Source: https://b-ok.org/book/824100/4e36d9
Timestamp: 2019-03-19 19:54:06
Document Index: 668761429

Matched Legal Cases: ['art 1904', 'art 1952', 'art 1904', 'art 1904', 'art 1904', 'art 1904', 'art 1904', 'arts 1904', 'art 1904', 'art 1904', 'art 1904', 'arts\n1904', 'art 1904', 'art\n1904', 'art 1904', 'art 1904']

OSHA 2002 Recordkeeping Simplified | James Roughton Certified Safety Professional (CSP); Canadian Registered Safety Professional (CRSP); Certified Hazardous Materials Manager (CHMM); MS in Safety Science; Past President of the Georgia Chapter of ASSE | download
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Main OSHA 2002 Recordkeeping Simplified
The Occupational Safety and Health Administration (OSHA) has updated their recordkeeping requirements for the first time since 1971. This results in a significant number of changes for every employer with ten or more employees, which can often cause confusion and failure to comply. OSHA 2002 Recordkeeping Simplified goes beyond the explanation that OSHA supplies to provide an easy understanding of these new requirements. OSHA 2002 Recordkeeping Simplified provides an easy to follow format that allows all those in charge of recordkeeping to comply with the updated standards. The book follows the standards as OSHA provides them and adds commentary in order to explain and simplify. Jim Roughton provides a comparison of the old standards to the new to allow for an easier transition. The text is divided into several major subject sections. First the requirements are addressed to outline new elements compared to the current requirements. Next the supplement information for each subject area is divided into several parts: The first part reviews the relevant sections of the requirement and provides the basic concepts of how recordkeeping works; the second part provides answers to most frequently asked questions about recording and reporting of occupational injuries and illnesses. These questions and answers elaborate on the basic recordkeeping concepts and are further defined in each section. In addition, a series of flow diagrams are used to track the flow of the standard and examples of citations are offered through case histories. A simplified user's guide to the 2002 OSHA record keeping requirements Provides answers to frequently asked questions Offers case histories of citations
ISBN 10: 0750675594
ISBN 13: 9780080513430
W.H.R. Lumsden, R. Muller, J.R. Baker (Eds.)
r~UTTE
E ! N
E M A N N
An imprintof Elsevier Science
Copyright 9 2003, Elsevier Science (USA). All rights reserved.
@ Recognizing the importance of preserving what has been written, Elsevier Science
ISBN: 0-7506-7559-4
200 Wheeler Road, 6th Floor
To my wife, my friend, my lifelong partner, who has always been
patient with me in my endeavors to enhance my safety profession.
Highlights and Major Changes to OSHA's Recordkeeping Rule, 1
How Can I Tell If I Am Exempt?, 4
Low-Hazard Industry Exemption, 4
What Is Important About Recordkeeping?, 8
An Overview of What Has Changed, 8
Overview of the New Forms, 9
Work-Related Status, 9
Recording Criteria, 10
Day Counts, 11
Annual Summary, 11
Employee Involvement (Participation), 11
Protecting Privacy, 12
Reporting Information to the Government, 12
Provisions Delayed, 12
How Can I Get More Information on Recordkeeping?, 13
State Programs, 13
Part I U N D E R S T A N D I N G
1. O v e r v i e w
THE RULE ........................
of t h e Final R e g u l a t i o n . . . . . . . . . . . . . . . . . . . . . . . .
Changes to the New Rule, 17
Transition from the Old Rule to the New Rule, 18
Changes in the Recording Criteria, 19
Overview of the Final Regulation, 24
New OSHA Instructions, 25
Recording and Reporting Requirements, 25
Enforcement Date, 26
Summary of the New Recordkeeping Rule, 26
Citations and Penalties, 38
Recording Criteria for Cases Involving Medical Removal, 39
Privacy Concern Cases--Employee Privacy, 40
Physician or Other Licensed Health Care Provider's Opinion, 41
Other Changes, 42
2. Occupational Injury and Illness Recording and Reporting
Requirements, Part 1904 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Purpose-- Subpart A, 51
Definitions, Section 1904.46, Subpart G, 51
Scope--Subpart B, 58
Partial Exemption for Employers with 10 or Fewer Employees,
Section 1904.1, 59
Partial Exemption for Establishments in Certain Industries,
Section 1904.2, 60
Keeping Records for More Than One Agency, Section 1904.3, 63
Recordkeeping Forms and Recording Criteria--Subpart C, 63
Recording Criteria, Section 1904.4, 64
Determination of Work-Relatedness, Section 1904.5, 69
Determination of New Cases, Section 1904.6, 85
General Recording Criteria, Section 1904.7, 90
Additional Criteria, Sections 1904.8 through 1904.12, 111
Reserved, Sections 1904.13 through 1904.28, 119
OSHA 300 Forms, Section 1904.29, 119
Other OSHA Injury and Illness Recordkeeping Requirements-Subpart D, 124
Multiple Business Establishments, Section 1904.30, 124
Covered Employees, Section 1904.31,125
Annual Summary, Section 1904.32, 126
Retention and Updating, Section 1904.33,130
Change in Business Ownership, Section 1904.34,131
Employee Involvement (Participation), Section 1904.35,131
Prohibition Against Discrimination, Section 1904.36, 135
Variances from the Recordkeeping Rule, Section 1904.38, 136
Providing Records to Government Representatives,
Section 1904.40, 138
Transition from the Former Rule--Subpart F, 139
Summary and Posting of the 2001 Data, Section 1904.43,139
Retention and Updating of Old Forms, Section 1904.44, 139
Amended Part 1952, 140
Reporting Fatality, Injury, and Illness Information to the
Government - Subpart E, 141
Reporting Fatalities and Multiple Hospitalization Incidents to
OSHA, Section 1904.39, 141
Annual OSHA Injury and Illness Survey of Employers of 10
or More Employees, Section 1904.41,143
Requests from the Bureau of Labor Statistics for Data, Section
1904.42, 146
OMB Control Number Under the Paperwork Reduction Act,
Section 1904.45,146
Part II P R O G R A M S THAT S U P P O R T THE R E C O R D K E E P I N G
RULE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
3. Conducting Effective Incident Investigations . . . . . . . . . . . . .
Root Causes Defined, 151
Benefits of Root Cause Analysis, 152
Incident Prevention, 153
What Causes Incidents?, 154
Elements of the Safety System, 154
What Should Be Investigated?, 155
Who Should Investigate an Incident?, 158
Analysis of Patterns, 159
Interviewing Injured Employees, 161
Interviewing Witnesses, 161
Re-creating the Incident, 164
Determining Cause, 164
Corrective Action Plans, 165
Problem-Solving Techniques, 166
Investigation Report, 167
4. The Benefits of Job Hazard Analysis . . . . . . . . . . . . . . . . . . .
Why Do a JHA?, 170
Assigning Responsibility, 172
Conducting a JHA, 172
Breaking Down the Job, 173
Developing a Priority List of Tasks, 175
Using Employee Participation to Develop Task-Specific JHAs, 179
Reviewing the JHA Until Employees Understand the Hazards
of the Job, 180
Developing an Action Plan to Identify Incidents, 180
5. Developing and Administering a Medical Surveillance
Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Why Do You Need a Medical Surveillance Program?, 185
Who Should Manage the Medical Provider?, 186
What Services Do You Need from a Medical Provider?, 187
The Range of Medical Provider Functions, 188
Early Recognition and Treatment, 188
Protocols and Established Standardized Procedures, 190
Medical Provider Qualifications, 190
Evaluating the Qualifications of a Medical Provider, 191
6. Employee Participation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Why Should Employees Be Involved? 194
Getting Employee Participation Started, 197
Usual Forms of Employee Participation, 201
What Management Must Do, 201
7. Overview of How OSHA Works . . . . . . . . . . . . . . . . . . . . . . . . .
OSHA Success Stories, 206
OSHA's Cooperative Programs, 206
Voluntary Protection Programs, 207
Progress and Challenge Ahead, 207
The Purpose of the OSHA Act, 208
Citations and Penalties, 212
How Does OSHA Determine Citations Based on the New Rule?, 218
The Appeals Process, 227
8. Final Words . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Appendix A Regulatory Requirements . . . . . . . . . . . . . . . . . . . . .
Appendix B Side-by-Side Comparison . . . . . . . . . . . . . . . . . . . . .
Appendix C Fact Sheets from OSHA Website . . . . . . . . . . . . . . .
Appendix D Frequently Asked Questions . . . . . . . . . . . . . . . . . .
Appendix E Recordkeeping Training Presentations . . . . . . . . . .
Appendix F Federal Jurisdiction State Plan States . . . . . . . . . . .
Appendix G Forms for Recording Occupational Injuries and
Illnesses and Miscellaneous Information . . . . . . . . . . . . . . . . . . .
Appendix H OSHA Instructions . . . . . . . . . . . . . . . . . . . . . . . . . . .
Appendix I Final Update to OSHA 300 Rule . . . . . . . . . . . . . . . . .
You may question why this book was written. Why did I take the time
to research and assemble the information in this book? After all, you
have access to all of the OSHA rule from the website www.OSHA.gov
and that should be sufficient. I think that these are fair questions and I
will try to answer them the best I can. This book was written to help the
general users understand the OSHA recordkeeping requirements. To
help you, this book has been divided into several major subject areas
within two parts. The rule has been annotated using the preamble, and
specific chapters have been developed that will help to support the new
rule, incident investigation, employee participation, medical provider
selection, and how OSHA works.
This book was written to provide both the novice and the experienced
user a reference to help comply with this new far-reaching rule. In
the past, a guide subtitled Recordkeeping Guidelines for Occupational
Injuries and Illness, commonly known as the "Blue Book," was used to
help with recordkeeping compliance. This guide was an invaluable
resource. It did not provide all of the answers but was detailed enough
to provide similar conditions that could easily be fit to a particular case.
It helped the user make a more educated and informed decision on
questionable cases.
As we make the transition from these guidelines to the requirements
(rule) making sure that you are meeting specific requirements becomes
As a review, in Chapter 2, you will find the rule broken down into a
question-and-answer (Q&A) format. For example, the rule refers to
many sections within sections where you have to understand how to
read the standard numbering system. To help you understand how to
read OSHA regulations, you need to understand how they are written.
Refer to Appendix A for an overview of how to cite the code and find
specific sections in any regulatory requirements. 1
This book has been organized into a logical flow of how to identify a
recordable injury by conducting an incident investigation. In addition,
many flow diagrams and tables have been developed to help find your
way through the process of understanding the rule. The text has been
structured as follows: At the end of each paragraph the appropriate
section is cited with the reference and page number where you can go
directly to the rule (Appendix A) and find the associated text.
Although revised and organized in a logical flow, it is still most
important to understand that this book is only a guide based on the
regulatory text (including the preamble). Every effort has been made to
provide a text that is consistent and accurate based on the most current
O S H A regulatory requirements. However, to understand the full
implication of compliance, you must refer to the full standard (including
the preamble) to understand specific requirements. You must constantly
visit the O S H A website (www.OSHA.gov) to look for updates to the
new rule. This may change over time.
It is always important to make sure that you understand why cases
are recordable. If you decide that there are gray areas and there are still
some areas where you will struggle, and you chose not to record a
particular case, it is highly recommended that you document the
complete history as a backup to your thought process. This is a twofold
9 If you have to explain to anyone why you did not record a case, you
will have a sound documented strategy.
9 In addition, it will provide you an audit trail for any future followup.
Furthermore, if you have a questionable recordable case and you
think that there may be complications in the future, one recommendation is to record the case. At the appropriate time you decide to remove
the case from the log just put a red line through the entry. In other
words, record the case and then as you build your case then you can take
it off the O S H A Log. At least it will show that you have considered this
Many managers and safety professionals consider a written policy to
be a solution to solving safety issues. To help you understand the
importance of recordkeeping, this book has been divided into two parts
to help you follow the process.
PART I: U N D E R S T A N D I N G THE RULE
OSHA's new rule (recording and reporting of occupational injuries
and illnesses) affects approximately 1.4 million establishments. A
number of specific industries in the retail, service, finance, insurance, and
real estate sectors, which are classified as low hazard, are exempt from
most requirements of the rule, as are small businesses with 10 or fewer
The revised rule took effect January 1, 2002, except for provisions
covering hearing loss and musculoskeletal disorders, which OSHA has
proposed to delay for one year while the agency reconsiders these
issues. OSHA states that:
The new rule improves employee involvement (participation), provides a greater level of employee privacy protection, creates simpler
forms, provides clearer regulatory requirements, and allows the use
of computerized forms to meet OSHA regulatory requirements.
The difference is that the old rule did not outline what is recordable.
Prior to 2002, the Part 1904 recordkeeping rule was supplemented by
the "Blue Book," which was considered to show the recordkeeping
guidelines for occupational injuries and illnesses. The book was first
published by the U.S. Department Labor Bureau of Labor Statistics in
September 1986 and modified and updated in March 8, 1999, becoming
the so-called safety bible for determining what was recordable.
This booklet contained guidelines for keeping the occupational injury
and illness records necessary to fulfill recordkeeping obligations under
the Occupational Safety and Health (OSHA) Act of 1970 (29 USC 651)
and 29 CFR Part 1904 or equivalent state law. As of January 1, 2002,
these guidelines were eliminated and incorporated into the new rules.
With this said, there are some major changes in the OSHA recordkeeping rules for 2002 and beyond. This chapter provides an overview of
the major changes from OSHA's old Part 1904 recordkeeping rule to the
new rule. The chapter list summarizes the major differences between the
old and new recordkeeping rules to help employers who are familiar
with the old rule to learn the new rule quickly.
The purpose of the new recordkeeping rule (Part 1904) is to require
employers to record and report work-related fatalities, injuries, and illnesses.
The Purpose section of the final rule explains why O S H A is promulgating this new rule. This section of the rule contains no regulatory
requirements and is intended merely to provide information. A note to
this section informs employers and employees that recording a case on
the O S H A recordkeeping forms does not indicate either that the
employer or the employee was at fault in the incident or that an O S H A
rule has been violated. Recording an injury or illness on the log also
does not, in and of itself, indicate that the case qualifies for workers'
compensation or other benefits. This is often a misunderstood concept.
Many individuals do not understand the difference between the two.
As a result of the differences between the two systems, recording a case
does not mean that the case is compensable, or vice versa. If an injury or
illness occurs to an employee, the employer must independently analyze
the case in light of both the O S H A recording criteria and the requirements of the state workers' compensation system to determine if the
case is recordable or compensable or both, which ever rule(s) apply. 1
However, O S H A notes that many circumstances that lead to a
recordable work-related injury or illness are "beyond the employer's
control," at least as that phrase is commonly interpreted. Nevertheless,
because such an injury or illness was caused, contributed to, or significantly aggravated by an event or exposure at work, it must be recorded
(assuming that it meets one or more of the recording criteria and does not
qualify for an exemption under the geographic presumption, discussed
later). This approach is consistent with the no-fault recordkeeping
system O S H A has adopted, which includes work-related injuries and
illnesses, regardless of the level of employer control or non-control
involved. The issue if different types of cases are deemed work related
under the O S H A recordkeeping rule is discussed later in the workrelationship section (section 1904.5). ~
As you get more into the new rule, you will start to understand specific requirements. However, you must remember that parts of this new
rule are subject to interpretation, particularly when determining workrelatedness. A lot of caution must be taken to make sure that you have
the best evidence (facts) possible to understand each case. This is why
understanding how to conduct an effective incident investigation, discussed in Chapter 3, is important. One important note: No matter the
direction you may take, it is most important that you document all
incident investigations thoroughly and completely.
Reading the preamble of any standard is one of the most important
things that you can possibly do. It allows you to understand the rationale
why O S H A did what it did and some of the comments offered by
stakeholders. How does this help you? It enables you to make some
informed decisions that otherwise cannot be made. As you go through
this book and the new rule (refer to Appendix A for the regulatory text),
you will find that specific sections have been pulled from the preamble,
referenced as a table, applied to particular questions and answers, and
incorporated to help you make a better determination of the recordability status. These excerpts provide you some additional information.
As discussed, I also encourage that you read the preamble, found at
http://www.osha-slc.gov/FedReg_osha_data/FED20010119.html in detail
to get the full benefit of the new rule. The preamble has not been
included due to its length (205 pages, 5916-6121).
PART I1: PROGRAMS THAT SUPPORT THE
Incident investigations are an important element in any effective
management system, particularly when determining recordability. An
incident investigation is a fact-finding management tool to help prevent
future incidents. The investigation is an analysis and account of an
incident, based on factual information gathered by a thorough and
conscientious examination of all of the facts. It is not a mere repetition
of the employee's explanation of the incident. Effective investigations
include the objective evaluation of all the facts, opinions, statements, and
related information, as well as the identification of the root cause(s) and
actions to be taken to prevent recurrence. Facts should be reported without regard to personalities, individual responsibilities, and/or actions.
Blame and fault finding should never be a part of the investigation
proceedings or results.
This chapter provides a brief summary of the root cause analysis
process and helps you understand and conduct successful incident investigations. Incident investigation is an important element in an effective
safety management system. The basic reason for investigating and
reporting the causes of occurrences is to identify action plans to prevent
Job-related incidents occur every day in the workplace. Incidents
often occur because employees are not trained in the proper job
procedure(s). One way to reduce these workplace incidents is to develop
proper job procedures and train all employees in the safer and more
Chapter 4 discusses why developing a job hazard analysis for each
A medical surveillance program is a system put in place to ensure that
the level of occupational health expertise identified in the safety and
health program is sufficient. Having a medical surveillance program
does not mean that you have to hire a doctor to work at your facility.
There are many ways to find and use occupational health expertise. This
chapter provides some guidance to help you decide what will work best
The success of any business depends on all employees that work in an
organization. Protecting employees from hazards on the job not only
makes good business sense but in all cases is the right thing to do. As
part of management, you need not face this task alone. In this chapter,
we outline how employee participation can strengthen your management system and safety program. In addition, we look at some of the
reasons behind this employee participation and some of the ways to
implement a successful employee-driven program.
Unfortunately, with any new rule comes the possibility of inspections
and potential citations or fines for noncompliance. Recordkeeping has
been one of the top reasons for citations for many years. Whether you
are new to the safety profession, new to recordkeeping, or a seasoned
professional, this review will help you understand how OSHA works.
Chapter 7 discusses how penalties and citations are determined. In
addition, it provides some insight on the new OSHA instruction to its
compliance officers and what they are being told to do when conducting
Today, providing employees a safer place to work has reduced
employee injuries. Many companies have developed a safety culture that
says, "Management will provide the commitment and leadership to
provide employees a safe place to work." In addition, "We will let our
employees participate in the safety process." This book is not intended
to discuss corporate culture. Instead, it is designed to talk about the new
OSHA recordkeeping rule in detail. If you are interested in developing
a safety culture, you can refer to my other book, Developing an Effective
Safety Culture:A Leadership Approach. 2
Chapter 8 provides an overview of the concepts presented in this
book with some final words that you may be able to use in achieving a
Good luck on your recordkeeping.
1. Roughton, James, and Nancy Whiting. Safety Training Basics: A
Handbook for Safety Training Program Development. Rockville, MD:
Government Institutes, a Division of ABS Group, Inc., 2000.
2. Roughton, James, and James Mercurio. Developing an Effective Safety
Culture: A Leadership Approach. Boston: Butterworth-Heinemann,
Projects like this book take a lot of time to research to make sure that
the material presented is as accurate as possible. It is even more difficult
when you are trying to provide someone a guidance document on
regulatory issues to make sure that the correct resources are provided
for clarity to the text.
In that event, you look for other professionals that can contribute to
the quality and success of the book and professionals who can help to
convey the message in a better format. In addition, you look for other
quality professionals and authors who have been instrumental in
developing safety programs and Safety Management Processes that
have made a difference in the safety and health field.
I was fortunate to find several professionals who were willing to share
their time and expertise on the subject. A special thanks goes to Neal
Leonhard, CIH, CSP, who I met several years ago. He has been a good
friend and mentor, among many, who has helped me to redefine my
niche in the safety field. I would also like to thank David Coble, CSP,
and Bill Taylor, CSP, for allowing me to reprint/modify several flow
diagrams and charts. These additions helped to make the OSHA 300
guide a better resource and also helped to make several provisions of
the rule easier to understand.
I would also like to recognize the Occupational Safety and Health
Administration (OSHA) on their efforts to promote this new rule.
They provided resources for extensive training via satellite broadcast
and simultaneous webcast. In addition, they conducted many seminars
throughout the country. I would like to commend OSHA on their OSHA
website (http://www.OSHA.gov/recordkeeping/index.htm). This site is
devoted to helping anyone comply with the new rule.
With the knowledge and expertise presented in this book, college
professors, managers, safety professionals, students, and small businesses
can benefit from the text. This book provides a clear road map on how
to implement and comply with the sections of the rule. However, no
matter what is presented in this book there is no substitute for any
I hope that you enjoy this book and recommend it to your friends and
other professionals. In addition, I encourage you to use this book as a
guide only and make sure that you constantly review the O S H A website
for new and updated information to the new rule.
Days away, restricted, or transferred
Lost Workday Injury and Illness Rate
National Advisory Committee on Occupational Safety
Physician or other licensed health care provider
Recordkeeping Policies and Procedures Manual
James E. Roughton has a Master of Science in Safety, is a Certified
Safety Professional (CSP), Canadian Register Safety Professional
(CRSP), and a Certified Hazardous Materials Manager (CHMM). His
experience includes 4 years in the military and 35 years' experience in
industry, with the past 27 years developing and implementing safety
management systems and safety programs that support the management
Mr. Roughton has worked for various corporations. He has served in
the following capacities: provided consulting services for medium to
large manufacturing facilities; developed and implemented management
systems and safety programs; provided consulting services for hazardous
waste remedial investigation and site cleanup and for developing and
implementing site-specific safety plans; conducted site health and safety
assessments; and provided internal support for multiple office locations.
In addition, he has written on various areas of safety, environment,
quality, security, computers, and the like. He also provides mentoring to
professionals who want to get published, and is a frequent coauthor with
those professionals. He is a frequent speaker at conferences and
professional meetings. He can be reached at safeday@mindspring.com
or the website www.emeetingplace.com.
He is a member of the American Society of Safety Engineers (ASSE),
where he is past president of the Georgia chapter. He received several
management and professional awards for safety-related activities,
including the Safety Professional of the Year (SPY).
XXI|I
HIGHLIGHTS AND MAJOR CHANGES TO OSHA'S
One of the newest OSHA rules, 29 Code of Federal Regulations
(CFR) 1904 (recording and reporting of occupational injuries and
illnesses), issued July 3, 2001, went into effect January 1, 2002. There are
some major changes in the OSHA recordkeeping rules for 2002. ~ There
are several exceptions to the rule. OSHA, however, has delayed
implementation of the provisions covering hearing loss and musculoskeletal disorders for one year while it reconsiders these issues.
The intent of this Introduction is to provide a basic overview of the
major changes from OSHA's old Part 1904 recordkeeping rule to the
new rule employers are to use in 2002 and beyond. Table I-1 summarizes
the changes in the new recordkeeping requirements. OSHA states that
The new rule improves employee involvement (participation),
provides a greater level of employee privacy protection, creates
simpler forms, provides clearer regulatory requirements, and allows
the use of computerized forms to meet OSHA regulatory
requirements. (Paraphrased)
Changes in Recordkeeping Requirements
Cover parts of SICs 55, 57, 59, 65, 72, 73,
83, & 84; Exempt parts of SICs 52, 54, 76,
79,& 80.
Include specific exemptions from
recording for certain cases, such as
Limit parking lot exemption to
1904.5 (cont.)
Require recording of preexisting injury
or illness only if workplace exposure
"significantly" aggravates the injury or
Replace term lost workdays in recording
criteria with days away or days restricted
or transferred; count days as calendar
days, rather than scheduled workdays;
cap count at 180 days; do not record
restricted, transferred, or lost time
occurring only on day of injury or illness
as restricted work, job transfer, or a day
away. Define routine duties for restricted
work purposes as work activities done at
least once per week. Define medical
treatment beyond first aid to include
all nonprescription drugs given at
prescription strength and first and
subsequent physical therapy or
chiropractic treatment and to exclude use
of Steri-Strips TM and hot or cold therapy.
Narrow criteria for recording illnesses by
excluding minor illnesses.
Record all needlestick and sharps injury
cases involving exposure to blood or
Record all hearing loss cases at 10-dB
shift rather than 25-dB shift (delayed).
Narrow criteria for recording positive
Make criteria for recording MSD cases
the same as those for all other injuries
and illnesses. Refer to Appendix I.
Replace old log form with simplified
Form 300.
Require that cases be recorded within
seven calendar days rather than six
Require more information on new Form
301 than on former Form 101.
Define new category of "privacy concern
cases" and require maintenance of
separate, confidential list of names for such.
Require employer to protect privacy of
injured or ill workers by withholding
names, with certain exceptions.
Post annual summary for three months
rather than one month.
Review records for accuracy at end of year.
Require descriptive and statistical totals
in annual summary.
Require certification of accuracy of the
log by responsible company official.
With change of ownership, require seller
to turn over OSHA records to buyer.
Inform employees how to report injuries
or illnesses to employer.
Provide union representative access to
some, but not all, Form 301 information.
Delete requirement for common carrier
and motor vehicle incidents to be
Source: Federal Regbter, Vol. 66, No. 13, Friday, January 19, 2001, Part IV, Department of
Labor, Occupational Safety and Health Administration, 29 CFR Parts 1904 and 1952,
Occupational Injury and Illnesses Recording and Reporting Requirements; Preamble,
p. 6082, public domain.
In this rule, some allowances have been m a d e for a n u m b e r of specific
industries in the retail, service, finance, insurance, and real estate sectors,
which are classified as low hazard and exempt from most r e q u i r e m e n t s
of the rule, as are businesses with 10 or fewer employees. The list of
service and retail industries partially exempt from the rule has been
updated. Some establishments covered under the old rule are not
required to keep O S H A records u n d e r the new rule and some formerly
e x e m p t e d establishments now have to keep records. ~ You will learn
more about this in C h a p t e r 1 and 2.
H O W CAN I T E L L IF I A M E X E M P T ?
OSHA used the standard industrial classification (SIC) code to
determine which establishments must keep records. You can search for
the SIC by keywords or four-digit SIC to retrieve descriptive information regarding specific SICs in OSHA's on-line Standard Industrial
Classification search, found on the OSHA website at http://www.osha.
gov/oshstats/sicser.html. 2 See Appendix I.
What Must I Do If l Am Not Exempt?
Employers not exempt from the recordkeeping rules must prepare and
maintain records of work-related injuries and illnesses. You need to review
Title 29 CFR Part 1904, Recording and Report Occupational and Illness,
to determine which cases are to be recorded. 2 Chapter 2 explains the
standard in details and Appendix A provides a copy of the actual standard.
LOW-HAZARD INDUSTRY EXEMPTION
Since 1982, OSHA has exempted some low-hazard industries from
maintaining injury and illness records on a regular basis. The new rule
updates the old rule's listing of partially exempted low-hazard industries,
which are those SIC code industries within SICs 52-89 that have an
average days away, restricted, or transferred (DART) rate at or below
75% of the national average DART rate. The new rule at w
continues this low-hazard industry exemption.
Table I-2 lists these partially exempt industries. Note: In the new rule, the
description of some industry groups is abridged in the chart in Appendix
A. Industries that are not listed, such as Music Stores in SIC 573, are
nevertheless intended to be included in the list. Consult the Standard
Industrial Classification Manual 1987 for a complete description of each
industry included in each industry group. Table I-3 lists newly covered
industries, and Table I-4 lists newly partially exempted industries.
Radio, television, and
Retail stores, not elsewhere
and savings institutions)
Mailing, reproduction, and
Producers, orchestras, and
(schools, colleges, universities,
and libraries)
OSHA2002 Recordkeeping Simplified
Employee and family services
Social services, not elsewhere
Engineering, accounting,
Services, not elsewhere
Source: 29 CFR, 1904.2(a)(1), Non-Mandatory Appendix A to Subpart B--Partially
Exempt Industries, Page 6123, OSHA Instruction, Recordkeeping Policies and Procedures
Manual (RKM), Directive number CPL 2-0.131, effective date: January 1, 2002, Partially
Exempt Industries, pp. 2-23, public domain.
Formerly Exempt Industries That the Final Recordkeeping Rule
Covers (Newly Covered)
Two-Digit Three-Digit
Industry* Industries
Industry That OSHA's Final Rule Covers
SIC 553
SIC 555
SIC 556
SIC 571
SIC 572
SIC 593
SIC 596
SIC 598
SIC 651
SIC 655
SIC 721
Laundry, cleaning, and garment service
SIC73
SIC 734
SIC 735
SIC 736
SIC83
SIC 833
SIC 836
SIC 84
SIC 842
Exempt Industries, p. 6123, OSHA Instruction, Recordkeeping Policies and Procedures
Exempt Industries, pp. 2-24, public domain.
*Only the three-digit SICs shown in the second column are covered by the rule; those
within the two-digit SIC that are not listed are still exempt from the requirement to keep
OSHA records routinely.
Formerly Covered Industries Exempted by the Final Rule
(Newly Partially Exempt Industries)
Industries That OSHA's Final Rule
Industry (SIC) Industry (SIC) Exempts
SIC 54
SIC 764
SIC 791
SIC 792
Producers, orchestras, and entertainers
and clinics of medical doctors
and clinics of dentists
of osteopathic physicians
Three-Digit IndustriesThat OSHA's Final Rule
SIC 80 (cont.)
SIC 807
SIC 809
Health and allied services, not elsewhere
WHAT IS IMPORTANT ABOUT RECORDKEEPING?
Recordkeeping is considered a critical part of any safety and health
efforts for several reasons:
9 Records help keep track of work-related injuries and illnesses and
can help prevent recurrence of incidents.
9 Injury and illness data can help identify problem areas. The more
you know about the situation, the better you can identify and
correct hazardous conditions.
9 You can better administer company safety and health programs with
9 As everyone becomes more awareness of injuries, illnesses, and
hazards in the workplace, employees are more likely to follow safe
work practices and report workplace hazards.
The final recordkeeping rules represents the culmination of an effort,
which began in the 1980s, to improve how the government tracks
A major outreach (providing assistance in complying with the new
requirements) effort has been provided by OSHA to help employers
and employees understand the new changes. To aid in that effort, OSHA
launched a new page on its website that highlights key provisions and
major changes of the new recordkeeping rule. The page, located on the
O S H A website http://www.osha-slc.gov/recordkeeping/index.html,
details training programs and provides various materials designed to aid
employers and employees alike. All of the information has been modified
and incorporated into this book to help provide a quick reference to the
The following summarizes the major enhancements of the rule to
help employers who are familiar with the old rule learn the new rule
quickly. 1
OVERVIEW OF THE NEW FORMS
Three new forms have been developed to document recordable cases:
9 The OSHA 300 Form (Log of Work-Related Injuries and Illnesses),
which replaces the OSHA 200, has been simplified and can be
printed on smaller legal-sized paper.
9 The OSHA 301 Form (Summary of Work-Related Injuries and
Illnesses), which replaces the OSHA 101 (Injury and Illness
Incident Report), includes more data about how the injury or
illness occurred.
9 The OSHA 300A Form (a new addition) provides additional data
to make it easier for employers to calculate incidence rates.
Maximum flexibility has been provided, so employers can keep all the
information on computers, at a central location, or on alternative forms,
as long as the information is compatible and the data can be produced
WORK-RELATED STATUS
To be work related, an injury requires a "significant" degree of
aggravation before a preexisting injury or illness becomes recordable.
The work-related status adds further exceptions to the definition of
work-relatedness to limit recording of the geographic presumption of a
work relationship. For example, the following cases no longer need to be
recorded: cases arising from eating and drinking of food and beverages,
blood donations, exercise programs, common cold and flu cases. This is
discussed in detail in Chapter 2.
Additional criteria for deciding when mental illnesses are considered
work related have been added.
Sections have been added clarifying the work relationship when
employees travel or work out of their home.
Different criteria for recording work-related injuries and illnesses are
eliminated; one set of criteria is used for both. (The former rule required
employers to record all illnesses in a separate section of the log,
regardless of severity.) Employers are required to record work-related
injuries or illnesses if they result in one of the following: death, days
away from work, restricted work or transfer to another job, medical
treatment beyond first aid, loss of consciousness, or diagnosis of a
significant injury or illness by a physician or other licensed health care
The rule includes new definitions for medical treatment, first aid, and
restricted work that are intended to simplify recording decisions. First
aid is defined by treatments on a finite list. All treatment not on this list
is considered medical treatment. This is discussed in more detail in
The recording of "light duty," or restricted work, cases has been
clarified. Employers are required to record cases as restricted work
cases when the injured or ill employee works only partial days or is
restricted from performing their "routine job functions" (a routine job
function is defined as work activities the employee regularly performs at
least once weekly).
Employers are required to record all needlestick and sharps injuries
involving contamination by another person's blood (bodily fluids) or
other potentially infectious material.
Musculoskeletal disorders (MSDs) are treated like all other injuries
or illnesses: They must be recorded if they result in days away, restricted
work, transfer to another job, or medical treatment beyond first aid. See
Special recording criteria are included for cases involving the workrelated transmission of tuberculosis or medical removal under O S H A
The term lost workdays has been eliminated. The rule requires
recording days away from work, days of restricted work, or transfer to
another job. In addition, some new rules for counting rely on calendar
days instead of workdays. Employers are no longer required to count
days away or days of restriction beyond 180 days.
In addition, the day when the injury or illness occurs is not counted as
a day away from work or a day of restricted work.
The following is an overview of the annual summary policy:
9 Employers must review the 300 Log information before it is
summarized on the 300A Form.
9 The new rule includes data on hours worked to make it easier for
employers to calculate incidence rates.
9 A company executive is required to certify the accuracy of the
9 The annual summary must be posted for three months instead of
EMPLOYEE INVOLVEMENT (PARTICIPATION)
Employers are required to develop a procedure for employees to be
able to report injuries and illnesses and tell their employees how to
report these events.
In addition, employers are prohibited from discriminating against
employees who do report injuries and illnesses by Section 11(c) of the
Employees are allowed to access the 301 Forms to review records of
their own injuries and illnesses. This will be discussed in more detail in
For the first time, employees and former employees are guaranteed
access to their individual OSHA 301 Forms. Employee representatives
are provided access to the "information about the case" section of the
OSHA 301 Form in establishments where they represent employees.
In addition, the privacy section protects employee by the following
9 Employers are prohibited from entering an individual's name on
the OSHA 300 Form for certain types of injuries and illnesses (e.g.,
sexual assaults, HIV infections, mental illnesses).
9 Employers are allowed to withhold descriptive information about
sensitive injuries in cases where not doing so would disclose the
employee's identity.
9 Employee representatives are given access to only the portion of
Form 301 that contains no personal information.
9 Employers are required to remove employees' names before providing the data to persons not provided access rights under the rule.
Employers must notify OSHA concerning all fatal heart attacks
occurring in the work environment. This is a new provision in the rule.
The rule excludes some motor carrier and motor vehicle accidents
from the reporting of fatalities and catastrophes. Employers do not need
to notify OSHA about public street motor vehicle accidents except
those in a construction work zone. In addition, employers do not need to
notify OSHA of any commercial airplane, train, subway, or bus accidents.
Also, employers must provide records to an OSHA compliance
officer who requests them within 4 hours.
Two provisions of the standard have been delayed until at least one
year, to January 2003. These would
9 Require employers to record standard threshold shifts (STS) in
employees' hearing and to check a separate column on the OSHA
300 for these cases. (OSHA is reconsidering the level of hearing
loss that should be recorded as a significant health condition.)
9 Define musculoskeletal disorder and require employers to check a
separate column on the OSHA 300 to record these injuries.
These are discussed later in Chapter 3. Also, see Appendix I.
This book is a collection of all of the current information provided by
OSHA. You should have everything that you need except for the
preamble to the rule. You can find the preamble on the OSHA website
at http://www.osha-slc.gov/recordkeeping/index.html. You can also
receive a copy of the regulation from OSHA's Office of Publication, RO.
Box 37535, Washington, DC 20013-7535; phone number (202) 693-1888.
If your workplace is in a state operation under an OSHA-approved
plan, state plan standards, although similar to federal ones, may have
different and independent requirements. For further information and
assistance, you can call OSHA at 1-800-321-OSHA or the nearest OSHA
regional office and ask for the recordkeeping coordinator. Refer to
Appendix F for a list of these locations.
States that operate their own job safety and health programs are
adopting comparable recordkeeping rules that also became effective
January 1, 2002. States must have the same requirements as to which
injuries and illnesses are recordable and how they are recorded. However, other provisions, such as industry exemptions, may be different as
long as they are as stringent as the federal requirements.
Note: This introduction is a summary of two specific documents that
are available from the OSHA website, Brochure-OSHA Publication
31692 and Major Changes. 3 In addition, for your convenience, these
documents have been included in Appendix A.
O S H A2002 Recordkeeping Simplified
OSHA website, fact sheet, http://www.osha.gov/OshDoc/data_
RecordkeepingFacts/Rkfactsheetl.pdf, public domain.
OSHA website, brochure -- OSHA Publication 3169, http://www.
osha-slc.gov/Publications/osha3169.pdf, public domain.
OSHA website, Major Changes, http://www.osha-slc.gov/recordkeeping/
RKmajorchanges.html, public domain.
On February 2, 1996, OSHA published its first proposed rule for
Occupational Injury and Illness Recording and Reporting. 1,2 On
February 29, 1996, OSHA published an addendum to the proposed rule, 3
the executive summary of the Preliminary Economic Analysis. On
January 19, 2001, the final rule was published in the Federal Register 4
with an effective date of January 1, 2002. The new Part 1904 recordkeeping rule maintains the basic structure and practices of the old system but
employs new forms and somewhat different requirements for recording,
maintaining, posting, retaining, and reporting occupational injury and
illness information (refer to Appendix A). Information collection and
reporting under the new rule continues to be done on a calendar-year
basis. 2
CHANGES TO THE NEW RULE
As discussed in the Introduction, on July 3, 2001, OSHA issued a
notice in the Federal Register, announcing it was proceeding with
implementation of the new Recordkeeping Rule effective January 1,
2002, with two exceptions. 5 0 S H A proposed delaying for one year
implementing the criteria covering work-related hearing loss and the
definition of musculoskeletal disorders (MSDs), including the requirement to check the Hearing Loss and MSD columns on the OSHA 300
Log. See Appendix I. Public comments were accepted on this proposal
through September 4, 2001. On October 12, 2001, 6 0 S H A issued a
notice in the Federal Register s delaying the effective date of three
provisions the final new rule published January 19, 2001.
The following changes highlight the revisions to the new rule
published in the October 12, 2001, Federal Register notice: 6
9 Section 1904.10 was amended by adding a note to the section
(paragraphs (a) and (b) of this section are effective on January 1,
2003; paragraph (c) of this section applies from January 1, 2002
until December 31, 2002), and by adding a new paragraph (c),
paraphrased here: Recording criteria for calendar year 2002--from
January 1, 2002 until December 31, 2002, you are required to record
a work-related hearing loss averaging 25 dB or more at 2,000, 3,000,
and 4,000 Hz in either ear on the OSHA 300 Log. You must use the
employee's original baseline audiogram for comparison. You may
make a correction for presbycusis (aging) by using the appropriate
tables listed in of 29 CFR 1910.95, Appendix E The requirement
that states with OSHA-approved state plans must
have the same requirements for determining which injuries and
illnesses are recordable and how they are recorded shall not
preclude the states from retaining their existing criteria with regard
to this section during calendar year 2002. 6(p52~ See Appendix I.
9 Section 1904.12 (Recording Criteria for Cases Involving WorkRelated Musculoskeletal Disorders, see Appendix I) was amended
by adding a note to the section, paraphrased here: Note to
-- this section is effective January 1, 2003--from January 1,
2002 until December 31, 2002, you are required to record workrelated injuries and illnesses involving muscles, nerves, tendons,
ligaments, joints, cartilage and spinal discs in accordance with the
requirements applicable to any injury or illness under w
(Determination of Work-Relatedness), w
New Cases), w
(General Recording Criteria), and w
(Forms). For entry (M) on the OSHA 300 Log, you must check
either the entry for ~ injury" or "all other illnesses. "6(p 952034)
9 Section 1904.29(b)(7)(vi) was revised to read as follows: Other
illnesses, if the employee independently and voluntarily requests that
his or her name not be entered on the log. Musculoskeletal disorders
(MSDs) are not considered privacy concern cases. (Note" The first
sentence of this w
is effective on January 1, 2002.
The second sentence is effective beginning on January 1, 2003.) 6(p'52034)
TRANSITION FROM THE OLD RULE TO THE NEW RULE
The transition includes training and outreach to familiarize employers
and employees about the new forms and requirements as well as
Overview of the Final Regulation
informing employers in newly covered industries, as discussed in the
Introduction to this book, that they are now required to keep OSHA
Part 1904 records. An additional transition issue for employers, who kept
records under the old system and also keep records under the new
system, is how to handle the data collected under the old system during
the transition year. 4
Sections 1904.43 (Summary and Posting of the 2001 Data, p. 6134)
and 1904.44 (Retention and Updating of Old forms, page 6134) 2 of the
new rule address what employers must do to keep the required OSHA
records during the first five years (transition period) that the new system
is in effect. The majority of the transition requirements apply only to the
first year, when the data from the previous year (collected under the old
rule) must be summarized and posted during the month of February. For
the remainder of the transition period, the employer is required to
retain the records created under the old rule for five years and provide
access to those records for the government, the employer's employees,
and employee representatives. 4
Prior to the new recordkeeping rules, a manual developed by the U.S.
Bureau of Labor Statistics (BLS) (see Appendix I) issued in September
1986, the "blue book," included OSHA's interpretation of the standards
and was for guidance about recordability. This manual was revised
March 1999. In the transition from the old rule to the new rule, employers
make a clean break with the old system. On January 1, 2002, the new
rule replaced the old rule, which discontinued the use of all previous
forms, interpretations, and guidance. Table 1-1 is a timetable that outlines
the sequence of events and postings that have occurred or will occur.
The new rule's requirements for certification by a company executive
and a three-month posting period do not apply to the posting of the
OSHA 200 Log and Summary for the year 2001 but will apply for the
year 2002. 4
CHANGES IN THE RECORDING CRITERIA
OSHA recognizes that individual employers will be affected
differently by the changes in the final rule and that some employers will
record more cases under the final system while others will record fewer.
Table 1-2 shows changes to the definitions of medical treatment and first
aid and Table 1-3 provides an overview of the impact on number of
cases recorded. OSHA also believes that the overall effect of the
changes made to the final rule is to greatly ease the determination of
recordability. Table 1-4 shows changes in recording criteria and Table 1-5
Timetable of Sequence of Events and Posting
Employers keep injury and illness information on the
Employers begin keeping data on the OSHA 300 Form
Employers post the 2001 data on the OSHA 200 Form
Employers may remove the 2001 posting
Employers post the 2002 data on the OSHA 300A Form
Employers may remove the 2002 posting
Source: Federal Register, Vol. 66, No. 13, pp. 6071, OSHA Instruction, Recordkeeping
Policies and Procedures Manual (RKM), directive number: CPL 1-0.131, effective date:
January 1, 2002, OSHA website: http://www.osha-slc.gov/OshDoc/Directive_data/CPL_l0_131.html, public domain; Federal Register, Vol. 66, No. 13, Friday, January 19, 2001, Part
IV, Department of Labor, Occupational Safety and Health Administration, 29 CFR Parts
1904 and 1952, Occupational Injury and Illnesses Recording and Reporting Requirements;
Preamble, pp. 5916-6122, public domain.
Changes to the Definitions of Medical Treatment and First Aid
The former rule defined medical treatment as any treatment, other than first aid
treatment, administered to injured or ill employees. Medical treatment involved
the provision of medical or surgical care for injuries through the application of
procedures or systematic therapeutic measures.
The former regulation defined first aid as "any one-time treatment, and any
follow-up visit for the purpose of observation, of minor scratches, cuts, burns,
splinters, and so forth, which do not ordinarily require medical care. Such onetime treatment, and follow-up visits for the purpose of observation are
considered first aid even though provided by a physician or registered
The former Recordkeeping Guidelines provided two lists of treatments
employers could use to determine whether a particular treatment was first aid
or medical treatment for recordkeeping purposes. For example, the use of
prescription drugs was generally considered medical treatment, except when
only a single dose was prescribed. Physical therapy, hot or cold therapy, or
soaking therapy was considered medical treatment if it was used on a second or
subsequent visit to medical personnel. Treatment of any third- or second-degree
burn was considered medical treatment. The former rule's lists provided a useful
starting point for determining which treatments were first aid or medical
treatment, but also caused some confusion because, if a particular treatment was
not on either list, the employer was not sure how to classify the treatment.
The final rule defines medical treatment as the management and care of a
patient to combat disease or disorder. For the purposes of Part 1904, medical
treatment does not include visits to a physician or other licensed health care
professional solely for observation or counseling; the conduct of diagnostic
procedures, such as X rays and blood tests, including the administration of
prescription medications used solely for diagnostic purposes (e.g., eye drops to
dilate pupils); or first aid.
The final rule then defines first aid by listing 14 first aid treatments, such as
using nonprescription drugs at nonprescription strength, using bandages or
butterfly bandages, using hot or cold therapy, using splints or slings to transport
an accident victim, and drinking liquids for relief of heat stress.
The final rule changes the definitions of which treatments are considered first
aid and medical treatment. Each change will result in some change in the
number of cases that are recorded, as shown in Table 1-3.
Source: Federal Register, Vol. 66, No. 13, Friday, January 19, 2001, Part IV, Department of
p. 6084, public domain.
Changes from the Former Rule to the Final Rule and Their
Impact on Number of Cases Recorded
Changes from the Former Rule
to the Final Rule
of Cases Recorded
Medical treatment now includes all
nonprescription drugs at prescription strength
and any dose of a prescription drug
First aid now includes hot or cold therapy,
regardless of how often applied
Medical treatment now includes any physical
therapy or chiropractic treatment
First aid now includes use of butterfly bandages
and Steri-Strips for any purpose
Medical treatment now includes any use
Second degree burns are now not automatically
p. 6085, public domain.
The former rule exempted all employers with 10 or fewer employees and all
employers in specific low-hazard retail and service industry sectors from
routinely keeping OSHA records. The industry exemptions were based on
injury and illness data at the two-digit SIC code level.
The final rule includes a number of changes that will affect the number of
recorded cases and thus may affect the costs and costs savings associated with
Some of these changes will result in more cases being recorded: (1) changes to
the definitions of medical treatment and first aid, (2) change to the criterion for
recording cases of hearing loss, and (3) change to the criterion for recording
needlestick and sharps injuries. Other changes will result in fewer cases being
recorded: (1) exemptions from the requirement to consider certain cases work
related, (2) elimination of different recording criteria for injuries and illnesses,
(3) changes to the requirements for recording injuries and illnesses with days
away from the job or job restriction or transfer, (4) changes to the criteria for
recording cases of tuberculosis, and (5) elimination of separate recording
criteria for musculoskeletal disorders.
Because the final rule makes a number of changes, some of which increase
the number of recordable injuries and illnesses and some of which decrease the
number of recordable cases, it is difficult to estimate the impact of each change.
OSHA expects that these changes, with two exceptions, will offset each other,
with the result that approximately the same number of injury and illness cases
will be recorded under the final rule as were recorded under the former rule.
The costs and cost savings associated with each small definitional change have
not been quantified in the economic analysis. However, the changes made in the
recording of hearing loss cases (delayed) and the recording of needlestick and
sharps injury cases will result in quantifiable increases in the number of
O S H A recognizes that individual employers will be affected differently by
the changes made in the final rule and that some employers will record more
cases under the final rule while others will record fewer. O S H A also finds that
the overall effect of the changes made to the final rule is to greatly ease the
determination of recordability, and has quantified these cost savings in the
p. 6083, public domain.
Elimination of Different Recording Criteria for Injuries
Under the former rule, employers were required to record all work-related
deaths, all illnesses, and injuries that resulted in days away from work, restricted
work, transfer to another job, medical treatment beyond first aid, or loss of
consciousness. The employer was required to decide if the case was either an
injury or illness; injuries included all back cases and any case caused by an
instantaneous event, while illnesses were any abnormal condition or disorder
caused by a noninstantaneous event. The employer was required to record every
illness case, regardless of severity.
Under the final rule, the employer is not required to determine whether a case
is an injury or illness to decide whether or not to record the case. A case is
recordable if it results in death, days away from work, job restriction or transfer,
medical treatment beyond first aid, loss of consciousness, or if the case is a
significant injury or illness diagnosed by a physician or other licensed health
care professional. Additional criteria are included for cases of hearing loss,
tuberculosis, and needlestick injuries and the rule clarifies how to record
musculoskeletal disorders and cases involving medical removal or work
restriction under OSHA's standards.
The new general recording criteria eliminate the recording of minor illness
cases, which will result in fewer cases being recorded by employers and lower
costs. The new criteria for recording hearing loss and needlestick cases will
increase the number of cases and the costs associated with recording.
provides an overview of the elimination of different recording criteria
for injuries and illnesses. 1
The final regulation reflects a complete rewriting of 29 CFR Part
1904. As discussed, the new version of the rule is written in plain
language, using a question-and-answer ( Q & A ) format. This style is
designed to make the rule clearer, more accessible, and easier for all
users to understand. In addition, the final rule provides answers to many
questions that employers frequently ask about recordkeeping. By
including these questions and answers in the rule, O S H A provides
employers with a readily available source of information on how to
record particular cases. Appendix D has questions and answers based on
the agency promotion of the new rule and comments received from
participants during the satellite seminar training sessions. This means
that the quality of the data being recorded should be higher than in
the past. 1
The rule has been completely restructured, placing provisions of the
rule into a logical sequence, with topics addressed as an employer would
encounter them in the work environment when trying to comply with
the rule. This makes the text flow in a more logical format. All numbering of sections within 29 CFR Part 1904 has been entirely revised, a
Appendix B has a side-by-side comparison of the changes.
NEW OSHA INSTRUCTIONS
OSHA issued a new manual, Recordkeeping Policies and Procedures
Manual (RKM), directive number CPL 1-0.131, with the effective date of
January 1, 2002 (see Appendix H), that details recordkeeping compliance
policies and procedures from several existing OSHA instructions as they
apply to the new rule. 4 This new OSHA instruction and compliance
officer checklist and other information are discussed in more detail in
Chapter 7 and Appendix H.
To make sure that national statistics are uniform, states must adopt
the interpretations in the OSHA instruction manual that relate to the
determination of which injuries and illnesses are recordable and how
they are to be recorded. (States must also adhere to any additional
formal federal interpretations regarding the recording and reporting of
injuries and illnesses issued through formal letter or memorandum or
posted on OSHA's website.) States must implement these interpretations as soon as possible but no later than six months from the date of
issuance of the instruction (January 1, 2002)and submit the cover page
of the state's implementing guidance to the regional administrator. 4
Therefore, the revised recordkeeping rule section 29 CFR w
(State Recordkeeping Regulations) and w
(Injury and Illnesses
Recording and Reporting Requirements) require that states adopt
substantially identical to the requirements in the federal revision of 29
CFR Part 1904. All other injury and illness recording and reporting
requirements must be at least as effective as the federal requirements.
The states are expected to adopt a regulation equivalent to 29 CFR 1904
by January 1, 2002. States are also required to adopt provisions corresponding to the federal provisions on hearing loss and musculoskeletal
disorders promulgated October 12, 2001. During calendar-year (CY)
2002, states having existing criteria for recording hearing loss that are
stricter than the federal 25-dB level may maintain those criteria. 4 See
OSHA decided not to issue citations for violations of the recordkeeping rule during the first 120 days after January 1, 2002, provided
that the employer attempted in good faith to meet its recordkeeping
obligations and agreed to make the corrections necessary to bring the
records into compliance. During the initial period that the new recordkeeping rule is in effect, OSHA compliance officers conducting inspections focused on assisting employers to comply with the new rule rather
than enforcement. 4
SUMMARY OF THE NEW RECORDKEEPING RULE
The central requirements for the new OSHA's recordkeeping rule, 29
CFR 1904 include the following areas.
The rule requires employers to keep records of occupational deaths,
injuries, and illnesses and to make certain reports to OSHA and the
Bureau of Labor Statistics. Employers with 10 or fewer workers and
employers who have establishments in certain retail, service, finance, real
estate, or insurance industries are not required to keep these records.
However, they must report any occupational fatalities or catastrophes
that occur in their establishments to OSHA, and they must participate in
government surveys if asked to do so. 4 See Chapter 2 for more details
and Table 1-6 for an overview of the changes in coverage.
The final rule continues the former rule's exemption of all employers with 10 or
fewer employees from routine recordkeeping requirements. The final rule also
exempts all employers in specific lower-hazard retail and service industry
sectors, as the former rule did, from maintaining OSHA records routinely. The
final rule exempts three-digit SIC industries if their average lost workday injury
(LWDI) rate was at or below 75 % of the overall private sector LWDI average
rate in the most recent BLS occupational injury and illness data.
Updating the list of exempted industry categories by relying on three-digit,
rather than two-digit, data in the final rule results in 17 formerly exempt
industries being covered under the final rule (see Table 1-3). Employers in 16
industries that were covered by the former rule are exempted by the final rule
(see Table 1-4). The exemptions in the final rule are better targeted than those in
the former rule, because high-hazard three-digit industries embedded within
lower-hazard two-digit industries are not exempted, while low-hazard threedigit industries embedded within higher-hazard two-digit industries are
exempted. Employers in the newly covered industries will experience additional
costs and benefits from these new requirements, while newly exempted
employers will also experience changes in costs and benefits. These costs and
benefits are quantified in this economic analysis.
Changes to the OSHA Forms
Employers who operate establishments that are required by the rule
to keep injury and illness records are required to complete three forms:
9 O S H A 300 Log of W o r k - R e l a t e d Injuries and Illnesses.
9 A n n u a l O S H A 300A S u m m a r y of Work-Related Injuries and
9 O S H A 301 Injury and Illness Incident Report. 4
Table 1-7 presents an overview of the changes to these O S H A Forms.
Employers are required to keep separate 300 Logs for each establishment that they operate that is expected to be in operation for one year
The former rule required the employer to maintain two forms, the OSHA 200
Log and Summary of Occupational Injuries and Illnesses (one form including
both a log and summary) and the OSHA 101 Supplementary Record of
Occupational Injuries and Illnesses. The employee who supervised the
production of the annual summary was required to certify it.
The final rule requires the employer to maintain up to four records: the OSHA
300 Log of Work-Related Injuries and Illnesses, the OSHA 300-A Summary of
Work-Related Injuries and Illnesses, the OSHA 301 Injury and Illness Incident
Report, and if one or more employees experiences an injury or illness case
classified as a "privacy concern" case, a confidential list of those employees. (See
the discussion on privacy provisions, Table 1-15.)
The new OSHA 300 Log is smaller than the OSHA 200 Log. It fits on legal
sized pages (81/2" • 14") and has fewer columns and a more logical, user friendly
design. Each injury and illness must be recorded within seven calendar days, as
compared to the six working days allowed under the former rule. Although the
300 Log requires essentially the same information as the 200 Log, it is easier to
complete, which will result in cost savings for employers.
The OSHA 300-A Summary Form replaces the summary portion of the
former OSHA 200 Log and Summary Form. Each covered employer must
complete the summary at the end of the year and post it for three months, while
the former rule required posting for one month. The longer posting period will
result in only minimal additional costs. The final rule also requires the employer
to review the records at the end of the year for accuracy before summarizing
them, additional certification of accuracy by a company executive, and
additional data on the average employment and hours worked at the
establishment. These changes will result in higher-quality data but add costs for
employers. These costs are quantified in this economic analysis.
The OSHA 301 Incident Report is only slightly different from the OSHA
101 Form. Some data elements have been added to the form. In addition, the
form has been redesigned to obtain better responses to the questions and
accommodate employee access to the forms while still protecting privacy (see
the discussion on privacy, Table 1-15).
or longer. The log must include injuries and illnesses to employees on
the employer's payroll and injuries and illnesses of other employees
who the employer supervises on a day-to-day basis, such as temporary
workers or contractor employees who are subject to daily supervision by
the employer. Within seven calendar days of the time the fatality, injury,
or illness occurred, the employer must record any case that is work
related, a new case, and meets one or more of the recording criteria in
the rule. 4 It depends on the supervision of the employee and must be
Use of Computerized and Centralized Records
Beginning January 1, 2002, references in any O S H A directive,
memorandum, or other publication to the recordkeeping forms will be
considered as references to the O S H A 300, 301, and 300A unless it is
clear that the reference is to the forms used before January 1, 2002. Also,
all references to the Lost Workday Injury (LWDI) rate or the Lost
Workday Injury and Illness (LWDII) rate shall be considered to be a
reference to the Days Away, Restricted, or Transferred (DART) rate,
unless it is clear that the reference is to the rate in use prior to January 1,
2002. 4 See Table 1-8 for changes to the rules on use of computerized and
centralized records.
Computerized and Centralized Records
The former rule allowed the employer to keep the OSHA 200 Log on computer
equipment or at a location other than the establishment and required that the
employer have available a copy of the Log current to within 45 calendar days.
The former rule had no provisions for keeping the OSHA 101 Form off-site or
on computer equipment.
The final rule allows all forms to be kept on computer equipment or at an
alternate location, providing the employer can produce the data when it is
needed to provide access to a government inspector, employee, or an employee
representative. There is no need to keep records at the establishment at all
The final rule provides the employer with greater flexibility for keeping records
on computer equipment and at off-site locations. These costs savings have been
quantified in the economic analysis.
p. 6086, public domain.
Changes to the Determination of a Work Relationship
Section 1904.5(a) states that the e m p l o y e r
must consider an injury or illness to be work-related if an event or
exposure in the work environment either caused or contributed to
the resulting condition. Work-relatedness is presumed for injuries
and illnesses resulting from events or exposures occurring in the
U n d e r this language, a case is p r e s u m e d w o r k r e l a t e d if and only if an
e v e n t or e x p o s u r e in the w o r k e n v i r o n m e n t is a discernable cause of the
injury or illness or of a significant aggravation to a preexisting condition.
The w o r k event or exposure n e e d only be one of the discernable causes;
it n e e d not be the sole or p r e d o m i n a n t cause. 4
Section 1904.5(b)(2)(ii) states that a case is not r e c o r d a b l e if it
involves signs or symptoms that surface at work but result solely
from a non-work-related event or exposure that occurs outside of
This language is i n t e n d e d as a r e s t a t e m e n t of the principle expressed in
the previous p a r a g r a p h .
Section 1904.5(b)(3) states that, if it is not obvious w h e t h e r the
precipitating event or exposure occurred in the w o r k e n v i r o n m e n t or
elsewhere, the e m p l o y e r "must evaluate the e m p l o y e e ' s w o r k duties
and e n v i r o n m e n t to decide if one or m o r e events or exposures in the
w o r k e n v i r o n m e n t caused or c o n t r i b u t e d to the resulting condition or
significantly aggravated a pre-existing condition." This m e a n s that the
e m p l o y e r must d e t e r m i n e if it is m o r e likely than not that work events
or exposures were a cause of the injury, illness, or significant aggravation
to a preexisting condition. If the e m p l o y e r decides that the case is not
w o r k related and O S H A s u b s e q u e n t l y issues a citation for failure to
record, the g o v e r n m e n t would have the b u r d e n of proving that the
injury or illness was work related. 4 See C h a p t e r 2 for details.
Table 1-9 examines the changes to the d e t e r m i n a t i o n of a work
relationship, and Table 1-4 discusses the different recording criteria for
Under the former rule, a work relationship was established if work either
caused or contributed to the injury or illness or aggravated a preexisting
condition. Injuries and illnesses that occurred on the employer's premises were
presumed to be work related, with three exceptions: cases that occurred in a
parking lot or recreational facility, cases that occurred while the employee was
present at the workplace as a member of the general public and not as an
employee, and cases where injury or illness symptoms arose at work but were
the result of a nonwork-related injury or illness. These were not required to be
A work relationship is established if work either caused or contributed to the
injury or illness or significantly aggravated a preexisting condition. The final
rule continues the former rule's geographic presumption of a work relationship
but adds several additional exceptions to the need to record cases involving:
voluntary participation in wellness programs, eating and drinking food or
beverages for personal consumption, intentionally self-inflicted wounds,
personal grooming, or the common cold or flu. The final rule also contains an
exception that limits the recording of mental illness cases.
The final rule changes the requirement to record cases in which any degree of
aggravation of a preexisting injury or illness has occurred; now, the work
environment must have significantly aggravated a preexisting injury or illness
before the case becomes work related. The final rule also adds several new
exceptions to the geographic presumption of a work relationship. Both changes
will result in fewer cases being recorded under the final rule.
p. 6084,public domain.
Work-related injuries and illnesses are considered to be new cases
when the employee has never reported similar signs or symptoms before
or when the employee has completely recovered from a previous injury
or illness and workplace events or exposures have caused the signs or
symptoms to reappear. 4 See Chapter 2 for more detail.
Employers must classify each case on the 300 Log in accordance with
the most serious outcome associated with the case. For cases resulting in
days away from work or a work restriction or transfer of the employee,
the employer must count the n u m b e r of calendar days involved and
enter that total on the form. The employer may stop counting when the
total n u m b e r of days away, restricted, or transferred reaches 180. 4 See
Chapter 2 for more detail.
A n employee's work is considered restricted when, as a result of a
work-related injury or illness,
9 The employer keeps the employee from performing one or more of
the routine functions of his or her job or from working the full workday that he or she would otherwise have been scheduled to work, or
* A physician or other licensed health care professional recommends
that the employee not perform one or more of the routine
functions of his or her job, or not work the full workday that he or
she would otherwise have been scheduled to work. 4
See C h a p t e r 2 for m o r e details.
The new rule continues the policy established u n d e r the old rule that
a case is not recordable u n d e r section 1904.7(b)(4) ( G e n e r a l R e c o r d i n g
Criteria) as a restricted w o r k case if the e m p l o y e e experiences m i n o r
musculoskeletal discomfort, a health care professional d e t e r m i n e s that
the e m p l o y e e is fully able to p e r f o r m all of his or her routine job
functions, and the e m p l o y e r assigns a work restriction to that e m p l o y e e
for the p u r p o s e of preventing a m o r e serious condition from developing. 4 Table 1-10 summarizes the changes to days away and job restriction
Days Away from Work and Job Restriction or Transfer
Under the former rule, employers were required to record lost workday cases,
which were defined as any case that resulted in days away from work and/or days
of restricted work or job transfer. Restricted work included any case when,
because of injury or illness, (1) the employee was assigned to another job on a
temporary basis, (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 his or her routine duties. Routine duties were defined as any activity the
employee would be expected to perform even once during the course of the year.
The employer was required to record any case that involved restricted work, even
if the restriction occurred only on the day the injury or illness occurred.
Employers were also required to count days as the number of scheduled days
away or restricted, that is, to use a counting system that included only scheduled
workdays and excluded any days off, such as weekends and days the plant was
The final rule continues to require employers to record cases with days away
from work, restricted work, or transfer to another job. For restricted work or a
job transfer, the final rule focuses on whether or not the employee is permitted
to perform his or her routine job functions, defined as the duties he or she
would have performed at least once per week before the injury or illness. If the
work restriction is limited to the day of the injury or illness and none of the
other recording criteria are met, the case is not recordable.
The final rule continues to require the employer to count days away from
work and days of restricted work or job transfer. However, the days are counted
using calendar days, and employers may stop the count at 180 days. The
employer also may stop counting restricted days if the employer permanently
modifies the employee's job in a way that eliminate the routine functions the
employee was restricted from performing.
The final rule shifts the focus of the definition of restricted work to the routine
functions of the job and away from the former rule's focus on any activity the
injured or ill employee might have performed during the work year and
eliminates the requirement to record cases that involve restrictions only on the
day of injury or illness. These changes will result in fewer cases being recorded
and reduce costs for employers.
The final rule's changes to the method of counting days, that is, relying on
calendar days instead of scheduled workdays, will simplify the counting
requirements and produce more reliable information on injury and illness
severity. Both the change to the calendar day counting method and the capping
of days away and days restricted or transferred at 180 days will reduce costs for
Medical treatment means any treatment not contained in the list of
first aid treatments. Medical treatment does not include visits to a health
care professional for o b s e r v a t i o n and counseling or diagnostic
procedures. First aid refers to only those treatments specifically listed in
section 1904.7. Examples of first aid include the use of nonprescription
medications at nonprescription strength, the application of hot or cold
therapy, eye patches or finger guards, and others. 4 These are discussed in
The overall effect of the changes to the definitions of medical
treatment and first aid is difficult to determine. O S H A believes that they
generally offset each other, but data to confirm this are not available.
A work-related cancer, chronic irreversible disease such as silicosis or
byssinosis, punctured eardrum, or fractured or cracked bone is a signifi-
cant injury or illness that m u s t be r e c o r d e d w h e n diagnosed by a
physician or a licensed health care professional. 4
Recording Injuries and Illnesses to Soft Tissues
W o r k - r e l a t e d injuries and illnesses involving muscles, nerves, tendons,
ligaments, joints, cartilage, and spinal discs are r e c o r d a b l e u n d e r the
same r e q u i r e m e n t s applicable to any other type of injury or illness.
T h e r e are no special rules for recording these cases: If the case is work
related and involves medical t r e a t m e n t , days away, job transfer or
restricted work, it is recordable. 4 See Table 1-11 for changes in the
recording of musculoskeletal disorders ( M S D ) . In addition, Figure 2-48
shows the schedule for i m p l e m e n t i n g these changes to the rule. See
Changes in the Recording of Musculoskeletal Disorders (MSD)
(This has been delayed, see Figure 2-48 and Appendix I)
Under the former rule, MSD cases were recorded differently, based on whether
they were occupational injuries or occupational illnesses. An MSD injury was
recorded if it resulted in days away from work, restricted work, job transfer, or
medical treatment beyond first aid. If the case was an MSD illness, it was
recorded if it resulted in the following objective findings:
* A diagnosis by a health care provider (carpal tunnel, tendinitis, etc.);
9 Positive test results (Tinel's, Finkelstein's, Phalen's, EMG);
9 Signs (redness, swelling, loss of motion, deformity); or
9 Symptoms combined with days away from work, restricted work, or medical
Injury MSD cases were considered "new cases" if they resulted from new
(additional) workplace events or exposures. Illness MSD cases were treated in
the same way or were subject to a "30-day rule," whereby if an ill employee did
not return to the health care provider for care after 30 days, the case was
considered resolved. If the same employee reported later with additional MSD
problems, the case was evaluated for recordability as a new illness.
Under the final rule, MSD cases are recorded using the same criteria as those
for other injuries and illnesses. Cases are recorded if they result in days away
from work, restricted work or job transfer, or medical treatment beyond first
aid. Recurrences are also handled just like other types of injuries and illnesses.
The final rule simplifies the recording of MSDs and collects improved statistical
information on these disorders on the 300 Log. Because the final rule does not
require the automatic recording of diagnosed disorders, physical signs, and
positive test results, it will generally require employers to record fewer MSD
cases, resulting in some cost savings. However, the magnitude of these cost
savings is not known. The employer must check a separate box on the log for
MSD cases to permit separate data on these disorders to be collected.
pp. 6085-6086, public domain.
The new rule's changes in the recording of hearing loss are delayed as
well, see Table 1-12 for a s u m m a r y of the changes and Figure 2-48 for
the i m p l e m e n t a t i o n schedule. See A p p e n d i x I.
Changes in the Recording of Hearing Loss (This has been
delayed, see Figure 2-48 and Appendix I)
Under OSHA's interpretations of the former rule, an employer was required to
record a hearing loss of 25 decibels (dB) in one or both ears, averaged over
three frequencies, compared to the employee's baseline audiogram. Work
relatedness was presumed if the employee was exposed to noise at or above an
eight-hour time-weighted average of 85 dB.
The final rule requires an employer to record any hearing loss that reaches the
level of a standard threshold shift (STS), defined by the occupational noise
standard as a 10-dB shift in hearing, averaged over three frequencies, in one or
both ears, compared to the employee's baseline audiogram. Work-relatedness is
presumed if the employee was exposed to noise at or above an eight-hour timeweighted average of 85 dB.
The employer must check a separate box on the OSHA log to identify
hearing loss cases.
The additional check box will result in improved statistical data on occupational
hearing loss. The change to a more sensitive threshold (10-dB shift rather than
25-dB shift) for recording occupational hearing loss will result in the recording
of additional cases. Based on audiometric data collected from 22 companies in
SICs 20 through 29, 33, 34, 35, 39, 49, and 90, OSHA estimated that, with the new
threshold, 250,000 more workers in manufacturing and 25,000 more workers
elsewhere in general industry would sustain recordable hearing loss annually.
The costs associated with this increase have been quantified in this economic
analysis. See Appendix I.
Source: Federal Reg&ter, Vol. 66, No. 13, Friday, January 19, 2001, Part IV, Department of
Certification, Summarization, and Posting of Logs
After the end of the year, employers must review the 300 Log to
verify its accuracy, summarize the information on the 300A Summary
Form, and certify the summary (a company executive must sign the
certification). This information must be posted for three months, from
February 1 to April 30. The employer must keep the records for five
years following the calendar year covered by them, and if the employer
sells the business, he or she must transfer the records to the new owner. 4
Also, see the section on employee, as this may affect posting
As just mentioned, when the ownership of a company changes, the
new owner is to receive O S H A records for the five preceding calendar
years. Table 1-13 presents an overview of those alterations in the rule
affecting change in ownership.
Under the former rule, an employer who acquired a business establishment was
required to retain the OSHA records of the prior owner. Each owner was
responsible for the records only for that period of the year that each owned the
Under the final rule, when a business establishment changes owners, each owner
is responsible for the OSHA records only for that period of the year that each
owned the business. The prior owner is required to transfer the records to the
new owner, and the new owner is responsible for retaining those records.
The final rule differs from the former rule by requiring the prior owner to
transfer the records to the new owner. Any new costs imposed by this
requirement are extremely small and have not been quantified in this economic
Each employer must develop a way for employees to report workrelated injuries and illnesses. In addition, each employee must be informed
on how he or she is to report an injury or illness. Employees, former
employees, and employee representatives also have a right to access the
records, and an employer must provide copies of certain records on request. 4
See Table 1-14 for an overview of the changes in employee involvement.
Specific citations are being used to make sure that employers are
recording injuries properly. This important subject is discussed in detail
The former rule involved employees in the recordkeeping process in two ways:
through posting of the annual summary of occupational injuries and illnesses for
one month and by allowing access to the OSHA 200 Log by employees, former
employees, and their representatives.
The final rule involves employees in the process to a greater extent than
formerly: It requires the employer to set up a system for accepting injury and
illness reports from employees and requires the employer to tell each employee
how to report a work-related injury or illness. The final rule also requires the
employer to post the annual summary for three months. Employees, former
employees, and their representatives have the right to one free copy of the 300
Log, the injured or ill employee or a personal representative has a right to one
free copy of the 301 (Incident Report) for his or her case, and authorized
employee representatives have a right to one free copy of a portion of the 301
Form for all injuries and illnesses at the establishment he or she represents.
The final rule will improve employee reporting of work-related injuries and
illnesses and allow improved access to the information in the records, including
one free copy of each record requested. OSHA finds that these provisions will
increase costs for employers, and these costs have been quantified in the
RECORDING CRITERIA FOR CASES INVOLVING
Section 1904.9 ( R e c o r d i n g Criteria for Cases Involving Medical
R e m o v a l U n d e r O S H A Standards) requires the e m p l o y e r to record the
case on the O S H A 300 Log if an e m p l o y e e is medically r e m o v e d u n d e r
the medical surveillance requirements of an OSHA standard. Currently,
the medical surveillance requirements of the following standards have
medical removal requirements:
General industry standard (w
standard (w
and Construction standard (w
9 C a d m i u m . General industry standard (w
9 F o r m a l d e h y d e . General industry standard (w
9 L e a d . General industry standard (w