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OSHA Recordkeeping Guidelines for Occupational

Injuries and Illnesses

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Provides information to employers & employees on

injuries/illnesses & related hazards in their workplaces

Employers: Management tool for administration of

company safety & health programs

Employees: Raises awareness level

Provides OSHA compliance staff with information to

facilitate inspections

Produces statistical data, thereby measuring magnitude

of nation's injury & illness problem

Why is OSHA Recordkeeping Important?

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OSHA Recordkeeping Requirements Division

Transfer of recordkeeping function from BLS to OSHA in 1991; OSH survey functions remain with BLS

Part of OSHA Office of Statistics (created in 1991)Office of Statistics also includes:

Data Analysis Applied Research, Special Studies & Publications

Statistical Design, Evaluation & Quality Management

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Duties of the OSHA Recordkeeping Division

Defining the types of cases entered on the OSHA Log

Maintaining a consistent recordkeeping system for employers covered by the Act

Providing recordkeeping guidance to employers, employees, and others

Developing regulations and associated publications concerning injury and illness recordkeeping

Support of compliance and litigation activities

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OSHA Recordkeeping - References

OSH Act of 1970 Section 2 (b)(12) Sections 8(c)(1) & (2) Section 24(a) Section 24(e) - Reports

29 CFR Part 1904Instructions on the OSHA Forms (200 & 101)Recordkeeping GuidelinesLetters of Interpretation

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OSH Act – Recordkeeping References

Section 2(b)(12): To assure so far as possible every working man and woman in the Nation safe and healthful working conditions and to preserve our human resources ... by providing for appropriate reporting procedures with respect to occupational safety and health.

Section 8(c)(1): Each employer shall make, keep and preserve, and make available to the Secretary, such records regarding activities related to this Act as the Secretary may prescribe ...

Section 8(c)(2): The Secretary ... shall prescribe regulations requiring employers to maintain accurate records of, and to make periodic reports on, work-related deaths, injuries and illnesses other than minor injuries requiring only first aid treatment and which do not involve medical treatment, loss of consciousness, restriction of work or motion, or transfer to another job.

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OSH Act - Recordkeeping References (cont'd)

Section 24(a): The Secretary ... shall develop and maintain an effective program of collection, compilation, and analysis of occupational safety and health statistics.

The Secretary of Labor delegated responsibility for the injury and illness statistical program to BLS

In 1991, the recordkeeping function was transferred to OSHA (Division of Recordkeeping Requirements), while BLS retained responsibility for conducting the Annual Survey

Section 24(e): Employers shall file required reports with the Secretary

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Part 1904 - Recording and Reporting Occupational Injuries and Illnesses

1904.1 - Purpose and scope1904.2 - Log and summary of occupational injuries and illnesses1904.3 - Period covered1904.4 - Supplementary record1904.5 - Annual summary1904.6 - Retention of records1904.7 - Access to records1904.8 - Reporting of fatality or multiple hospitalization accidents1904.9 - Falsification, or failure to keep records or reports1904.10 - Recordkeeping under approved State plans1904.11 - Change of ownership1904.12 - Definitions1904.13 - Petitions for recordkeeping exceptions1904.14 - Employees not in fixed establishments1904.15 - Small employers1904.16 - Establishments classified in Standard Industrial Classification

Codes (SIC) 52-89, (except 52-54, 70, 75, 76, 79, and 80)1904.17 - Annual OSHA Injury and Illness Survey of Ten or More Employers

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1904.20 - Description of statistical program1904.21 - Duties of employers1904.22 - Effect of State plans

STATISTICAL REPORTING OF OCCUPATIONAL INJURIES AND ILLNESSES

Part 1904 - Recording and Reporting Occupational Injuries

and Illnesses (cont'd)

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1904.1 - Purpose and Scope

The regulations in this part

implement sections 8(c)(1), (2), 8(g)

(2), and 24 (a) and (e) of the

Occupational Safety and Health Act

of 1970

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1904.2 - Log and Summary of Occupational Injuries and Illnesses

(a) Each employer shall ... (1) maintain in each establishment a log and summary of all recordable occupational injuries and illnesses for that establishment, and

(2) enter each recordable injury and illness on the log and summary as early as practicable but no later than 6 working days after receiving information that a recordable injury or illness has occurred

(b) The log may be maintained at a place other than the establishment, or by means of data-processing equipment, or both, if;

(1) at the place where the log is maintained, there is information to complete the log to a date within 6 working days

(2) at each establishment, the log is current to within 45 calendar days

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1904.4 - Supplementary Record

In addition to the log, each employer shall have available for inspection at each establishment within 6 working days after receiving information that a recordable case has occurred, a supplementary record (OSHA No. 101) for each occupational injury or illness for that establishment

Workers' compensation or other reports are acceptable alternatives, if they contain the information required by OSHA No. 101

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1904.5 - Annual Summary

(a) Each employer shall post an annual summary of occupational injuries and illnesses for each establishment

(d)(1) Each employer shall post a copy of the establishment's summary in each establishment ... The summary covering the previous calendar year shall be posted no later than February 1, and remain in place until March 1.

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1904.6 - Retention of Records

Records ... shall be retained in each establishment for 5 years following the end of the year to which they relate

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1904.7 - Access to Records

(a) Each employer shall provide, upon request, records provided for in 1904.2, 1904.4, and 1904.5, for inspection and copying by any representative of the Secretary of Labor ...

(b)(1) The log and summary of all recordable occupational injuries and illnesses (OSHA No. 200) shall, upon request, be made available by the employer to any employee, former employee, and to their representatives for examination and copying in a reasonable manner and at reasonable times

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1904.8 - Reporting of Fatality or Multiple Hospitalization Accidents

(a) Within 8 hours after the death of any employee from a work-related incident or the in-patient hospitalization of 3 or more employees as a result of a work-related incident, the employer of any employees so affected shall orally report the fatality/multiple hospitalization by telephone or in person to the area office of OSHA that is nearest to the site of the incident, or by using the toll-free telephone number

The toll-free # is (800) 321-OSHA

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1904.9 - Falsification, or Failure to Keep

Records or Reports

(a) Section 17(g) of the Act provides that "Whoever knowingly makes any false statement, representation, or certification in any application, record, report, plan or other document filed or required to be maintained pursuant to this Act shall, upon conviction, be punished by a fine of not more than $10,000, or by imprisonment, for not more than 6 months, or both."

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1904.14 - Employees Not in Fixed Establishments

Employers of employees engaged in physically dispersed operations such as construction, installation, repair or service activities, who do not report to any fixed establishment on a regular basis, but are subject to common supervision, may satisfy the recordkeeping requirements by:

(a) Maintaining the required records for each operation or group of operations which is subject to common supervision in an established central place

(b) Having the address and telephone number of the central place available at each worksite, and

(c) Having personnel available at the central place during normal business hours to provide information from the records maintained there by telephone and mail

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1904.15 - Small Employers

An employer who had no more than 10 employees at any time during the calendar year immediately preceding the current calendar year need not comply with any of the recordkeeping requirements, except:

(a) Obligation to report under paragraph 1904.8 concerning fatalities or multiple hospitalization accidents, and

(b) Obligation to maintain a log of occupational injuries and illnesses and to make reports upon being notified by the Bureau of Labor Statistics that the employer has been selected to participate in a statistical survey of occupational injuries and illnesses

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1904.16 - Establishments Classified in SICs 52-89

(Except 52-54, 70, 75-76, 79-80)

An employer whose establishment is classified in SICs 52-89 (excluding 52-54, 70, 75, 76, 79, and 80) need not comply, for such establishment, with any of the requirements of this part except:

(a) Obligation to report under paragraph 1904.8 concerning fatalities or multiple hospitalization accidents, and

(b) Obligation to maintain a log of occupational injuries and illnesses and to make reports upon being notified by the Bureau of Labor Statistics that the employer has been selected to participate in a statistical survey of occupational injuries and illnesses

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1904.17 - Annual OSHA Injury and Illness Survey of 10 or More Employers

(a) Each employer shall, upon receipt of OSHA's Annual Survey

Form, report to OSHA or OSHA's designee the number of workers

it employed and number of hours worked by its employees for

periods designated in the Survey Form and such information as

OSHA may request from records required to be created and

maintained by Part 1904(b) Survey reports shall be sent to OSHA within 30 calendar days,

or the time stated in the Survey Form, whichever is later(c) Employers exempted from keeping injury and illness records

shall maintain records and make Survey Reports upon being

notified in writing by OSHA, in advance of the year for which injury

and illness records will be required, that the employer has been

selected to participate in an information collection

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OSHA Forms

OSHA No. 200 - OSHA Log and Summary of Occupational Injuries and Illnesses: Part IV on back of form provides instructions for completion

OSHA No. 101 - Supplementary Record of Occupational Injuries and Illnesses

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Recordkeeping Guidelines for Occupational Injuriesand Illnesses

U.S. Department of LaborBureau of Labor StatisticsSeptember 1986The Occupational Safety and Health Actof 1970 and 29 CFR 1904O.M.B. No. 1220-0029Effective April 1986

ATTENTION: OSHA RECORDKEEPER

IMPORTANT: DO NOT DISCARD. This booklet contains guidelines forkeeping the occupational injury and illness records necessary to fulfillyour recordkeeping obligation under the Occupational Safety andHealth Act of 1970 (29 USC 651) and 29 CFR Part 1904, or equivalentState law.

Recordkeeping Guidelines

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Common Problems with Recordkeeping Definitions

Definition of work relationship

Definition of illness

Diagnosis of illnesses

Definition of a lost workday

Definition of restricted work activity

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Concept of Work RelationshipIf an event or exposure in the work environment caused or

contributed to the onset of symptoms or aggravated existing symptoms to a point that they meet OSHA recordability criteria, work relationship is established.

ON PREMISESInjuries and illnesses that result from an event or exposure on the employer's premises are presumed to be work-related. (Parking lots and recreational facilities are not considered part of the premises.)

OFF PREMISESInjuries and illnesses that result from an event or exposure off the employer's premises are work related if the worker was engaged in work-related activities or are present as a condition of their employment."Home away from home" concept: When an employee checks into a hotel or motel, he/she established a "home away form home." Thereafter, his/her activities are evaluated in the same manner as for non-traveling employees.

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Occupational Illness

Definition: Any abnormal condition or disorder resulting from a non- instantaneous event or exposure in the work environment.

Diagnosis: Diagnosis = Recognition

For OSHA recordkeeping purposes, many illnesses can be diagnosed/ recognized by non-medical personnel.

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Definition of Lost Workdays

There are two types of lost workdays Days away from work Days of restricted activity

Lost workday cases are those that involve days away from work and/or days of restricted work activity beyond the date of injury or onset of illness.

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Definition of Restricted Work Activity

The employee 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.

Partial days away from work (e.g., half days) are considered days of restricted work activity.

Restricted work activity, limited to the day of injury or onset of illness, makes a case recordable.

Transfer to another job almost always involves restricted work activity.

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Redesign of OSHA Recordkeeping System

The redesign of OSHA's recordkeeping system is currently being undertaken.

This will include revision of: OSHA regulations (29 CFR Part 1904) Recordkeeping Guidelines OSHA Form No. 200 - Log and Summary of Occupational Injuries and Illnesses

OSHA Form No. 101 - Supplementary Record of Occupational Injury or Illness

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Goals of the Recordkeeping Revisions

Make the system more user friendlySimplify the systemImprove the utility of the recordsImprove employee involvementMeet the intent of the OSH ActMake the system more compatible with

modern technologyEncourage a more proactive approach to

workplace safety and healthPromote appropriate uses of injury and

illness information

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Proposed Format Changes

Guidelines will be incorporated into the regulations - All information will be in one place.

Question and answer format will be eliminated - Takes up too much space.

OSHA Log will be letter-size - Will be easier to handle, copy, etc.

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Proposed Procedural Changes

Computerized recordkeeping enhancedEmployee involvement in recordkeeping process improvedSite logs - Develop meaningful information for multi-

employer worksites

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Proposed Definition Changes

Restricted work activityMedical treatmentCase resolutionWork relationshipInjury vs. illness

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Timing of the Recordkeeping Revisions

Proposal printed in the Federal Register on February 2, 1996

Comments being reviewed and considered

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OSHA Office of Statistics - Recordkeeping Division

The address and phone number of OSHA's Recordkeeping Division are:

Office of StatisticsDivision of Recordkeeping Requirements200 Constitution Avenue, N.W.Room N-3507Washington, D.C. 20210

(202) 693-1702