Document jB5V6Z0ejw4JNGYxe27qqDqaR

41:2101 OCCUPATIONAL SAFFTY AND HFALTII ADMINISTRATION KI-.CL'LATIONS FOR RICOKDINO AND RFPORTINC, OCCUPATIONAL INWRJFS AND ILLNKSSES K'mlo nf Federal Reeulatiuns, Title 29, (.'hazier WII. Part 1904. 36 FR 12612. .1 ulv 2, 1*471; 37 FR 736. January IS. 1972; 37 FU 20N22. October 4. 1972) Title 29--LABOR Chapter XVII--Occupational Safety and Health Administration, Depart ment of Labor PART 1904--RECORDING AND RE PORTING OCCUPATIONAL INJU RIES AND ILLNESSES The new Tart 1904 reads as follows: Sr.-. 1904 1 IVrrp-fc .mil ,-eope. 1904 2 1'[! of occupational Injuries and 1194 J ! '04 > tnot 5 HUM 0 U*04.7 1904.3 1304.9 1304.10 1004.11 11104.12 1JU4.13 1904 H 1004 ! 1004 20 ]oo4 21 1004 22 TVl'id coverr-rt. Siipptemenlnrv record. 'P'iiiih-retry rules, Aniiu..i s'linatary. Retention of records. Arc to records. Reporting of fatality or multiple hospitalization accidents. Initials -- falsification -- lalluro to keep records or reports. Recordkeeping under approved State plans. Change of ownership. Definitions. Petitions for recordkeeping excep tions. Employees mu in fixed establishments Small employers lii-scripnon uf statistical programs Duries'of emplovers Kflcct oi Slate plans At'TJJor.iTV: The provisions of this Part 11'04 issued under secs. 8(0(1), (2). 8(gl I2i. and 24iei. G4 Stat. 1690, 1G00, 1G15; 29 US.C. 657, 673. I*10 1.1 I'iin*0M- and -rope. The regulations m this part implement .sections Bic> ill, (2), 8'g)(2), and 24 o' and ie> of the Occupational Safety and Healili Act of 1970. These sections provide ior recordkeeping and reporting oy employers covered under the act as necessary or appropriate for enforcement of the act. for developing information re garding the causes and prevention of oc cupational accidents and illnesses, and for maintaining a program of collec tion. compilation, and analysis of oc cupational safety and health statistics. The regulations in this Part were pro mulgated with the cooperation of the Secretary of Health, Education, and Welfare. 1904.2 Log of oveupnlioiml injuries anil iilno-e-. fa) Each employer shall maintain in each establishment a log of all recordable occupational injuries and illnesses for that establishment, except that under the circumstances described In paragraph (b) of this section an employer may maintain the log of occupational injuries and illnesses at a place other than the establishment. Each employer shall enter each recordable occupational injury and illness on the log as early as practicable but no later than 6 working days after receiving information that a recordable case has occurred. For this purpose. Oc cupational Safety and Health Adminis tration OSHA Form No. 100 or any pri vate equivalent muv he used. OSHA Form No. 100 or its equivalent shall be com pleted in the detail provided in the form and the instruction contained in OSHA Form No. 100. If an equivalent to OSHA Form No. 100 is used, such as a printout from dnta-proeessinc equipment, the in formation shall be as readable and com prehensible to a person not familiar with the data-processmg equipment as the OSHA Form No. 100 Itself. <b) Any employer may maintain the log of occupational Injuries and Illnesses at a place other than the establishment or by means of data-processing equip ment, or both, under the following circumstances: >1' There is available at the place where the log is maintained sufficient information to complete the log to a date within 6 working days after receiving information that a recordable case has occurred, as required by paragraph (a) of this section. f27 At each of the employer's estab lishments, there is available a copy of the log which reflects separately the in jury and illness experience of that es tablishment complete and current to a date within 45-caiendar days. 137 F'R 736. Jamiart IK, 19731 1904.3 Period covered. Logs shall be established on a calen dar year basis. The initial log shall In clude recordable occupational injuries and illnesses occurring on or after July 1, 1971. 1901.4 Supplementary record. In addition to the log of occupational injuries and illnesses provided for under 5 1904.2, each employer shall have avail able for inspection at each establishment within 6 working days after receiving in formation that a recordable case has occurred, a supplementary record for each occupational injury or illness for that establishment. The record shall be completed in the detail prescribed in the instructions accompanying Occupational Safety and Health Administration Form OSHA No. 101. Workmen's compensation, insurance, or other reports are acceptable alternative records if they contain the information required by Form OSHA No. 101. If no acceptable alternative record is maintained for other purposes, Form OSHA No. 101 shall be used or the neces sary Information shall be otherwise maintained. (37 1R 736. January 18. 1972j 1904. la Temporary rules. (a) Explanation. Copies of the three recordkeeping forms required, under this part (OSHA Forms Nos. 100, 101, and 102) may not be available when these rules are published. Specimens of two of these forms were published in the daily issue of the Federal Register on the date of the publication of this part. One of these specimens tOSHA Form No, 101) will, in addition to its intended purpose, be used, n:, provided belir.v. n . an imenm ,1101 lifiri n! reriuriiiv.' Ir.g-ivpo uuorm:itiun Hie log-type uilnrm:\(ion will Inter bo transferred to I be log `Form 100 when ropics of Hint form me generally available i iUkt through direct mailing or at tin- Irviil offices ni the Oreupai loiifil Safety mid Health Adinim: nation or (he Bureau of Labor .Statistics. i In Hut- v, 111 Pending the availability or OSHA Form No. 101. each employer subject to Mils part and required to use Form No. 101 by 1904.4 shall comply with ; 1904.4 by preparing records in a manner which is consistent w-ith the specimen of OSTIA Form No. 101. The specimen is published in the daily issue of the Federal Register on the date of the publication of this part. '2> rending the availability of OSHA Form No. 100. each employer subject to this part shall comply with 1904.2 by making the records required by subpara graph il> of this paragraph or $ 1904,4. as ihc case may be, within 2 working days after receiving information that a re cordable injury or illness has occurred. When OSHA Form No. 100 becomes available, information concerning re cordable occupational injuries and ill nesses occurring before such availability and on or after July 1. 1971. shail be transcribed therein from the records maintained under subparagraph <ir of this paragraph or ? 1904.4. as the case may be. 19(11,3 Annual -iiintiiiiiy . (a) Each employer shJ.l compile an annual summary of occupational injuries and illnesses for each establishment. Each annual summary shall be based or. the information contained in the log of occupational injuries and illnesses for the particular establishment. Form OSHA No. 102 shall be used for this purpose, and shall be completed in the form and detail as provided in the instructions contained therein. (b) The summary shall he completed no later than 1 month after the close of each calendar year beginning with cal endar year 1971. <c) Each employer, or the officer or employee of the employer who supervises the preparation of the annual summary of occupational injuries and illnesses, shall certify that the annual summary of occupational injuries and illnesses is true and complete. The certification shall be accomplished by affixing the signature of the employer, or the officer or em ployee of the employer who supervises the preparation of the annual summary of occupational injuries and illnesses, to the lower right hand corner of the an nual summary or by appending a sep arate statement to the annual summary certifying that the annual summary Is true and complete. 'd)<l) Each employer shall post a copy of the establishment's summary In 11-20-75 Copyright 1975 by Th* Bureau of National Affairs, Inc, [Sec. 1904.51(11(1)1 23 BOR 008896 f 41:2102 HffcRENCF FILE ...iil rsinL'JLMilln'Dt In till- same minimi* !i: t. notices .'iv required In be port'd .'iiu.'r ; ,i> ot Him el'iol.*r. Tlv* if'iiuiry covering Hie previous culenn.ir i-ludl be ihj- led no l*;cr than TVb- .iq.ry 1. anti .`hall remain in place until M if. I; 1. For employees uh; do not pii- ,n..n'iy report or work :>t. a 'single c.->tab- h-hmrnl. or who clo not report to any fixed esi..ibli;.hment eu a regular busix. employers .hail satisfy tins postin': le- '[tttretnmf. by presenting or mailing a cop'* of tin* Minnnarv during the month i'f February of the following year to each inch emplov ec who receives pay during dial month. For multiestablisfimcnt em- ployers where operations have closed down in some establishments during the calendar year, it will not be necessary to post summaries for those establishments. 117 IK 208 21 Ocmlx-i -l. I`>72. elleitive Nmcmhe: .1. ll'72| (21 A failure to post a copy of the establishment's annual summary may re sult in the issuance of citations and as sessment of penalties pursuant to sections 9 and 17 of the Act. |.17 IK "63. Jjiiu.irv IK, pdf. ell'eetivc I ehruar> 17. I`>T2| ^ 1001.6 litli.iilimi uf rcrtmU. Records provided for in 55 1004.2. 1004.4, and 1004.5 shall.be retained in each establishment for 5 years following Hie end of the year to winch they relate. I *10 1.7 tier.. 11> rrvord-. Records provided for in 55 1904.2. 1004.4. and 1004.5 shall be available for moicction and copying by Compliance Gaiety and Health Officers of the Occu pational Safety and Health Admmistraioii, U.3. Department of Labor during any occupational safety and health in.-eoctim: provided for under Part 1903 of t iris chapter and section 8 of the act. bv any representative of the Bureau of Labor Statistics. U.S. Department of Labor, by any representative of the Sec ret ary of Health. Education, and Welfare during am* investigation under section Dr,i b> of the act, or by any representa tive ot a State accorded jurisdiction for occupational safety or health inspections or for statistical compilations under sec tions 18 and 24 of the act. 7 901.3 Reporting of fatality or mul tiple hospital i/.-ilion aeeidents. Within 48 hours after the occurrence -of an employment accident which is fatal to one or more employees or which re sults in hospitalization of five or more employees, the employer of any em ployees so injured or killed shall report the accident either orally or in writing to the nearest office of the Area Director of the Occupational Safety and Health Administration, U.S. Department of Labor. The reporting may be by tele phone or telegraph. The report shall re late the circumstances of the accident, the number of fatalities, and the extent of any injuries. The Area Director may require such additional reports, in writ ing or otherwise, as lie deems necessary, concerning the accident. 1904.9 Initial*--falsification--failure to keep record* or reports. (a) Section 17(g) of the Act provides that "Whoever knowingly makes any false statement, repieuentalion, or certi fication In any application. record. re port, iilau nr other d-icumoiit, filed or required to be maintained pursuant (" this Act shall, upon conviction, lie turn lshcd by a fine of not more than $10,000. or by Imprisonment, for not more than C months or both." tb) Failure to maintain records or file reports required by this part, or in the details required by forms and in structions issued under this part, may result in the Issuance of citations and assessment of penalties as provided for in sections 0, 10, and 17 of the Act. 1 37 1 11 716, January 18. I972| g 1901.10 Rci-itrdkpi-ping under npprmeil State plan*. Records maintained by an employer and reports submitted pursuant to, and in accordance with the requirements of an approved State plan under section 13 of the act shall be regarded as compli ance with this Part 1904. 1901.11 fllinnge of ownership. Where an establishment has changed ownership, tire employer shall be respon sible for maintaining records and filing reports only for that period of the year during which he owned such establish ment. However, in the case of any change in ownership, the employer shall pre serve those records, if any. of the prior ownership which are required to be kept under this part. These records shall be retained at each establishment to which they relate, for tiie period, or remainder thereof, required under 1904.6. 1901.12 Definitions. (a) "Act" means the Williams-Steigcr Occupational Safety and Health Act of 1970 (84 Stat. 1590 et seq., 29 U.S.C. 651 et seq.). (b) Tlie definitions and interpreta tions contained in section (2) of the Act shall be applicable to such terms when used in this Part 1904. (c) "Recordable occupational injuries or illnesses" are any occupational in juries or illnesses which result in: (1) Fatalities, regardless of the time between the injury and death, or the length of the illness; or (2) Lost workday cases, other than fatalities, that result in lost workdays: or (3) Nonfatal cases without lost work days which result in transfer to another Job or termination of employment, or re quire medical treatment (other than first aid) or involve: loss of conscious ness or restriction of work or motion. This category also includes any diag nosed occupational illnesses which are reported to the employer but are not classified as fatalities or lost workday cases. <d> "Medical treatment" Includes treatment administered by a physician or by registered professional personnel un der the standing orders of a physician. Medical treatment does not include first aid treatment even though provided by a physician or registered professional personnel. tt:i "firxi Aid" is any one-time treat ment. e.tul at"* r.illoutm vi-u Ifr the im: pc- ! mi. iv. atinii. ol tumor ...crab tie-.. it-, burn., r.iwmiers ami sn lorlh. hiil' do nut ordinal: lv require tnt tiieal rare Such uiie-inne treatment, and fitliov.up visit for the pinpo.-c of olx.erv.it ion i., eon .shored first aid even t.li*eit-'b provided i>y a pliviaeian or regis tered I'tiili .-..on \1 iier. iinn.-i. fi **I.o.l. workday.1.." Tiie number of days icorn-emiiee or noi i alter, but not inriiifliiir. Hi" dev rd iniurv or ill'U'.' . during wiueii the e'u.ntovte would hove worked but < o'lld noi do so: that is. could not i-1 rsm m all or eir.* part of his normalirnmt m during al! or any part of tho workday or shut, because of the occupational injury oi illne.*..'-*. gi'li * L...t.Vuii.diment*." A single physical location where business i.s con ducted or w! i"t o services or industrial operation:; are pcnormcri. .Foi example: a factory, mill, store, hotel, restaurant, movie theater, farm, ranen. bank, sales office, warehouse, or central administra tive office, i Where dFtmetlv separate activities are performed at a single phys ical location 'such ::* contract construc tion activities operated from the same physical location as a lumber yard >, each activity shall he treated as a separate establishment, i2) For firms engaged in activities such as agriculture, construction, trans portation. communications, and electric, gas and sanitary services, which may be physically dispersed, records may be maintained at a place to winch em ployees report each day. (3) Rocoids for personnel who da not primarily report or work at a .-meie es tablishment. and who are generally not supervised in their daily work, such as traveling salesmen, technicians, engi neers, etc., shall be maintained at Hie location from which they are paid or Hie base from which personnel operate to carry out their activities [37 I K 2f).S22, (Vtobcr 4, 19 2, eiUviivi1 November 3. I972| 1901.13 Petitions for ri**ordkecpiog exceptions.. (a.1 Submission of petition. Any em ployer who wishes to maintain records in a manner different from that required by this part may subniit a petition con taining the information specified in paragraph (c) of this section to the Regional Director of the Bureau of Labor Statistics wherein the establish ment Involved is located. o.> Oppon:ni::v jor er.ufi-vif. Al- fected empicvees or tr.ctr represent.'. U'*c snail have an oppoViun::y ;o .* ,r .*.*: written u.ua. vie"*, or aivumcn*.j 'o*> cenur.g H e no:.non to in: Rev.;':..*'', r rector involved within 10 wornutg da.-c toKcwir.c the receipt of r.onv. par*, irapn <c*. (5 c; this senior.. (c) contents of petition. A petition filed under paragraph (a) of this sec tion shall include: (1) The name and address of the applicant; (2) The address of the place or places of employment involved: (3) Specifications of the reasons for seeking relief: Occupational Safety & Health Reporter [Sec. 1904.13(c)(3) I 24 BOR 008897 recording and reporti. 5.07 41:2103 A description of the different recordkeeping procedures wliich arc propot cd by Ute applicant: .7) A statement that the applicant has informed his affected employees of Hie petition by giving a coi>y thereof to them or to their authorized representa be afforded lo the employers and affe' i.-d employees, or their rrpri'seni.n >vm E\eept in eases of willfulness or where public safety or health requires other wise. before (he commencement of any such informal proceeding, the employer .hall: (1) Be notified in writing of 'he bor Statistics that he has been selected to participate in a statistical survey of occupational iniunes and illnesses. If se lected. an employer will be required to maintain a log of occupational injuries curt illnesses <05HA 101) 1 In accordance wi )i ' 1904.2 unci to make reports In tive and by posting a statement giving a facts or conduct which may warrant the nrcoidance with 5 1904.21 for Uie period .'i:nimait of the petition and by other action: and <2> be given an opportunity of nsec which is specified in the notice. appropriate means. A statement posted pursuant to this subparagraph shall be posted in each establishment in the same manner that notices are required to be posted under f 1903.2(a) of this to demonstrate or achieve compliance. <i> Cot ipliance after submission of pe titions. The submission of a petition or any delay by the Regional Director, or (he Assistant Commissioner, as the case Tin- amendment shall become effec ts e January 1. 1973. The reason for the extended delay in the effective date is i-lip 1 'he Duieau of Labor Statistics is chapter. The applicant shall also state may be, in acting upon a petition shall concur' mg a survey of injuries and ni that he has Informed his affected em not relieve any employer from any ob nes.' c.- [or calendar year 1972. In order ployees of their rights under paragraph (b) of this section; (6) in the event an employer has more than one establishment he shall submit a list of the States In which such ligation to comply with this part. How ever, the Regional Director or the Assist ant Commissioner, as the case may be. shall give notice of the denial of any petition within a reasonable time, to complete this survey with respect to small employers, no alteration of the recordkeeping requirements until the close of the calendar year is appropriate. establishments are located and the num (j) Consultation. There shall be con l""c. B. 84 StAt. 1598: 29 Vff.C. 657) ber of establishments in each such State. sultation between the appropriate rep In the further event that certain of the resentatives of the Occupational Saiety (1904 15 added .1! 77 | R 20R22. Octohvr 4. employer's establishments would not be and Health Administration and the 1972, eiicctivi: November J. 19T21 affected by the petition, the employer Bureau of Labor Statistics in order to shall Identify every establishment which would be affected by the petition and give the State In which they are located. 137 FR 736, Januaiy 18, 19721 id' Referrals to Assistant Commis sioner. Whenever a Regional Director receives a petition from an employer having one or more establishments be yond the geographic boundary of his re gion, or a petition from a class of em ployers having any establishment beyond the boundary of his region, he shall refer the petition to the Assistant Commis sioner for action. <e> Additional Notice, Conferences. < 1) In addition to the actual notice pro vided for in paragraph (c)(5) of this section, the Assistant Commissioner, or the Regional Director, as the case may he, may provide, or cause to be provided, such additional notice of the petition as he may deem appropriate. 12) The Assistant Commissioner or the Regional Director, as the case may be, may also afford an opportunity to interested parties for informal confer ence or hearing concerning the petition. insure the effective implementation of ?' I')l! 1.2(1 Dc-cripliol! of -t.ui-p. ,l| |t; t|. this section. gram. 1904.14 Employee? not in fixed Mali- a> Section 21 of ilie Act directs the liidinienM. Secretary cf Labor, in consultation with Employers of employees engaged ui physically dispersed operations such as occur in construction, Installation, re pair or service activities who do not re port to any fixed establishment on a regular basis but are subject to common supervision may satisfy the provisions of 55 1904.2, 1904.4, and 1904.6 with respect to such employees by: (a) Maintaining the required records for each operation or group of operations which Is subject to common supervision (field superintendent, field supervisor, etc.) in an established central place; cb) Having the address and telephone rue Secretary of Heinth, Edu.aiicv,. and Weifa.e. to develop and maintain a progT.ou of collection, compilation, and :-nn1v.-,.s of occupational safety and health statistics. The Commissioner of the Bureau of Labor Statistics has been subdelc-fftted this authority by the Sec retary of Labor. Tne prognui.'thai; con sist of periodic surveys o; occupational injuries and illnesses. For the immediate future, such suiveys shall cover all non farm employments with a few limited exclusions such as government and mining. 'bi The r.unpie design enrnmp.ni.-cs number of the central place available at probability procedures, detailed strauf.- each worksite; and cation by inoustry and size, mid a Ms- (c) Having personnel available at the tematic selection within strata, Stratifi- central place during normal business cation and sampling will be earned out hours to provide Information from the by State and other jurisdictions in order records maintained there by telephone to provide the most efficient sampie fc,-. and by mail. eventual State estimates. Some indus tries will be sampled more heavily than [1904.14 added at 37 FR 20822, October 4. others depending on the injury rate leve; 1972, effective January 1, 19731 based on previous experience. Nationally, (f) Action. After review of the peti tion, and of any comments submitted in regard thereto, and upon completion of any necessary appropriate investigation concerning the petition. If the Regional Director or the Assistant Commissioner, as the case may be, finds that the alter native procedure proposed will not ham per or interfere with the purposes of the Act and will provide equivalent informa tion, he may grant the petition subject to such conditions as he may determine appropriate, and subject to revocation for cause. (g) Publication. Whenever any relief Is granted to an applicant under this Act, notice of such relief, and the rea sons therefor, shall be published in the 1904. IS Small employers. the survey should produce adequate esti mates for most four-digit Standard in (a) An employer who had no more dustrial Classification 'SIC) industries ::i than seven (7) employees at any one manufacturing and for three-digit Sic time during the calendar year immeai- classification in nonmanufacturing. In ately preceding the current calendar year need not comply with any of the participating States where the sample size has been supplemented significantly, requirements of this part except 5 1904.8 comparable estimates are possible. concerning fatalities or multiple hospi talization accidents (l.e,, he need not prepare the log, OSHA 100, the sup 19(11.21 Dtiliev of employ er*. plementary record, OSHA IOI, nor pre Upon receipt of an Occupational in pare or post the summary, OSHA 102). juries and Illnesses Survey Form. OSHA Editor's Note: An exemption for em ployers with 10 or fewer employees was provided in the appropriations bills for the Departments of Labor and Health, Educa tion, and Welfare for fiscal 1975 and 1976. No. 103, the employer shall promptly complete the form in accordance with the instructions contained therein, and re turn it in accordance with the afore said instructions. Federal Register. The exemption does not apply to small firms (h) Revocation, whenever any relief under this section is sought to be re selected to participate in the OSHA annual survey. 1904.22 Effect of State plun*. Nothing in any State plan approved voked for any failure to comply with (b) Paragraph (a) of this section shall under section 18(c) of the Act shall affect the conditions thereof, an opportunity not apply when an employer has been the duties of employers to submit statis for informal hearing or conference shall notified in writing by the Bureau of La tical report forms under 5 1904.21. 4-29-76 Copyright 1976 by The Bureau of Notional Affairs, Inc. (Sec. 1904.221 IS BOR 008898