1998 Audit and Verification Program of Occupational Injury and Illness Records. | Occupational Safety and Health Administration

Record Type:

OSHA Notice
Current Directive Number:

00-1 (CPL2)
Old Directive Number:

00-1 (CPL2)
Title:

1998 Audit and Verification Program of Occupational Injury and Illness Records.
Information Date:

12/02/1999

NOTICE: This is an OSHA Archive Document, and may no longer represent OSHA Policy. It is presented here as historical content, for research and review purposes only.

DIRECTIVE NUMBER: 00-1 (CPL 2)	EFFECTIVE DATE: December 2, 1999
SUBJECT: 1998 Audit and Verification Program of Occupational Injury and Illness Records

ABSTRACT

Purpose:	This notice establishes program policy and procedures for audits assessing the accuracy of employer injury and illness records and also addresses the assessment of the accuracy of data submitted by employers under the Occupational Safety and Health Administration (OSHA) Data Initiative.

Scope:	OSHA-wide

References:	OSHA Instruction CPL 2.103 Field Inspection Reference Manual (FIRM) OSHA Instruction CPL 2.111, Citation Policy for Paperwork and Written Program Requirement Violations OSHA Instruction CPL 2-2.46, Authorization and Procedures for Reviewing Medical Records

Cancellations:	OSHA Instruction CPL 2.91, Enhanced Verification of Records

Expiration Date:	December 2, 2000

State Impact:	State Adoption Required, See Paragraph VI

Action Offices:	National, Regional, and Area Offices

Originating Office:	Office of Statistics

Contact:	Dave Schmidt (202-693-1886) Directorate of Information Technology, Office of Statistics 200 Constitution Avenue, NW, Room N-3644 Washington, DC. 20210

By and Under the Authority of
Charles N. Jeffress
Assistant Secretary

TABLE OF CONTENTS

Purpose
Scope
References
Cancellation
Expiration Date
Federal Program Change
Action
Background
General Procedures
Procedures to Conduct Data Check and Records Audit
1. Determine the availability and location of records needed to conduct the audit (the employer's OSHA Log, employee roster, medical records, etc.).
2. Obtain a copy of the employer's completed OSHA 200 Log for the establishment for calendar year 1998; the total hours worked for all employees and the average number of employees in 1998; and a copy of a complete roster of all employees at the establishment for 1998.
3. Compare the Log Summary and the hours worked data submitted to OSHA for the data collection with the data provided at the establishment.
4. Determine the audit sample size and draw sample of employees.
5. Review all pertinent records for each employee selected in the audit sample and independently reconstruct log entries for the sampled employees. Compare the reconstructed cases with the employer's OSHA 200 Log.
6. Review employer's log to identify any cases recorded for the sampled employees that do not meet the OSHA recordability criteria (over-recording).
7. Determine audit results.
8. Interview the Designated Recordkeeper(s).
9. Conduct Employee Interviews (optional).
Issuance of Citations
Evaluation
Recording and Tracking
INDEX

Purpose. This notice establishes a program and the procedures by which to conduct audits to verify the compliance of establishments required to keep records in accordance with the OSHA recordkeeping requirements defined in 29 CFR 1904. The program addresses the Office of Management and Budget's (OMB) questions related to the quality of 1998 OSHA Log Summary and other data submitted by employers under the Occupational Safety and Health Administration (OSHA) Data Initiative. The procedures outlined in this notice also provide a method for Compliance Safety and Health Officers (CSHOs) to verify of the accuracy of employers' OSHA 200 Logs and Summaries of Occupational Injuries and Illnesses during general industry inspections. This notice replaces the Protocol for the OSHA Audit Program on Data Collection Quality and Verification of Injury and Illness Records dated July 14, 1998 and CPL 2.91.
Scope. The program will be conducted in Offices and States under both Federal and State Plan jurisdiction.
References.
- OSHA Instruction CPL 2.103, Field Inspection Reference Manual (FIRM), 9/26/1994
- OSHA Instruction CPL 2.111, Citation Policy for Paperwork and Written Program Requirement Violations, 11/27/1995
- OSHA Instruction CPL2-2.46, Authorization and Procedures for Reviewing Medical Records, 1/5/1989
- OSHA Instruction ADM 12.5A, OSHA Compliance Records, 6/28/1993
- OSHA Instruction ADM 4.4, Administrative Subpoenas, 8/19/1991
- OSHA Instruction CPL 2.80, Handling of Cases To Be Proposed for Violation-By-Violation Penalties, 10/21/1990
Cancellation. OSHA Instruction CPL 2.91, Enhanced Verification of Records, May 30, 1991.
Expiration Date. This Notice expires December 2, 2000.
Federal Program Change. The OSHA Data Initiative (ODI) is a Federal program in which some State Plan States participate by collecting data under a contract with OSHA. States have been given the opportunity to participate in the audit program. States may conduct the audits with either compliance or non-compliance staff, as long as the personnel who conduct the audits are able to obtain access to medical records. States which have opted to participate should follow the guidelines in this document, with the exception of section XI concerning citations. States have the legal authority to take enforcement action concerning recordkeeping violations found during audits, if they choose. States conducting audits under this program or participating in Federal audits in their State should develop procedures for handling recordkeeping violations discovered during the audits.
Action. The Regional Administrators and Area Directors shall ensure that the procedures established in this notice are adhered to in Federal enforcement jurisdictions.
1. Responsible Office. Office of Statistics (OSTAT)
2. Action Offices. National, Regional and Area Offices, State Plan States
Background. OSHA's Directorate of Information Technology, Office of Statistics has developed and implemented a system to collect and compile data on occupational injuries and illnesses for individual establishments in certain private sector industries. These data, combined with other data, will be used for OSHA's enforcement and compliance assistance programs, and to assess the results of the Agency's efforts to improve safety and health in the Nation's workplaces.

Quality assurance is an integral part of the data collection process to ensure that the data OSHA collects accurately reflect the injury and illness experience at the workplace. As a condition of the OMB clearance for the data collection, OSHA must evaluate the accuracy of data that employers submit, assess the effect(s) of the data collection on employer recordkeeping practices, and estimate the extent of employer compliance with OSHA's recordkeeping requirements.

Onsite audit of employer records is the best method to verify the accuracy of employer-maintained data on occupational injuries and illnesses. OSHA developed methods intended to facilitate the use of the audit procedures, such as statistical sampling of employees within an establishment for review of their records and computer software to help conduct and document the audit.

During 1997-1998, OSHA conducted approximately 250 audits of employers' 1996 injury and illness records. OSHA conducted these audits only in States under Federal jurisdiction. During 1998-1999, OSHA conducted 250 audits of employers' 1997 injury and illness records of which sixty one were conducted in State Plan jurisdictions.
General Procedures.
1. Scope. OSHA, in conjunction with State Plans, will conduct a data check and records audit on a sample of 250 establishments, selected according to a random sampling protocol developed for the project. The sample will be chosen from the universe of establishments selected to participate in the 1999 Data Collection (approximately 80,000 establishments). The construction industry is not within this scope.
2. Inspection Procedures. Normal inspection procedures as established in the Field Inspection Reference Manual (FIRM) (CPL 2.103) will be followed, including the opening conference, records verification, employee interviews, and closing conference, with the exception that no walk-around inspections will be performed unless a complaint is received. If any complaints that are not related to recordkeeping are made to the CSHO, the CSHO will at his or her discretion will address the complaint or refer the complaint to the Area Office for processing.
3. Each data check and records audit visit will be counted as an OSHA inspection requiring the completion of an OSHA 1. Pre-inspection planning will consist primarily of a general familiarization with the size and activity of the establishment to be inspected and the entry of preliminary data into ORAA. For audits conducted in Federal jurisdiction, a medical records access order is to be obtained from the Directorate of Technical Support, Office of Occupational Medicine (OOM) prior to each inspection. OOM will be supplied with the list of establishments to be inspected. Each Area Office will be responsible for notifying OOM of the names of the personnel to be included on the access orders. Case files shall be established in ccordance with ADM 12.5A
4. Audit Components. As detailed in Section X, Audit Procedures, the data check and records audit shall involve:
  1. Comparing the Log Summary, employment and hours worked data submitted to OSHA for the data collection with the Log Summary on the employers' OSHA 200 Log, 1998 employment and hours worked data provided at the establishment;
  2. Selecting a sample of employees within the establishments;
  3. Reviewing available documentation concerning any injuries or illnesses for each employee selected in the sample to identify recordable cases;
  4. Comparing recordable cases discovered from the files of selected employees with the establishment's OSHA 200 Log to determine if the employer properly recorded cases on the Log and to identify recordable injuries and illnesses that the employer did not record (under-recording);
  5. Scanning the establishment Log to identify cases entered on the Log involving the selected employees that were not recordable (over-recording);
  6. Interviewing the establishment's recordkeeper(s) about OSHA recordkeeping requirements and their establishment's recordkeeping practices;
  7. Using the OSHA Recordkeeping Audit Assistant (ORAA) software system to record information gathered during the audit as described in Appendix A, "Steps for Using ORAA to Conduct the Data Check and Records Audit."
5. Formal Training of Personnel. OSTAT will conduct one or more two-day training session(s) for OSHA and State Plan personnel new to the program. The specialized training will address: the procedures for comparing the collected data with the employer's Log and for conducting the audit to verify the accuracy of records; the citation policy for the program; a review of CPL2-2.46, "Authorization and Procedures for Reviewing Medical Records"; the method for selecting a sample of employees within the establishment; and, the use of the OSHA Recordkeeping Audit Assistant (ORAA) software system for documenting and tracking audit information.
6. Employee Participation. CSHOs shall involve employee representatives as outlined in Section A.2. h of Chapter II of the FIRM (CPL 2.103) in accordance with normal inspection procedures. Furthermore, at the discretion of the CSHO, a sample of employees may be selected to be interviewed, regarding knowledge of workplace incidents at the establishment during 1998.
7. Opening Conference. The CSHO shall present an explanatory letter and the medical access order (Appendix B) to the employer explaining the purpose, scope, and process for the data check and records audit. The CSHO shall also inform the employer about the Agency citation policy (Section XI below) and indicate that where applicable, violations will be cited accordingly. The employer and employees shall be informed that any complaints received that are not related to recordkeeping will be addressed by the CSHO at his or her discretion or referred to the Area Office for processing.
8. Closing Conference. At the conclusion of the records audit, the CSHO shall conduct a closing conference with the employer and the employee representatives. The CSHO shall describe any recordkeeping deficiencies and violations found during the data check and records audit. The strengths and weaknesses of the employer's recordkeeping program shall be discussed. The closing conference shall follow the procedures established in the FIRM (CPL 2.103) as applicable to these inspections.
Procedures to Conduct Data Check and Records Audit The procedures described in this section and the referenced Appendices are included to ensure consistency in implementation of the program and to support a meaningful evaluation of the results.
1. Determine the availability and location of records needed to conduct the audit (the employer's OSHA Log, employee roster, medical records, etc.).
2. The availability of records required for the audit and their location at the establishment are documented on a checklist in ORAA. (A hard copy is included in Appendix C.)
3. Obtain a copy of the employer's completed OSHA 200 Log for the establishment for calendar year 1998; the total hours worked for all employees and the average number of employees in 1998; and a copy of a complete roster of all employees at the establishment for 1998.
4. The employee roster should include full-time, part-time and seasonal employees. The listing may be an alphabetic listing, a payroll listing, a listing by department, or it may be in some other form. The roster must be for employees that worked during 1998. The list should not contain multiple entries for an individual.
  
  Ask the employer for the total hours worked and the average number of employees at the establishment for 1998. If the numbers are not available, the values can be estimated as described below.
  
  The total hours worked should be obtained for both salaried and hourly employees. The number should not include weekends (unless the employees work weekends), vacation, sick leave, holidays or any other non-work time, even if employees were paid for it. If the establishment only keeps records of the hours paid or if employees are not paid by the hour, the employer should estimate the hours that the employees actually worked. If the hours worked number is not available, use table 1 to estimate the hours.
  
  TABLE 1
  
  Estimation of Hours Worked
  
  The average employment can be estimated as follows: Add together the number of employees the establishment paid in each pay period during 1998. Include all employees (full-time, part-time, temporary, seasonal, salaried, and hourly). Divide that answer by the number of pay periods the establishment had in 1998. Be sure to include all pay periods, even if there were no employees in that pay period. Round the answer to the next highest whole number.
5. Compare the Log Summary and the hours worked data submitted to OSHA for the data collection with the data provided at the establishment.
6. The Submission Comparison Worksheet section of ORAA (hard copy contained in Appendix C) shall be used to compare the Log Summary and hours worked data submitted for the Data Initiative collection with the data provided by the employer at the establishment. The data submitted by employers in response to the ODI collection, including the name of the person who signed the data collection form, will be pre-entered into the worksheet for the CSHO (if the employer submitted data to OSHA). The CSHO shall enter the values from the establishment Log Summary and employment data that are provided to the CSHO at the establishment. The values should be entered exactly as recorded by the employer. Adjustments or corrections should not be made by the CSHO. The calculation of the percent difference is performed by ORAA. If there are differences in the numbers of cases reported, the CSHO shall ask the person who signed the submission why the numbers differ. If this person is not available, the question should be addressed to the recordkeeper or the manager. The response should be recorded on the Worksheet. If the employer did not submit any data, the CSHO shall ask why and record the response.
7. Determine the audit sample size and draw sample of employees.
8. The first step is to ascertain the total number of employees on the 1998 employee roster and the total number of cases recorded on the OSHA 200 Log. When these parameters are entered into the ORAA function section "Determine Audit Sample", the software will provide the number of employees whose records will be reviewed in the audit, the random start point and the sampling period.
  
  In order to select the employees whose records will be reviewed, the CSHO shall use the 1998 employee roster. Counting down from the top of the roster, the first employee selected is determined by the "random starting point" supplied by ORAA. Continue counting down the value of the "sampling period" and note each employee selected until the sample size is obtained. For example, if the random starting point is 10, the 10th employee listed on the roster is the first selection and if the "sampling period" is 18, every eighteenth employee after the first is selected until the sample size is achieved (note: the required sample may be achieved before the end of the roster is reached).
  
  If in identifying the sample of employees, the CSHO determines that an employee name is a duplicate or can not be used for whatever reason, he/she shall substitute the next employee name on the roster. If the CSHO comes to the end of the employee roster before obtaining the required sample size, he/she shall continue the interval count from the top of the employee roster.
  
  The CSHO shall compile a list of the employees selected for the audit sample. (See Figure 1 for a flow diagram of the sample selection process)
  
  NOTE: If these procedures are being used as a method of verification of the accuracy of employer's OSHA 200 Logs and Summaries of Occupational Injuries and Illnesses during general industry inspections, the CSHO may expand the scope of review beyond the employee sample at his or her discretion. When these procedures are being used to verify the quality of OSHA Log data submitted by employers under the OSHA Data Initiative, the CSHO shall not go beyond the scope of the sampled employees.
9. Review all pertinent records for each employee selected in the audit sample and independently reconstruct log entries for the sampled employees. Compare the reconstructed cases with the employer's OSHA 200 Log.
10. The CSHO shall perform a comprehensive review of the sampled employees' records in order to identify all of the occupational injuries and illnesses that may have occurred to those employees for the reference year. The records to be reviewed shall include medical records, worker's compensation records, insurance records, and if available, payroll/absentee records, company safety incident reports, company first aid logs, and/or alternate duty rosters.
  
  The CSHO shall conduct the review of medical records in accordance with the procedures specified in CPL 2-2.46 and in CFR 1913.10, "Authorization and Procedures for Reviewing Medical Records."
  
  Using the various records compiled, the CSHO shall independently construct Log entries for the recordable cases identified from the employee files. The CSHO shall identify the recordable cases and enter the reasons for recordability into the ORAA. (Note: An exact calculation of days away from work and days of restricted work activity is not required. An approximation based on an initial review of the records is acceptable.) The CSHO shall then use the ORAA software to compare the reconstructed Log entries with the employer's 200 Log, and to document any differences that exist.
  
  The CSHO shall make copies of the OSHA 200 Log for inclusion in the case file. The CSHO shall also make copies of any documentation needed to support discovered recordkeeping deficiencies. If a copying machine is not available, or is not made available for CSHO use, or the employer will not allow appropriate documents to be temporarily removed from the premises, the CSHO shall subpoena all records considered necessary for verification using the procedures outlined in the FIRM (CPL 2.103 Chapter II. section A. 2. c. (3)) and ADM 4.4.
11. Review employer's log to identify any cases recorded for the sampled employees that do not meet the OSHA recordability criteria (over-recording).
12. After reviewing of the sampled employees' files, the CSHO shall scan the employer's Log for any recorded cases not identified in the file review. The CSHO will determine the cases' recordability by considering the documentation in the employee's records and, if necessary, talking with the employer, recordkeeper or employee. The CSHO shall document any over-recorded cases in ORAA.
13. Determine audit results.
14. After the records review is complete, the CSHO shall use ORAA to generate a summary of the audit findings, including the percent of cases over-recorded and under-recorded. This summary can be used in the closing conference in discussing the audit findings with the employer and should be included in the case file as part of the audit documentation.
15. Interview the Designated Recordkeeper(s).
16. The CSHO shall interview the designated recordkeeper(s) (a maximum of two persons) regarding the manner in which injuries and illnesses are recorded at the establishment. The purpose of this interview is to assess each recordkeeper's knowledge of the OSHA injury/illness recordkeeping requirements and to determine whether recordkeeping problems exist. The CSHO shall use the Recordkeeper Questionnaire, and should enter responses into ORAA. (A hard copy is included in Appendix C.) If the CSHO learns of any company policies that may have an effect on the injury and illness records, it should be noted in the comments section of the questionnaire. For example, if the CSHO learns there is an awards program tied to the number of injuries and illnesses recorded on the OSHA Log, the program is to be described in the comments section.
17. Conduct Employee Interviews (optional).
18. A sample of employees may be interviewed at the discretion of the CSHO. Employee interviews are recommended if the CSHO believes the injury and illness records reviewed did not provide full and accurate information pertaining to injuries and illnesses experienced by the employees. If the CSHO elects to interview employees, a sub-sample of employees to be interviewed should be selected from the list of employees selected for the audit sample in section X.D above. The suggested number of employees to be interviewed is contained in the Employee Questionnaire function of ORAA. The questionnaire to be used in the interview is the Employee Questionnaire. Responses to the questionnaire are entered into ORAA. (A hard copy is included in Appendix C.)
Issuance of Citations Whenever OSHA recordkeeping violations are identified by Federal personnel conducting audits within their Federal enforcement authority, appropriate citations and penalties shall be proposed, and supporting documentation shall be provided, in accordance with guidelines in the FIRM (CPL 2.103) and CPL 2.111.
1. Citations of violations found shall be classified as other-than-serious with proposed penalties appropriate to the circumstances in each case. If violations are characterized as "willful," "repeat," or "failure to abate," the Regional Administrator or Regional Solicitor should be contacted for guidance.
2. Violation-by-violation citation and penalty procedures shall be considered, if appropriate, in accordance with OSHA Instruction CPL 2.80 and the FIRM (CPL 2.103).
3. Employers shall not be cited for over-reporting of cases. The employer shall be informed of such over-reporting and the need to eliminate these identified cases on the employer's OSHA 200 Log.
4. As part of the audit inspection, employers will not be cited for failure to submit data to OSHA or for discrepancies found in their Data Initiative submission compared to the establishment's OSHA 200 Log, employment and hours worked data.
5. When OSHA recordkeeping violations are identified by Federal personnel conducting audits of employers within the State's authority to enforce, and are unaccompanied by State personnel, such apparent violations should be referred to the appropriate State plan.
6. When OSHA recordkeeping violations are identified by State personnel conducting audits or accompanying a Federal auditor in their State, the State's procedures developed in accordance with section VI. of this document regarding the handling of such violations should be followed.
7. Other violations shall be cited, as appropriate, for a limited scope inspection.
Evaluation. The Area Director will provide OSTAT with an ORAA data file of the audits. The file can be submitted by e-mail or on a floppy disk.
In a final report, OSTAT will summarize the findings of the audit project, including (but not limited to) the accuracy of the data that employers submitted to OSHA for the data collection, employer knowledge about OSHA injury/illness recordkeeping requirements, and the level of compliance with 29 CFR 1904.

Recording and Tracking. In accordance with the FIRM change: "Mandatory Collection of OSHA 200 and Lost Workday Injury and Illness (LWDII) Data During Inspections" implemented by a Deputy Assistant Secretary Memorandum to the Regional Administrators dated June 21, 1996, the CSHO shall enter the summary line of the employer's OSHA 200 Log and the hours worked for three prior calendar years into the IMIS.
Item 24 of the OSHA 1, inspection type, should be coded as "k. Planned -- Other." Item 35 of the OSHA 1, scope, should be coded as "b. Partial Inspection." To facilitate tracking of these inspections for evaluation of the program, an IMIS code of "RKAUDIT" will be entered in the Optional Information block No. 42 of the OSHA-1.

Type ID Value

N 16 RKAUDIT

APPENDIX A

SUMMARY OF

STEPS FOR CONDUCTING THE DATA CHECK AND RECORDS AUDIT USING THE
OSHA RECORDKEEPING AUDIT ASSISTANT (ORAA) SOFTWARE

The ORAA software system has been developed to facilitate conducting, documenting, and analyzing the results of injury/illness recordkeeping audits. Table A-1 displays steps in the audit process along with the corresponding ORAA function. More detailed documentation and information is included in the HELP function of the software.

TABLE A-1

USING ORAA IN CONDUCTING THE DATA CHECK AND RECORDS AUDIT

Audit Step or Task

ORAA Function to Use

Enter information about the establishment and the contacts used during the audit.

Main Menu Function:	Track Audited Establishments
Screens:		Establishment and Contacts

Compare Log Summary and employment data from the OSHA data collection with the data provided at the establishment.

Main Menu Function:

Submission Comparison Worksheet

Determine and document the availability and location of the records needed for the audit.

Main Menu Function:

Records Identification

Determine the number of employees whose records must be reviewed and select the audit sample.

Main Menu Function:

Determine Audit Sample

Reconstruct log entries from the review of sampled employee records.

Main Menu Function:	Manage Injury/Illness Cases
Screens:		Case #, date, type, work relationship
		Basis for recordability
		Supporting Documentation

Compare the reconstructed or auditor-identified cases with the cases on the employer's OSHA 200 Log

Main Menu Function:	Manage Injury/Illness Cases
Screens:		Employer's Log 200
		Case Assessment

Identify and document overrecorded cases.

Main Menu Function:

Document Overrecorded Cases

Interview the establishment's designated recordkeeper(s). Record their responses.

Main Menu Function:

Recordkeeper Questionnaire

Select a sample of employees for interview and record their responses.

Main Menu Function:

Employee Questionnaire

Summarize findings of the audit.

Main Menu Function:

Determine Audit Results

APPENDIX B

LETTER TO EMPLOYERS

Included in this appendix are two sample letters to be given to the employer during the opening conference. One letter is a sample cover letter to be attached to the medical access order to be presented to the employer. This letter briefly explains the basic requirements of 1910.1020 and 1913.10 The other letter briefly explains the reason for the audit and the audit procedures.

Letter to Employers

Dear (Employer):

Your workplace has been scheduled for a records audit as part of OSHA's initiative to assess the quality of data collected from employers. This letter explains how your establishment was selected for an inspection under this program and the procedures that will be followed in the records audit.

Your establishment was selected for the records audit, using a statistically random approach, from a list of establishments required to submit 1998 injury and illness data to OSHA. As part of the review to verify the accuracy and completeness of your company's 1998 OSHA 200 Log, the OSHA compliance officer will ask you to furnish the following information:

Employee roster(s)
Your OSHA 200 Log
Workers' Compensation First Reports of Injury for a sample of employees
Medical records for a sample of employees (To protect the privacy of medical records, a formal written Access Order is attached. It explains this process more fully).
The total number of hours worked by your employees
The average number of persons employed

In addition, the compliance officer will ask to see other related records for some employees, as needed, such as nurse/doctor/clinic logs, company first aid reports, company accident reports, insurers' accident reports, accident and health benefit insurance records, within-plant employee transfer records, absentee records, and employee/payroll records.

As part of the recordkeeping audit, the compliance officer may talk with several of your employees. We will make every effort to avoid disruption of your workplace activities and would, therefore, prefer to interview employees away from their particular work stations.

Only a recordkeeping inspection will be conducted at this time. We appreciate your cooperation in this program. If you have any questions, your compliance officer is available to discuss them with you.

Sincerely,

Area Director

Attachment

Attachment for Medical Record Access

Sample Cover Letter

Dear (Employer):

The Assistant Secretary of Labor for Occupational Safety and Health has approved a formal written access order authorizing access by certain OSHA staff to specific medical records. A copy of that order accompanies this letter.

The Occupational Safety and Health Act of 1970 authorizes OSHA access to employee medical records in certain circumstances, such as those applicable here (see 29 CFR 1910.1020(e)(3)). The Agency recognizes, however, that there are often substantial personal privacy interests involved with employee medical records. Thus, the Agency has promulgated strict administrative procedures (set forth in CPL 2-2.46 - 29 and CFR 1913.10 that govern OSHA's access to personally identifiable employee medical records, and protect legitimate privacy interests. These regulations govern when and how OSHA will seek access to medical records, who can use this information and for what purposes, and how OSHA will safeguard these records once they are in the Agency's possession.

The written access order which accompanies this letter is the result of careful Agency consideration of these matters as they apply to your worksite. The written access order states what is being requested and why; who is authorized to review and analyze the information obtained; and other matters that inform you of OSHA's actions regarding access to these medical records.

If you, or your employees or their representatives have questions or objections concerning the written access order, you should feel free to contact the Principal OSHA Investigator or the OSHA Medical Records Officer, whose names, addresses and telephone numbers are listed on the written access order.

Government access to personally-identifiable medical information will be limited to that which is necessary to carry out this investigation. The goal of the investigation is to verify the accuracy and completeness of recordkeeping practices related to ensuring safe and healthful working conditions for employees of your establishment. All medical information will be protected under the provisions of the OSHA Medical Records Access Regulation. Your cooperation will be appreciated.

Sincerely,

Area Director

APPENDIX C

WORKSHEETS AND QUESTIONNAIRES

Appendix C contains the following components:

Submission Comparison Worksheet [PDF 10k]
Records Identification Worksheet [PDF 7k]
Recordkeeping Procedures Questionnaire [PDF 12k]
Employee Interview Questionnaire (Optional) [PDF 7k]

APPENDIX D

COVERAGE OF DATA INITIATIVE COLLECTION OF 1998 DATA

The scope of the Data Initiative determines the scope of the establishments to be audited. If the establishment falls outside of these parameters, do not do the audit. A replacement unit will be selected. The following is the scope of the Data Initiative collection of 1998 data. If you are unsure if an establishment falls within the scope of the collection, contact the Office of Statistics at 202-693-1886.

Establishments with 50 or more employees in SICs not included in the CY 1997 Data Initiative where the industry's lost workday injury and illness rate is 5.0 or greater; These SICs include: 0211, 0212, 0213, 0214, 0219, 0241, 0251, 0252, 0253, 0254, 0259, 0291, 5031, 5032, 5033, 5039.
Establishments with 50 or more employees in SICs subject to previous Data Initiative collection who were not included last year (SIC reclassifications, births, newly discovered establishments, etc).
Establishments with 40 - 49 employees in SICs listed in number 1 above and SICs that were included in the previous Data Initiative.
Pilot collection in Hospitals (SIC 8060) and Department Stores (SIC 5311).
Nonrespondents in the CY 1997 data collection.
Establishments that are of interest to the OSHA strategic plan, Federal OSHA and State Plan States.
1. Collection of follow up data on establishments that were inspected during FY 1998.
2. All establishments in SIC 2411 with 11 or more employees.
All establishments that reported a lost workday injury and illness rate of 7.0 or higher in the CY 1996 or CY 1997 data collection.
Establishments from the reporters to the CY 1996 or CY 1997 data collection with LWDII rates between 3.4 and 7.0 (selection will be either random, by largest employment first, or by highest LWDII rate first).
Collection of public sector establishments in certain State Plan States.
Collection by the particular State Plan in addition to the 80,000 clearance requested by OSHA; 2,300 public sector establishments collected in Connecticut; 300 in Maryland; 250 Hawaii.
In North Carolina collect from all employers with 40 or more employees in the following industries: SICs 0782, 0783, 2091, 2092, 3710 and 3732.
In Maryland collect from SICs 5411, 5511 and 8060. In public sector collect for local government sites with 40 or more employees.
In California collect from all employers with 40 or more employees in the following industries: SICs 1711, 1761, 2015, 2020, 2033, 2034, 2050, 2084, 2086, 2421, 2430, 2611, 3350, 3710, 3730, 3949, 4210, 4490, 4950, and 8050.

INDEX

Average Number of Employees

Citations

Closing Conference

CPL 2.111.

Determine the Audit Sample Size

Employee Interviews

Employee Representatives

Employee Roster

FIRM

Hours Worked

IMIS

Interview the Designated Recordkeeper

Medical Records

Medical Records Access Order

Opening Conference

Optional Information Block

ORAA

ORAA Data File

OSHA 1

Over-recording

Records Review

Report

Sample Establishments

State

Submission Comparison Worksheet

Training