ill employee experiences either days away from work, days of restricted work activity, or both. In these situations, the injured or ill employee is affected to such an extent that: (1) Days must be taken off from the job for medical treatment or recuperation; or (2) the employee is unable to perform his or her normal job duties over a normal work shift, even though the employee may be able to continue working.
1. Lost workday cases involving days away from work are cases resulting in days the employee would have worked but could not because of the job-related injury or illness. The focus of these cases is on the employee's inability, because of injury or illness, to be present in the work environment during his or her normal work shift.
2. Lost workday cases involving days of restricted work activity are those cases where, because of injury or illness, (1) the employee was assigned to another job on a temporary basis, or (2) the employee worked at a permanent job less than full time, or (3) the employee worked at his or her permanently assigned job but could not perform all the duties normally connected with it. Restricted work activity occurs when the employee, because of the job-related injury or illness, is physically or mentally unable to perform all or any part of his or her normal job duties over all or any part of his or her normal workday or shift. The emphasis is on the employee's inability to perform normal job duties over a normal work shift.
Injuries and illnesses are not considered lost workday cases unless they affect the employee beyond the day of injury or onset of illness. When counting the number of days away from work or days of restricted work activity, do not include the initial day of injury or onset of illness, or any days on which the employee would not have worked even though able to work (holidays, vacations, etc.).
C. Cases not resulting in death or lost workdays These cases consist of the relatively less serious injuries and illnesses which satisfy the criteria for recordability but which do not result in death or require the affected employee to have days away from work or days of restricted work activity beyond the date of injury or onset of illness.
Chapter VI. Employer Obligations for Reporting Occupational Injuries and Illnesses
This chapter focuses on the requirements of Section 8(c)(2) of the Occupational Safety and Health Act of 1970 and Title 29, Part 1904, of the Code of Federal Regulations for employers to make reports of occupational injuries and illnesses. It does not include the reporting requirements of other standards or regulations of the Occupational Safety and Health Administration (OSHA) or of any other State or Federal agency.
A. The Annual Survey of Occupational Injuries and Illnesses
The survey is conducted on a sample basis, and firms required to submit reports of their injury and illness experience are contacted by BLS or a participating State agency. A firm not contacted by its State agency or BLS need not file a report of its injury and illness experience. Employers should note, however, that even if they are not selected to participate in the annual survey for a given year, they must still comply with the recordkeeping requirements listed in the preceding chapters as well as with the requirements for reporting fatalities and multiple hospitalization cases provided in the next section of this chapter.
Participants in the annual survey consist of two categories of employers: (1) Employers who maintain OSHA records on a regular basis; and (2) a small, rotating sample of employers who are regularly exempt from OSHA recordkeeping. The survey procedure is different for these two groups of employers.
1. Participation of firms regularly maintaining OSHA records. When employers regularly maintaining OSHA records are selected to participate in the Annual Survey of Occupational Injuries and Illnesses, they are mailed the survey questionnaire in February of the year following the reference calendar year of the survey. (A firm selected to participate in the 1985 survey would have been contacted in February of 1986.) The survey form, the Occupational Injuries and Illnesses Survey Questionnaire, OSHA No. 200-S, requests information about the establishment(s) included in the report and the injuries and illnesses experienced during the previous year. Information for the injury and illness portion of the report form usually can be copied directly from the totals on the log and summary, OSHA No. 200, which the employer should have completed and posted in the establishment oy the time the questionnaire arrives. The survey form also requests summary information about the type of business activity and number of employees and hours worked at the reporting unit during the reference year.
2. Participation of normally exempt small employers and employers in low-hazard industries. A few regularly exempt employers (those with fewer than 11 employees in the previous calendar year and those in designated low-hazard industries) are also required to participate in the annual survey. Their participation is necessary for the production of injury and illness statistics that are comparable in coverage to the statistics published in years prior to the exemptions. These employers are notified prior to the reference calendar year of the survey that they must maintain injury and illness records for the coming year. (A firm selected to participate in the 1985 survey would have been contacted in December 1984.) At the time of notification, they are supplied with the necessary forms and instructions. During the reference calendar year, prenotified employers make entries on the log, OSHA No. 200, but are not required to complete a Supplementary Record of Occupational Injuries and Illnesses, OSHA No. 101, or post the summary of the OSHA No. 200 the following February (regularly participating employers do both).
B. Reporting fatalities and multiple hospitalizations
Revised Reporting Requirements -- Report Within 8 Hours One or More Fatalities or the Hospitalization of Three or More Employees
All employers are required to report accidents resulting in one or more fatalities or the hospitalization of five or more employees. (Some States have more stringent catastrophic reporting requirements.)
The report is made to the nearest office of the Area Director of the Occupational Safety and Health Administration, U.S. Department of Labor, unless the State in which the accident occurred is administering an approved State plan under Section 18(b) of the OSH Act. Those 18(b) States designate a State agency to which the report must be made.
The report must contain three pieces of information: (1) Circumstances surrounding the accident(s), (2) the number of fatalities, and (3) the extent of any injuries. If necessary, the OSHA Area Director may require additional information on the accident.
The report should be made within 48 hours after the occurrence of the accident or within 48 hours after the occurrence of the fatality, regardless of the time lapse between the occurrence of the accident and the death of the employee.
Chapter VII. Access to OSHA Records and Penalties for Failure To Comply With Recordkeeping Obligations
The preceding chapters describe recordkeeping and reporting requirements. This chapter covers subjects related to insuring the integrity of the osH recordkeeping process-access to OSHA records and penalties for recordkeeping violations.
A. Access to OSHA records
All OSHA records, which are being kept by employers for the 5-year retention period, should be available for inspection and copying by authorized Federal and State government officials. Employees, former employees, and their representatives are provided access to only the log, OSHA No. 200.
Government officials with access to the OSHA records include: Representatives of the Department of Labor, including OSHA safety and health compliance officers and BLS representatives; representatives of the Department of Health and Human Services while carrying out that department's research responsibilities; and representatives of States accorded jurisdiction for inspections or statistical compilations. "Representatives" may include Department of Labor officials inspecting a workplace or gathering information, officials of the Department of Health and Human Services, or contractors working for the agencies mentioned above, depending on the provisions of the contract under which they work.
Employee access to the log is limited to the records of the establishment in which the employee currently works or formerly worked. All current logs and those being maintained for the 5-year retention period must be made available for inspection and copying by employees, former employees, and their representatives. An employee representative can be a member of a union representing the employee, or any person designated by the employee or former employee. Access to the log is to be provided in a reasonable manner and at a reasonable time. Redress for failure to comply with the access provisions of the regulations can be obtained through a complaint to OSHA.
B. Penalties for failure to comply with recordkeeping obligations
Employers committing recordkeeping and/or reporting violations are subject to the same sanctions as employers violating other OSHA requirements such as safety and health standards and regulations.
Glossary of Terms
Annual summary. Consists of a copy of the occupational injury and illness totals for the year from the OSHA No. 200, and the following information: The calendar year covered; company name; establishment address; certification signature, title, and date.
Annual survey. Each year, BLs conducts an annual survey of occupational injuries and illnesses to produce national statistics. The OSHA injury and illness records maintained by employers in their establishments serve as the basis for this survey.
Bureau of Labor Statistics (BIS). The Bureau of Labor Statistics is the agency responsible for administering and maintaining the OSHA recordkeeping system, and for collecting, compiling, and analyzing work injury and illness statistics.
Certification. The person who supervises the preparation of the Log and Summary of Occupational Injuries and Illnesses, OSHA No. 200, certifies that it is true and complete by signing the last page of, or by appending a statement to that effect to, the annual summary.
Cooperative program. A program jointly conducted by the States and the Federal Government to collect occupational injury and illness statistics.
Employee. One who is employed in the business of his or her employer affecting commerce.
Employee representative. Anyone designated by the employee for the purpose of gaining access to the employer's log of occupational injuries and illnesses.
Employer. Any person engaged in a business affecting commerce who has employees.
Establishment. A single physical location where business is conducted or where services or industrial operations are performed; the place where the employees report for work, operate from, or from which they are paid.
Exposure. The reasonable likelihood that a worker is or was subject to some effect, influence, or safety hazard; or in contact with a hazardous chemical or physical agent at a sufficient concentration and duration to produce an illness.
Federal Register. The official source of information and notification on OSHA's proposed rulemaking, standards, regulations, and other official matters, including amendments, corrections, insertions, or deletions.
First aid. Any one-time treatment and subsequent observation of minor scratches, cuts, bums, splinters, and so forth, which do not ordinarily require medical care. Such treatment and observation are considered first aid even though provided by a physician or registered professional personnel.
First report of injury. A workers' compensation form which may qualify as a substitute for the supplementary record, OSHA No. 101.
Incidence rate. The number of injuries, illnesses, or lost workdays related to a common exposure base of 100 fulltime workers. The common exposure base enables one to make accurate interindustry comparisons, trend analysis over time, or comparisons among firms regardless of size. This rate is calculated as:
N = number of injuries and/or illnesses or lost workdays
EH - total hours worked by all employees during calendar year
200,000 - base for 100 full-time equivalent workers (working 40 hours per week, 50 weeks per year).
Log and Summary (OSHA No. 200. The OSHA recordkeeping form used to list injuries and illnesses and to note the extent of each case.
Loost workday cam. Cases which involve days away from work or days of restricted work activity, or both.
Lost workdays. The number of workdays (consecutive or not), beyond the day of injury or onset of illness, the employee was away from work or limited to restricted work activity because of an occupational injury or illness.
(1) Lost workdays -- away from work. The number of workdays (consecutive or not) on which the employee would have worked but could not because of occupational injury or illness.
(2) Lost workdays-restricted work activity. The number of workdays (consecutive or not) on which, because of injury or illness: (1) The employee was assigned to another job on a temporary basis; or (2) the employee worked at a permanent job less than full time; or (3) the employee worked at a permanently assigned job but could not perform all duties normally connected with it.
The number of days away from work or days of restricted work activity does not include the day of injury or onset of illness or any days on which the employee would not have worked even though able to work.
Low-hazard industries. Selected industries in retail trade; finance, insurance, and real estate; and services which are regularly exempt from OSHA recordkeeping. To be included in this exemption, an industry must fall within an SIC not targeted for general schedule inspections and must have an average lost workday case injury rate for a designated 3-year measurement period at or below 75 percent of the U.S. private sector average rate.
Medical treatment. Includes treatment of injuries administered by physicians, registered professional personnel, or lay persons (i.e., nonmedical personnel). Medical treatment does not include first aid treatment (one-time treatment and subsequent observation of minor scratches, cuts, bums, splinters, and so forth, which do not ordinarily require medical care) even though provided by a physician or registered professional personnel.
Occupational illness. Any abnormal condition or disorder, other than one resulting from an occupational injury, caused by exposure to environmental factors associated with employment. It includes acute and chronic illnesses or diseases which may be caused by inhalation, absorption, ingestion, or direct contact. The following categories should be used by employers to classify recordable occupational illnesses on the log in the columns indicated:
Occupational injury. Any injury such as a cut, fracture, sprain, amputation, etc., which results from a work accident or from a single instantaneous exposure in the work environment.
Note: Conditions resulting from animal bites, such as insect or snake bites, and from one-time exposure to chemicals are considered to be injuries.
Occupational injuries and illnesses, extent and outcome. All recordable occupational injuries or illnesses result in either:
Occupational Safety and Health Administration (OSHA). OSHA is responsible for developing, implementing, and enforcing safety and health standards and regulations. OSHA works with employers and employees to foster effective safety and health programs which reduce workplace hazards.
Posting. The annual summary of occupational injuries and illnesses must be posted at each establishment by February 1 and remain in place until March 1 to provide employees with the record of their establishment's injury and illness experience for the previous calendar year.
Premises, employer's. Consist of the employer's total establishment; they include the primary work facility and other areas in the employer's domain such as company storage facilities, cafeterias, and restrooms.
Recordable cases. All work-related deaths and illnesses, and those work-related injuries which result in: Loss of consciousness, restriction of work or motion, transfer to another job, or require medical treatment beyond first aid.
Recordkeeping system. Refers to the nationwide system for recording and reporting occupational injuries and illnesses mandated by the Occupational Safety and Health Act of 1970 and implemented by Title 29, Code of Federal Regulations, Part 1904. This system is the only source of national statistics on job-related injuries and illnesses for the private sector.
Regularly exempt employers. Employers from OSHA recordkeeping include: (A) All with no more than 10 full- or part-time employees at any one time in the previous calendar year; and (B) retail trade; finance, insurance, real estate; services industries; i.e., sic's 52-89 (except building materials garden supplies, 52; general mercLandise food stores, 53 54; hotels other lodging places, 70; repair services, 75 76; amusement recreation 79; health 80). (Note: Some State safety laws may require these to keep records.)
Report form. Refers to survey form OSHA No. 200-S which is completed and returned by the surveyed reporting unit.
Restriction of work or motion. Occurs when the employee, becau,,,e of the result of a job-related injury or illness, is physically or mentally unable to perform all or any part of his or her normal assignment during all or any part of the workday or shift.
Single dose (prescription medication). The measured quantity of a therapeutic agent to be taken at one time:
Small employers. Employers with no more than 10 full and/or part-time employees among all the establishments of their firm at any one time during the previous calendar year.
Standard Industrial Classification (sic). A classification system developed by the Office of Management and Budget, Executive Office of the President, for use in the classification of establishments by type of activity in which engaged.Each establishment is assigned an industry code for its major activity which is determined by the product manufactured or service rendered. Establishments may be classified in 2-, 3-, or 4-digit industries according to the degree of information available.
State (when mentioned alone). Refers to a State of the United States, the District of Columbia, and U.S, territories and jurisdictions.
State agency. State agency administering the OSHA recordkeeping and reporting system. Many States cooperate directly with BLS in administering the OSHA recordkeeping and reporting programs. Some States have their own safety and health laws which may impose additional obligations.
Supplementary Record (OSHA No. loi). The form (or equivalent) on which additional information is recorded for each injury and illness entered on the log.
Title 29 of the Code of Federal Regulations, Parts 19001999. The parts of the Code of Federal Regulations which contain OSHA regulations.
Volunteers. Workers who are not considered to be employees under the act when they serve of their own free will without compensation.
Work environment. Consists of the employer's premises and other locations where employees are engaged in work-related activities 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.
Workers' compensation systems. State systems that provide medical benefits and/or indemnity compensation to victims of work-related injuries and illnesses.