Records and Reporting
DOE Elements, under DOE Order 231.1A, must record and report
occupational injury, illness, and property data. Federal agencies
are also required to analyze their injury and illness data
to identify and correct safety and health problem areas by
developing and initiating an effective safety and health program.
This is done through the Computerized Accident Incident Reporting
System (CAIRS), maintained by HSS at headquarters. See DOE
Reporting Order 231.1A ; and Computerized
Accident/Incident Reporting System (CAIRS).
CAIRS is a database used to collect and analyze DOE and DOE
contractor reports of injuries, illnesses, and other accidents
that occur during DOE operations in accordance with DOE Order
231.1A. CAIRS reporting is managed by the Office of Analytical
Studies (HS-32), with hardware and software support from the
Office of Information Management (HS-1.2).
The current reporting criteria for CAIRS injury/illness cases
are contained in DOE Manual 231.1A Chg 2. The Manual, DOE M 231.1A, Chg 2,
requires that all new injury/illness reports be submitted
twice each month on or before the 15th and the last workday
of the month. However, new or revised accident reports may
be submitted at any time, and some organizations do submit
this information more frequently. Work hours and revisions
are required quarterly.
Trends should be sought and cross-checked with other data
sources before targeting inspections to better evaluate OSH
performance in those problem areas.
Reporting requirements for DOE Federal employees are the
same as those for DOE contractor employees, but they are,
for Federal employees, governed by 29
CFR Part 1960. Rule - Federal Agency Recordkeeping and Reporting
Requirements - OSHA 29 CFR 1960 Subpart I.
Coordination and Integration
OSH professionals are responsible for reporting or in some
way inputting to these systems. DOE Federal sites should have
an established mechanism for ensuring that these various reporting
systems and efforts to maintain them are properly coordinated
and integrated. The DOE Order and information on occurrence
reporting may be found at: DOE
O 231.1A, Chg 1, Environment, Safety and Health Reporting, Order
Reporting and Processing System (ORPS).
Recordkeeping and Reporting Training
Recorded information on OSH incidents establishes the benchmark
for the success of the OSH program, and it is the basis of
trend analysis. Therefore, it is crucial that people who record
and report on occupational injuries, illnesses, and work-related
damage or loss of property and vehicular-related incidents
be appropriately and consistently trained and knowledgeable
about the how to report information into CAIRS and ORPS.
For information on ORPS and CAIRS reporting and training
visit the web site at: http://www.hss.energy.gov/sesa/analysis/
Section 24(a) of the OSH Act says that the Secretary of Labor
"shall compile accurate statistics on work injuries and
illnesses which shall include all disabling, serious, or significant
injuries and illnesses, whether or not involving loss of time
from work, other than minor injuries requiring only first aid
treatment and which do not involve medical treatment, loss of
consciousness, restriction of work or motion or transfer to
29 CFR Part 1960, Sub-part I, and OSHA Publication 2014 expand
on the statutory definition, classifying injuries and illnesses
as deaths, lost-time cases, or non-lost-time cases. Go to
Occupational Injury and Illness Recordkeeping Webpage
Obtain OSHA forms and instruction information at:
Is the Case Recordable?
OSHA No. 300 "Log and Summary of Occupational Injuries
and Illnesses" contains a working definition of what
you must record: record information about every occupational
death; non-fatal occupational illness; and those nonfatal
occupational injuries that involve one or more of the following:
loss of consciousness, restriction of work or motion, transfer
to another job, or medical treatment (other than first aid).
Statute, regulations, and guidance are printed on form OSHA
No. 300 that provides adequate guidance to answer questions
about whether a case is recordable or not. There are some
difficult cases that require further analysis in determining
whether a case is recordable, such as: "Did a death,
illness, or injury occur?"
In determining whether or not a case occurred, first establish
whether or not an injury or illness took place. Fault has
no role to play in the analysis. The injury or illness is
recordable of preventability. An employee does not have to
be involved in a specific job task for the injury/illness
to be reportable. If the employee is in pay status, the employment
relationship is presumed established.
Report only new injuries and illnesses. Recurrences or complications
of previous injuries and illnesses are not recordable. However,
if an old injury is aggravated because of a new incident (such
as a trip or fall); it is considered a new case and is recordable.
An employee's preexisting condition or physical defect generally
does not affect the recordability of an accident. However,
if a worker with a preexisting condition, such as a trick
knee, falls while walking and there is no other workplace
factor such as a wet floor, stone, or loose carpet, the incident
is not recordable.
Is It Work-related?
Establish that the case was related to work resulting from
a work environment event or exposure.
A work environment is considered the agency's premises and
other locations where employees are engaged in work-related
activities or are present as a condition of their employment.
A work relationship is established when the injury or illness
results from an event or exposure in the work environment.
The employer's premises include the total establishment,
as well as hallways, restrooms, snack bars, lunchrooms, and
Certain areas (e.g., parking facilities or recreational facilities)
and certain scenarios for workers being present in those areas
may or may not be considered work-related, depending on the
specific details of the situation. Such determinations would
have to be made, on a case by case basis, by the local Human
Resources office (or office with this responsibility). The
sensible approach is when in doubt, fill out the appropriate
Injury or Illness?
Decide whether the case is an injury or occupational illness.
All work-related illnesses must be recorded. Only those injuries
which involve medical treatment more than first aid, loss
of consciousness, restriction of work or motion, or job transfer
Classifying a case as an injury or illness is determined
by the nature of the original event or the exposure which
caused the case, not by the employee's medical condition.
Injuries are the result of instantaneous events in the workplace.
An occupational injury is any incident such as a cut, fracture,
sprain, amputation that results from a work accident or an
exposure involving a single incident in the workplace.
Illnesses are cases resulting from factors that are not instantaneous
in nature. This definition of occupational illness is flexible
enough to encompass acute illnesses that result from exposures
during a relatively short time period.
An occupational illness is any abnormal condition or disorder,
other than one resulting from an occupational injury, caused
by exposure to environmental factors associated with employment.
It includes acute and chronic illnesses or diseases which
may be caused by inhalation, absorption, ingestion, or direct
Some conditions may be either an injury or illness, such
as hearing loss, depending on how the harm occurred. For example,
if hearing loss resulted from an explosion (an instantaneous
event), it is recorded as an injury. If it resulted from exposure
to workplace noise over a period of time, it would be recorded
as an illness.
RECORDING ILLNESSES IN THE OSHA 300 LOG
If a case is an illness, record it and check the appropriate
illness category on the log. In addition to recording illnesses,
record each case in one of the seven categories (a through
g) in the illness section.
Diagnosing Workplace Illnesses
Occupational medicine physicians should be involved in diagnosis.
Sometimes occupational diseases are difficult to detect and
diagnose because they are ordinary diseases of life. Moreover,
there may be a long latency period between workplace exposure
and the disease onset. Very few physicians are trained in
occupational medicine. Often employees may not report an illness
as work-related because they do not link their symptoms to
the work environment.
Occupational diseases are difficult to detect and document
and some investigative work may be necessary. Note that medical
records are subject to confidentiality restrictions, and only
authorized personnel should have access to personnel medical
When evaluating an illness for its possible connection to
the workplace, the following diagnostic checklist and list
of questions is a guide to assist safety and health and medical
personnel identify links to workplace diseases. In some cases,
it may be good to seek assistance from OSH personnel.
Questions you should ask include:
- Has an illness condition clearly been established?
- Does it appear that the illness resulted from or was aggravated
by suspected agents or other conditions in the workplace?
- Are there suspected agents present in the workplace, or
have they been present in the past?
- Was the ill employee exposed to these agents in the work
- Was the exposure sufficient in intensity and/or duration
to result in the illness?
- Was the illness solely attributable to non-occupational
If the case is an injury, decide if it is recordable based
on a finding involving one or more of these four factors:
medical treatment, loss of consciousness, restriction of work
or motion, and/or job transfer.
Medical Treatment is any treatment other than first aid,
administered to injured employees. Medical treatment involves
the provision of medical or surgical care for injuries that
are not minor through the application of procedures or systematic
First Aid treatment is any one-time treatment and any follow-up
visit for the purpose of observation or treatment of minor
scratches, cuts, burns, splinters, etc., which do not ordinarily
require medical care. Such one-time and follow-up treatment
for the purpose of observation is considered first aid even
though provided by a physician or registered health care professional.
Treatment and Severity are sometimes difficult to distinguish
between first aid and medical treatment. The distinction depends
not only on the treatment but also on the severity of the
Recordable Injuries are not minor. Under OSHA recordkeeping
guidelines, first aid is not emergency treatment of serious
The following must be recorded if:
- Medical treatment by a physician or licensed medical personnel
- Bodily functions are impaired, such as normal use of
senses and limbs.
- Superficial damage to the physical structure of the body
results, for example a fracture.
- Complications which require follow-up medical treatment
Medical Treatment Checklist.
The following procedures are usually considered medical treatment,
and injuries associated with them are usually recordable.
- treatment of infection
- application of antiseptics during second or subsequent
visits to medical personnel
- treatment of second- or third-degree burns
- application of sutures, stitches, or staples
- application of butterfly adhesive dressings or sterile
strips in lieu of sutures
- removal of foreign bodies embedded in eye
- removal of foreign bodies from wound if removal is complicated
due to depth of wound or the size or location of the wound
- use of prescriptions, except for a single dose on first
visit for minor injury or discomfort
- use of hot or cold soaking therapy during the second or
a subsequent medical visit
- use of hot or cold compresses during the second or a subsequent
- cutting away dead skin
- heat therapy during the second or a subsequent medical
- whirlpool bath therapy during the second or a subsequent
- positive X-ray findings, such as a fracture or broken
- admission to a hospital or equivalent medical facility
First-Aid Treatment/Non-recordable Checklist. The following
procedures generally are classified as first aid and should
not be recorded if the work-related injury did not involve
loss of consciousness, restriction of work or motion, or job
- use of antiseptics during first medical visit
- treatment of first-degree burns
- use of bandages during medical visit
- use of elastic bandages during first medical visit
- removal of non-embedded objects in eye if only irrigation
(flushing) is required
- uncomplicated removal of foreign bodies from wound, such
as by use of tweezers
- use of non-prescription medications and administration
of single dose of prescription medication on first visit
for minor injury or to relieve discomfort
- soaking therapy on initial visit or removal of bandages
- use of hot or cold compresses during first medical visit
- use of ointments on abrasions to prevent drying and cracking
- use of heat therapy during first medical visit
- use of whirlpool bath therapy during first medical visit
- negative X-ray findings
- observation of injury during medical visit
Loss of consciousness resulting from a work-related injury
is recordable, no matter what type of treatment was provided.
Restriction of work or motion is automatically recordable
under OSHA, Bureau of Labor Statistics (BLS) guidelines. Restricted
work activity occurs when, as the result of a job-related
injury or illness, an employee is physically or mentally unable
to perform all or any part of his or her normal assignment
during all or any part of the workday or shift. This is often
the only factor that makes a case recordable.
A cut on a finger that, when bandaged, cannot bend enough
for a typist to perform his or her normal duties would be
Job transfer as a result of injury is recordable regardless
of the type or extent of provided medical treatment. Typically,
these cases are classified easily because any injury severe
enough to require job transfer is recordable based on other
criteria, such as medical treatment or restriction of work
RECORDKEEPING FORMS AND REPORTING REQUIREMENTS
Two forms are used for OSHA recordkeeping: OSHA No. 300 and
an appropriate supplemental form, which is DOE Form 5484.3
for DOE Elements. Both forms contain detailed instructions.
OSHA No. 300 serves two purposes. First, it is used to record
the occurrence, extent, and outcome of cases. Second, it serves
as the Summary of Occupational Injuries and Illnesses, which
is posted in the workplace.
Within 6 working days, Federal agencies are required to log
all injuries, illnesses and fatalities for which a CA-1, CA-2
or CA-6 is filed with the Office of Workers' Compensation
Programs (OWCP). Where there is no time lost or medical reimbursement
involved, CA forms documenting injuries or exposure should
be placed in the employee's medical or personnel folder. Office
of Workers' Compensation Programs (OWCP), CA forms may be
found at: http://www.dol.gov/owcp/.
DOE Form 5484.3, "Individual Accident/Incident Report,"
is used as the supplemental record in lieu of the OSHA No.301
to record and report worker-related fatalities, injuries and
illnesses, and damage or loss of property.
Form Retention. DOE Forms 5484.3 containing information about
fatalities, injuries, illnesses, and property or vehicle loss
are retained in accordance with DOE
O 243.1, "Records Management Program".
Accident Investigation Requirements
In addition to the completion of DOE Form 5484.3, all recordable
accidents involving DOE operations will be investigated to
some degree in accordance with DOE Orders 225.1A and 440.1B.
The CAIRS is a DOE database containing injury/illness and
vehicle loss records for all DOE and contractor organizations
from 1981 to the present and property damage records from
1975 to the present. Database information is analyzed, and
data performance statistics are issued in quarterly reports
entitled Occupational Injury and Property Damage Summary.
Tabulation of Work Hours, Vehicle Usage, and Property Valuation
DOE Form 5484.4 is used to record work-hours, vehicle usage,
and property valuation. This information is used in calculating
incidence rates, determining trends over time, and conducting
other forms of data analysis.
The information obtained from Part A of 5484.4 is used to
normalize DOE accident statistics. On a quarterly basis, Part
A is completed and mailed to the CAIRS Input Coordinator for
receipt on or before the 25th of each January, April, July,
The information obtained from Part B of 5484.4 is used to
estimate replacement value of all property in each DOE organization's
jurisdiction. An annual summary report estimating the property
valuation must be transmitted to the CAIRS Input Coordinator
for receipt on or before March 31 each year.
Form Retention. All personal injury and illness records need
to be retained in accordance with DOE
O 243.1 . If DOE Form 5484.4 does not include injury or
illness data, then it needs to be retained for 5 years. The
DOE Form 5484.4 used to record work hours, vehicle usage,
and property valuation is to be retained for 10 years.
FATALITIES AND CATASTROPHES
OSHA requires that all Federal agencies notify them within
8 hours of each occupational fatality, whether the fatality
occurred from an accident or occupational disease. In addition,
each catastrophic event defined as in-patient hospitalization
of three or more people (including both agency and non-agency
people) must be reported to OSHA within 8 hours. The fatality
needs to be reported into ORPS and the DOE FEOSH Program Manager
should be notified at the same time.
The Federal Agency head or designee shall orally report the
fatality/multiple hospitalization by telephone or in person
to the OSHA Area Office, DOL, which is nearest to the incident
site, or by using the OSHA toll-free central telephone number
(1-800-321-OSHA). This requirement applies to each fatality
and hospitalization of 3 or more employees which occurs within
30 days of an incident.
The fatality must be reported to DOE through the ORPS system.
For more information, read the DOE Order and visit the ORPS
web sites at: DOE
O 231.1A Chg 1, Environment, Safety and Health Reporting, Order
Reporting and Processing System (ORPS).
Notification of a fatality/catastrophe should include the
following information: (1) establishment name, (2) location
of incident, (3) date and time of incident, (4) number of
fatalities or hospitalized employees, (5) contact person and
phone number, and (6) a brief description of the incident.
In addition, each Federal agency must provide OFAP with a
summary report of each fatality and catastrophic incident
investigation. The summary shall address the date/time of
the accident, agency/establishment name and location, and
consequences, description of operation and the accident, causal
factors, applicable standards and their effectiveness, and
agency corrective/preventive actions.
ANNUAL SUMMARY/ACCESS TO RECORDS
A portion of OSHA No. 300 is used to summarize injuries and
illnesses for the previous calendar year. The summary is prepared
by totaling the column entries on the log and signing and
dating the certification portion of the form at the bottom
of the page.
Posting the Summary
Federal agencies are required to inform their employees that
establishment injury and illness logs and annual injury/illness
summaries are available and accessible. OSHA No. 300 must
be completed and posted in each establishment no later than
February 1 and must remain in place until April 30.
The summary must be posted in a conspicuous place or places
in the establishment where notices to employees are customarily
posted. If activities at the facility are dispersed, the notice
may be posted at the location where employees report each
These documents must be accessible to the establishment's
safety and health personnel, the facility's OSH committees,
employees, employee representatives, and former employees
with a need to know. In addition, these documents must be
made available to the Secretary of Labor, Secretary of Health
and Human Services, and their authorized representatives.
Safety and health records and reports must be maintained
by Federal agencies for 5 years after the end of the fiscal
year to which they relate.
The Federal Employee Compensation Act (FECA) provides compensation
for disability and death and medical care for employees of
the U.S. Government who sustain injuries or occupational diseases
resulting from their employment. Claims are managed by the
DOL Office of Workers Compensation Program (OWCP). Each DOE
site should have a workers compensation claims manager, who
processes and submits the OWCP claims through the OWCP coordinator
at DOE headquarters.
Visit the OWCP web site at: http://www.dol.gov/owcp/
FECA recognizes and compensates two distinctly different
types of cases. A traumatic injury is a wound or other condition
of the body caused by an external force, including stress
or strain. It must occur at a specific time and place, affect
a specific part or function of the body, and be caused by
a specific incident or series of incidents occurring within
a single day or work shift.
An occupational disease is, for practical purposes, any workplace-related
condition that does not meet the definition of a traumatic
injury. These include contagious diseases, repetitive motion
injuries, and long-latency diseases in which there is an incubation
period between exposure to a toxic substance and manifestation
Employees injured at work have no right of legal action against
the United States for the effects of the injury or disease
other than the right to receive the benefits provided by FECA.
Workers' compensation benefits, as such, are an "exclusive"
Injured employees or survivors have the initial burden of
proving entitlement to benefits under FECA. Benefits are not
automatic-employees and survivors must claim them.
In determining an injured employee's eligibility for benefits,
OWCP looks at five basic issues:
- Was the employee covered by FECA?
- Did a personal injury actually occur? The term injury
includes all occupational diseases proximately caused or
aggravated by the employment. Proximately caused means closely
related, as a result of, or following-in addition to direct
- Timely filing. Did the employee meet the time limitations
of the statute?
- Performance of duty. Did the injury occur in the performance
- Causal relationship. Is the disability claimed directly
connected, or otherwise causally related to the personal
injury sustained while in the performance of duty? Under
FECA, employees can receive benefits if they can show how
workplace conditions aggravated, accelerated, or worsened
a pre-existing condition (e.g., osteoarthritis of the knee
worsened by repeated entering and exiting from a vehicle).
Burden of Proof
The burden of proving a claim is the responsibility of the
employee, not the employing agency. Filing a claim is not
enough. All evidence necessary to establish his/her eligibility
for all disability benefits must be submitted.
With few exceptions, an employee or someone acting on the
employee's behalf must give the supervisor written notice
of a traumatic injury within 30 days after occurrence.
While CA-1, Federal Employee's Notice of Traumatic Injury
and Claim for Continuation of Pay/Compensation, can be used,
written notice can be in any format if it gives the name and
address of the employee; states the year, month, day, hour,
and locality where the injury occurred; states the cause and
nature of the injury; is signed and contains the address of
the individual giving notice; and is given by personal delivery
or deposited in the mail, properly stamped and addressed.
Employees are required to give supervisors written notice
of occupational diseases within 30 days after occurrence.
Form CA-2, Federal Employee's Notice of Occupational Disease
and Claim for Compensation, is available for occupational
disease cases. These claims must be filed within 3 years.
However, the clock does not begin to "run" in these
cases until the employee is aware of the disease and its link
to the employment.
In many disease cases, time begins to run when a physician
informs the employee that he or she has a disease and that
it may be work-related. However, in cases where the worker
continues to be exposed, time does not begin until the last
date of exposure. In long-latency cases, such as leukemia
caused by radiation, time does not begin to run until the
employee has compensable disability and is aware of the causal
relationship of the disability to the employment.
There is no administrative "penalty" for failure
to file a written notice of occupational disease within 30
days, since Continuation of Pay (COP) benefits are not payable
in occupational disease cases. Aside from the 30-day notice
requirement, a written claim for occupational disease benefits
must be filed within 3 years, or compensation will be denied.
Continuation of Pay
To be eligible for COP benefits, the employing agency must
be satisfied that a work-related traumatic injury occurred
and that written notice, or a CA-1 Form, was filed within
Under COP, an agency may pay the injured employee for up
to 45 days of the disability. The 45-day duration, however,
is not automatic. The period of disability must be documented
by medical evidence. As with other factors involving work-related
injuries, the duration of COP will vary with severity of the
injury and the healing proclivities of the individual.
While a traumatically injured employee cannot receive COP
benefits unless he or she reports the injury within 30 days,
the time requirement for a compensation claim will have been
met. In reality, claims filed long after the injury occurred
are known as "stale claims." Because of their unique
circumstances, OWCP carefully reviews these cases.
The most difficult part of the workers' compensation process
is obtaining reliable, probative, and substantial written
medical evidence. A claim will be denied unless it can be
established, through medical evidence, that the claimed disability
is related to employment.
As far as OWCP is concerned, probative value means its use
in serving to prove a particular fact or contention. A doctor's
report containing the physician's opinion, but with no medical
backup (e.g., test results, X-rays) to back up the opinion,
has less probative value than one based on objective data.
Weight of the evidence refers to its quality, not quantity.
Thus, a report from an appropriate medical specialist, a board
certified orthopedic surgeon in a broken foot case would have
more weight than the opinion of an internist.
Obtaining credible medical evidence is also difficult because:
- Doctors are busy people; they would rather practice medicine
than fill out papers.
- Some doctors simply do not take workers' compensation
- Many doctors do not understand the workers' compensation
system and the need
to provide fully documented, substantiated, well-rationalized
- A workers' compensation form cannot be designed that
anticipates all the types of cases and situations that can
When such problems with medical evidence develop, they usually
involve such issues as the period and extent of the disability.
Physicians should be encouraged to review their reports to
make sure they have clearly shown the period during which
the employee is medically unable to work, discuss the extent
of the disability (e.g., is it total or partial), and discuss
the medical reasons for the employee's injury-related work
limitations for partial disability.
List all injured parts of the body when filling out workers'
compensation forms. A severe injury to one part of the body
may overshadow a less serious injury. If delayed symptoms
occur, establishing a causal relationship between these new
symptoms and the injury may be difficult.
Occupational disease cases are much harder to prove than
traumatic injury cases and therefore require more detailed
factual and medical evidence. In these cases, claimants must
factually prove that they were exposed to certain conditions
while working and medically prove that these conditions caused
the disease. Since there is often a latency period between
the exposure time and onset of disability, the burden of proof
is often difficult. Board-certified occupational health physicians
may be consulted (e.g., physicians with specialized expertise
in asbestos, if that is the toxic substance involved in the
In complicated injury and all occupational disease cases,
the employee should first provide the physician with a detailed
report of the accident and injury or, in disease cases, the
work and exposure history.
Employment conditions believed to be the causative factors
should be described along with copies of all relevant medical
and environmental monitoring reports. Other information such
as MSDSs, NIOSH criteria documents, NIOSH Health Hazard Evaluations,
and reports of other workers with similar symptoms should
Go to: National
Institute of Occupational Safety and Health (NIOSH) Resource
Physicians should refer to this information and use it in
their written reports. In complicated trauma cases, occupational
disease cases, and cases involving continuing (long-term)
disability, physicians should, in addition to filling out
the OWCP forms, prepare a narrative report.
Since everyone has an interest in having the compensation
system work smoothly, it is a good idea to give these narrative
reports to physicians along with the CA forms, which are maintained
for 5 years after the end of the fiscal year to which they
relate. Alternatively, they can be given to the employee at
the same time the CA forms are provided with the advice that
they may help the doctor prepare a report that contains all
the OWCP needed information to adjudicate the claim.
- Meet burden of proof.
- File claim in a timely manner.
- Be truthful in claiming benefits and filling out forms.
- Have independent medical exams if requested.
- Report earnings from employment or self-employment while
disabled and receiving benefits.
- Return to work when able to perform usual duties or work
of a different nature.
- Accept work or offer to work when it is made.
- Undergo rehabilitation if directed by OWCP to do so.
(Refusal results in the risk of reduced or terminated benefits.)
Employers and supervisors
- Willingly and expeditiously fill out OWCP forms and reports.
- Be truthful in filling out forms and reports.
- Maintain an adequate supply of claim forms.
Workers' compensation is a no-fault, non-adversarial program.
Claims are adjudicated by a neutral party, the DOL's OWCP.
Except for filling out forms and reports, the supervisors
do not actively participate in the FECA Claims adjudication
process. However, they may submit affidavits and other relevant
statements regarding a claim. Suspected fraudulent claims
should be controverted.
For complete Workers' Compensation information, see DOL publication
CA-810, Injury Compensation for Federal Employees, revised
EXAMPLE: TRAUMATIC INJURY CASE
The Injury Occurs At 11:15 a.m. on Tuesday, May 11, 1995,
a DOE employee is moving a typewriter from one desk to another
when it slips from his hands and drops, and breaks his foot.
Co-workers notify the supervisor. What happens next?
First Aid and Help for the Victim. The first priority is
the injured worker. The onsite clinic, staffed by nurses,
is notified. They immediately respond with a wheelchair and
an ice pack. Because of the possibility of a broken foot,
an ambulance is called to take the employee to the hospital
for X-rays and a consultation with an emergency room physician.
CA-16 Authorizes Emergency Medical Treatment. The supervisor
or nurse, acting on standing orders, fills out a CA-16 and
sends it with the injured employee. A CA-16 is the OWCP Form
entitled "Request for Examination and/or Treatment."
This form authorizes the health care team to provide emergency
care, including surgery, to the injured employee.
If Possible, Get Information from the Injured Person. To
the extent possible and consistent with the medical needs
of the victim, the supervisor and/or facility health personnel
should obtain information with respect to the time, date,
place, circumstances, and witnesses to the accident. Information
on the name, occupation, agency, branch, or division where
the employee works is also useful.
Interview co-workers while the information is still fresh;
the supervisor should interview co-workers with respect to
what they know about the accident/injury.
CA-1 Must Be Filled out If a CA-1, "Federal Employee's
Notice of Traumatic Injury and Claim for continuation of pay/compensation,"
was not filled out (perhaps due to the need to rush the injured
person to the hospital), the supervisor should send the form
to the employee, and even sending the form to the person's
home if need be.
The injured person, or someone acting on his/her behalf,
should fill out the employee's section and return it as soon
as possible to the supervisor. The supervisor then follows
the instructions on the form to fill out his or her part of
the CA-1, "Official Supervisor's Report."
COP is authorized assuming the 30-day filing notice is timely;
the supervisor should send the forms to the agency official
who is charged with authorizing COP. By this time, the supervisor
should have the emergency room doctor's report and possibly
a report from the patient's treating physician.
Employee's right to choose his/her physician (remember, employees
have a right to choose their physicians for workers' compensation
purposes. Going to the nearest hospital or clinic for emergency
care, even emergency surgery, does not constitute "choosing"
As described in the injury reports, the CA-1, CA-16, and
doctors' reports, the employee broke several bones in his
foot and will be out of work about 14 days. Since this is
a traumatic injury and the employee is expected back to work
within 45 days, the agency can authorize COP for the next
Under COP, the employee receives the same base pay and deductions
and because he is on compensation his sick and annual leave
balances will not be affected.
Bypassing workers' compensation can have serious consequences,
sometimes employees and supervisors are tempted to bypass
the workers' compensation system, knowing they can be treated
at the agency clinic, they have Blue Cross coverage, or they
can use some sick or annual leave. This way, they avoid paperwork
and the facility's injury record looks pretty good.
Cases like this can turn tragic if, for example, an injury
like the broken foot was handled this way and a few weeks
later a blood clot in that foot started moving and the victim
suffered a severe stroke.
In straightforward traumatic injury cases, like the broken
foot example, the workers' compensation system functions smoothly.
Report of Injury/Illness/Lost Work Days on OSHA No. 300 Log
and Summary of Occupational Injuries and Illnesses is a record
all Federal employee occupational injuries and illnesses.
Maintain at the establishment. (Record on the log within 6
working days after receiving information on an occupational
injury or illness.) Post in the workplace at the end of each
year. Reporting though the CAIRS system generates the required
OSHA 300 form.
DOE Form 5484.3, Individual Accident/Incident Report. Use
as a supplemental record, in lieu of OSHA No. 301, to record
and report each work-related fatality, injury and illness,
damage or loss of property amounting to $5,000 or more, or
estimated costs of $5,000 or more for cleaning, renovating,
replacing, or rehabilitating structure, equipment, or property.
Damage that exceeds $1,000 to government owned, rented, or
leased vehicles while on official business is also recorded
and reported. DOE Form 5484.4, Tabulation of Work-Hours and
Vehicle Usage, and Property Valuation are used to quarterly
report work-hours and vehicle usage.
ANNUAL FEOSH REPORT TO THE SECRETARY OF LABOR
29 CFR 1960.74 and Executive Order 12196 require all Federal
agency heads to submit to the Secretary of Labor an annual
report on their agency's occupational safety and health program,
containing such information as the Secretary prescribes. Each
agency shall submit to the Secretary of Labor by January 1
of each year a report describing the agency occupational safety
and health program of the previous fiscal year and objectives
for the current year. The report includes a summary of the
agency's self-evaluation findings. Guidelines for agency annual
reports to OSHA are prescribed in OSHA publication 2014.
The Chief Health, Safety and Security Officer, as the Designated Agency
Safety and Health Official (DASHO), prepares submits the DOE report of
behalf of the Secretary of Energy.
The HSS FEOSH Program Manager collects data and information
for the various headquarters and field program elements during
the period of November and December of each year. This information
typically includes; numbers of fatalities, workers compensation
costs, lost work days, new worker compensation case rate,
timeliness in filing cases with DOL, motor vehicle accidents/seat
belt usage, training conducted, FEOSH staffing levels, a discussion
of specific program accomplishments, and other information
on special initiatives sponsored by either DOE or DOL.
As a FEOSH coordinator, you should be periodically collecting
and reviewing this information from your site, and may be
called upon by HSS to provide input to the Annual FEOSH Report
to the Secretary of Labor.
ACCIDENT INVESTIGATION (A/I) CATEGORIZATION
- Fatal, or likely to be fatal, injury, chemical or biological
- Accident requiring hospitalization for treatment of three
or more individuals, or has a high probability of resulting
in permanent total disability due to injuries, chemical
or biological exposures.
- Single individual radiation exposure resulting in:
- Total effective dose equivalent of 25 Roentgen Equivalent
Man (REM) or more,
- Dose equivalent to the lens of the eye of 75 REM or
- Shallow dose equivalent to the extremity or skin of
250 REM or more,
- Sum of the deep dose equivalent for external exposure
and the committed dose equivalent to any organ or tissue
other than the eye lens of 250 REM or more and,
- Dose equivalent to the embryo or fetus of a declared
pregnant worker of 2.5 REM or more.
- Release of a hazardous substance, material, waste, or
radionuclide from a DOE facility (onsite or offsite) resulting
in serious environmental damage in an amount greater than
five times the reportable quantities specified in 40 CFR
- "Estimated loss of, damage to, or requiring costs
for cleaning, decontaminating, renovating, replacing, or
rehabilitating structures, equipment, of DOE or other property,
including aircraft damage equal to or greater than $2.5
- Any apparent loss, explosion, or theft involving radioactive
or hazardous material under the control of DOE, contractors,
or subcontractors in such quantities and under such circumstances
to constitute a hazard to human health and safety or private
- Any unplanned nuclear criticality.
- Any accident or series of accidents for which a Type A
investigation is deemed appropriate by the Secretary or
the Chief Health, Safety and Security Officer.
- One or a series of injuries or chemical or biological
exposures that results in hospitalization or permanent partial
disability of one or more individuals for more than 5 continuous
- One accident or series of accidents within a 1-year time
period, resulting in five or more lost-workday cases.
- Single radiation exposure to an individual resulting in:
- Total effective dose equivalent of at least 10 REM but
less than 25 REM
- Dose equivalent to the eye lens of at least 30 REM but
less than 75 REM
- Shallow dose equivalent to the extremity or skin of at
least 100 REM but less than 250 REM
- Sum of the deep dose equivalent for external exposure
and the committed dose equivalent to any organ or tissue
other than the lens of the eye of at least 100 REM but less
than 250 REM and,
- Dose equivalent to the embryo or fetus of a declared pregnant
worker of at least 1 REM but less than 2.5 REM
- Release of a hazardous substance, material, waste, or
radionuclide from a DOE facility (onsite or offsite) resulting
in serious environmental damage in an amount equal to or
greater than two times but less than five times the reportable
quantities specified in 40 CFR Part 302.
- Estimated loss of, damage to, and requiring costs of cleaning,
decontaminating, renovating, replacing, or rehabilitating
structures, equipment, of DOE or other property, including
aircraft damage, of more than $1 million but less than $2.5
- The operation of a nuclear facility beyond its authorized
- Any accident or series of accidents for which a Type B
investigation is deemed appropriate by the Secretary; Assistant
Secretary for Environment, Safety and Health; Associate
Deputy Secretary for Field Management; Cognizant Secretarial
Officer; or Head of the Field Element. This includes for
example, Departmental cross-cutting issues and issues warranting
the attention of local news or interest groups.
View the DOE FEOSH Program information brochure
For more information contact:
CAIRS Program Manager
U.S. Department of Energy
Office of Health, Safety, and Security
1000 Independence Ave S.W.
Washington D.C. 20585
David M. Smith, Manager
Federal Employee Occupational Safety and Health
U.S. Department of Energy
Office of Health, Safety and Security
1000 Independence Ave S.W.
Washington D.C. 20585
||Federal Employee Occupational Safety and Health (FEOSH) Program |
U.S. Department of Energy,
Office of Health, Safety and Security (HSS)
1000 Independence Avenue, SW Washington, D.C. 20585-1290
FEOSH Program Manager: Carlos Coffman, HS-23, (301)903-6493 or Carlos Coffman