allows him or her to independently perform, or bedelegated the responsibility to perform, the activitiesdescribed by this regulation.You.“You” means an employer as defined in Section 3 ofthe Occupational Safety and Health Act of 1970 (29U.S.C. 652).PREAMBLE DISCUSSION: Section 1904.46(66 FR 6071-6081, Jan. 19, 2001)The following are selected excerpts from the preamble to the Occupational Injury and Illness Recording andReporting Requirements, the <strong>Recordkeeping</strong> rule (66 FR 5916, 29 CFR Parts 1904 and 1952). These excerptsrepresent some of the key discussions related to the final rule (66 FR 6122, 29 CFR Parts 1904 and 1952).§1904.46Subpart G – DefinitionsThe Definitions section of the final rule contains definitionsfor five terms: “the Act,” “establishment,”“health care professional,” “injury and illness,” and“you.” To reduce the need for readers to move backand forth from the regulatory text to the Definitionssection of this preamble, all other definitions used inthe final rule are defined in the regulatory text as theterm is used. <strong>OSHA</strong> defines the five terms in this sectionhere because they are used in several places inthe regulatory text.The ActThe Occupational Safety and Health Act of 1970 (the“OSH Act”) is defined because the term is used inmany places in the regulatory text. The final rule’sdefinition is essentially identical to the definition inthe proposal. <strong>OSHA</strong> received no comments on thisdefinition. The definition of “the Act” follows:The Act means the Occupational Safety andHealth Act of 1970 (84 Stat. 1590 et seq., 29 U.S. 651et seq.), as amended. The definitions contained insection (3) of the Act and related interpretations shallbe applicable to such terms when used in this Part1904.Employee...In the final rule, <strong>OSHA</strong> has decided that it is notnecessary to define “employee” because the term isdefined in section 3 of the Act and is used in this rulein accordance with that definition.Employer...Because the final rule uses the term “employer”just as it is defined in the Act, no separate definitionis included in the final rule.EstablishmentThe final rule defines an establishment as a singlephysical location where business is conducted orwhere services or industrial operations are performed.For activities where employees do not workat a single physical location, such as construction;transportation; communications, electric, gas andsanitary services; and similar operations, the establishmentis represented by main or branch offices,terminals, stations, etc. that either supervise suchactivities or are the base from which personnel carryout these activities.The final rule also addresses whether one businesslocation can include two or more establishments.Normally, one business location has only oneestablishment. However, under limited conditions,the employer may consider two or more separatebusinesses that share a single location to be separateestablishments for recordkeeping purposes. Anemployer may divide one location into two or moreestablishments only when: each of the proposedestablishments represents a distinctly separate business;each business is engaged in a different economicactivity; no one industry description in theStandard Industrial Classification Manual (1987)applies to the joint activities of the proposed establishments;and separate reports are routinely preparedfor each establishment on the number ofemployees, their wages and salaries, sales or receipts,and other business information. For example,if an employer operates a construction company atthe same location as a lumber yard, the employermay consider each business to be a separate establishment.The final rule also deals with the opposite situation,and explains when an establishment includesmore than one physical location. An employer maycombine two or more physical locations into a singleestablishment only when the employer operates thelocations as a single business operation under commonmanagement; the locations are all located inclose proximity to each other; and the employerkeeps one set of business records for the locations,such as records on the number of employees, theirwages and salaries, sales or receipts, and other kinds184<strong>OSHA</strong> RECORDKEEPINGHANDBOOK
of business information. For example, one manufacturingestablishment might include the main plant, awarehouse serving the plant a block away, and anadministrative services building across the street.The final rule also makes it clear that when anemployee telecommutes from home, the employee’shome is not a business establishment for recordkeepingpurposes, and a separate <strong>OSHA</strong> 300 Log isnot required.The definition of “establishment” is important in<strong>OSHA</strong>’s recordkeeping system for many reasons.First, the establishment is the basic unit for whichrecords are maintained and summarized. The employermust keep a separate injury and illness Log(the <strong>OSHA</strong> Form 300), and prepare a single summary(Form 300A), for each establishment. Establishmentspecificrecords are a key component of the recordkeepingsystem because each separate record representsthe injury and illness experience of a givenlocation, and therefore reflects the particular circumstancesand hazards that led to the injuries and illnessesat that location. The establishment-specificsummary, which totals the establishment’s injury andillness experience for the preceding year, is postedfor employees at that establishment and may also becollected by the government for statistical or administrativepurposes.Second, the definition of establishment is importantbecause injuries and illnesses are presumed tobe work-related if they result from events or exposuresoccurring in the work environment, whichincludes the employer’s establishment. The presumptionthat injuries and illnesses occurring in the workenvironment are by definition work-related may berebutted under certain circumstances, which are listedin the final rule and discussed in the section ofthis preamble devoted to section 1904.5, Determinationof work-relatedness.Third, the establishment is the unit that determineswhether the partial exemption from recordkeepingrequirements permitted by the final rule forestablishments of certain sizes or in certain industrysectors applies (see Subpart B of the final rule).Under the final rule’s partial exemption, establishmentsclassified in certain Standard IndustrialClassification codes (SIC codes) are not required tokeep injury and illness records except when asked bythe government to do so. Because a given employermay operate establishments that are classified in differentSIC codes, some employers may be requiredto keep <strong>OSHA</strong> injury and illness records for someestablishments but not for others, e.g., if one or moreof the employer’s establishments falls under the finalrule’s partial exemption but others do not.Fourth, the definition of establishment is used todetermine which records an employee, formeremployee, or authorized employee representativemay access. According to the final rule, employeesmay ask for, and must be given, injury and illnessrecords for the establishment they currently work in,or one they have worked in, during their employment....Subpart G of the final rule defines “establishment”as “a single physical location where businessis conducted or where services or industrial operationsare performed. For activities such as construction;transportation; communications, electric andgas utility, and sanitary services; and similar operations,the establishment is represented for recordkeepingpurposes by main or branch offices, terminals,stations, etc. that either supervise such activitiesor are the base from which personnel carry out theseactivities.” This part of the definition of “establishment”provides flexibility for employers whoseemployees (such as repairmen, meter readers, andconstruction superintendents) do not work at thesame workplace but instead move between many differentworkplaces, often in the course of a single day.How the definition of “establishment” must beused by employers for recordkeeping purposes is setforth in the answers to the questions posed in thisparagraph of Subpart G:(1) Can one business location include two ormore establishments?(2) Can an establishment include more than onephysical location?(3) If an employee telecommutes from home, ishis or her home considered a separate establishment?The employer may consider two or more economicactivities at a single location to be separate establishments(and thus keep separate <strong>OSHA</strong> Form 300sand Form 301s for each activity) only when: (1) eachsuch economic activity represents a separate business,(2) no one industry description in the StandardIndustrial Classification Manual (1987) applies to theactivities carried out at the separate locations; and (3)separate reports are routinely prepared on the numberof employees, their wages and salaries, sales orreceipts, and other business information. This part ofthe definition of “establishment” allows for separateestablishments when an employer uses a commonfacility to house two or more separate businesses,but does not allow different departments or divisionsof a single business to be considered separate establishments.However, even if the establishment meets§1904.46<strong>OSHA</strong> RECORDKEEPINGHANDBOOK185
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OSHARecordkeeping HandbookThe Regul
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Section 1904.40Providing records to
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Section 1904.0Purpose(66 FR 6122, J
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Section 1904.1Partial exemption for
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Section 1904.2Partial exemption for
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employees, to OSHA within 8 hours (
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Partial Exemptions for Employers Un
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Section 1904.4Recording criteria(66
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Section 1904.5Determination of work
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(b)(7) How do I decide if a case is
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This exception, which responds to i
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or she is in the work environment a
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have occurred but for the occupatio
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considered work-related. If an empl
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Question 5-12. Is work-related stre
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• The doctor described the illnes
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Scenario 7:• A site hired numerou
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Letter of interpretation related to
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These principles should be applied
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The problem with the response is tw
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Section 1904.6Determination of new
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the Guidelines stated that “the a
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estricted work. If the case is a pr
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• The doctor also prescribed the
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• The employees were under the di
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Section 1904.7General recording cri
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(iii) Do I have to record restricte
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of the length of time the employee
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then result in days away from work
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A partial day of work is recorded a
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In all other respects, the final ru
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ments. The Agency believes that the
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e recorded because it will require
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However, episodes of fainting from
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care professional, he or she may al
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“Other simple means” of removin
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For purposes of OSHA recordkeeping
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• When answering the doctor’s q
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Response: In the recordkeeping regu
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Letter of interpretation related to
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Section 1904.8Recording criteria fo
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caused by contaminated needles and
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Section 1904.9Recording criteria fo
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Section 1904.10Recording criteria f
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hearing loss case that is not relat
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average of 10 decibels or more at 2
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argued that because the function of
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occurs, and where hearing loss can
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cases in their workplace via analys
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March 4, 2004Mr. Carl O. Sall, CIHD
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When the professional evaluating th
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(2) May I line-out or erase a recor
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Section 1904.12Recording criteria f
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These new statistics would add only
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Sections 1904.13 - 1904.28 Reserved
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two lines of the OSHA 300 Log to de
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which replace the OSHA 200 and 101
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different types of occupational ill
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OSHA 301 form. These data are usefu
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LETTERS OF INTERPRETATION: Section
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Question 2: Under 29 CFR Section 19
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and has adopted language in the fin
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Section 1904.31Covered employees(66
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label assigned to a worker is immat
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These workers should be evaluated j
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Response: A case is work-related if
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Response: Section 1904.31 states th
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