Date First Published on SafetySmart Compliance: January 14th, 2013
One of the hardest parts of OSHA compliance is maintaining proper injury and illness records. Here’s a 16-step gameplan to help you comply with the OSHA Recordkeeping standards.
What the Record Keeping Standard Requires
The OSHA recordkeeping and reporting rules are set out in Section 1904 of the Regulation, entitled Recording and Reporting of Occupational Injuries and Illnesses.
Recordkeeping and reporting has assumed a new urgency in light of OSHA’s National Emphasis Program on underreporting of injury. The standard is made up of the following subparts:
- Subpart A lists the purpose of the regulation;
- Subpart B deals with who has to keep OSHA injury/illness records;
- Subpart C includes:
- General requirements for recording illnesses and injuries; and
- Case-specific requirements for needlestick, medical removal and other special cases.
- Subpart D deals with administrative issues like recordkeeping at companies with more than 1 establishment, the OSHA 300-A annual summary and employee access to records; and
- Subpart E requires reporting of fatalities and serious injuries to OSHA, access of government officials to employer injury/illness records and the obligation to provide requested injury/illness information to OSHA and the Bureau of Labor Statistics (BLS).
Compliance Game Plan: 16 Steps
There are 16 basic steps to take to comply with OSHA Recordkeeping rules:
Step 1: Figure Out If You Must Keep Injury/Illness Records (OSHA 300 Logs) All employers must report workplace incidents resulting in fatalities or hospitalization of 3 or more employees to OSHA. The question: Do you also have to keep written illness and injury records. Rule: Yes, unless you qualify for 1 of 3 exemptions:
- The 10 or fewer employees exemption;
- The partial classified industries exemption; or
- The equivalent government agency illness/injury records exemption, e.g., you already keep equivalent records for MSHA, Department of Energy, Federal Railroad Administration or other federal government agency.
Step 2: Figure Out Which Employees You Must Keep OSHA 300 Logs for
You must keep records for all “covered employees,” i.e., all employees on your payroll, whether they’re labor, executive, hourly, salary, part-time, seasonal or migrant workers. You must also record recordable injuries and illnesses to employees who aren’t on your payroll if you supervise them on a day-to-day basis, including temps, leased employees and others supplied by an outside personnel service.
Step 3: Record All Recordable Injuries & Illnesses
You keep records of each fatality, injury and illness must record that:
- Is work-related;
- Is a new case; and
- Meets one or more of the general recording criteria of Sec. 1904.7, i.e., results in:
- Days away from work;
- Restricted work or transfer to another job;
- Medical treatment beyond first aid;
- Loss of consciousness; or
- A significant injury or illness diagnosed by a physician or other licensed health care professional; and
- Meets recording criteria for specific cases, including, needlestick and sharps injuries, cases involving medical removal, cases involving occupational hearing loss, work-related tuberculosis cases and musculoskeletal disorder (MSD) cases.
Step 4: Properly Fill Out the OSHA Forms 300, 300-A & 301
You must record recordable injuries and illnesses in the right forms, including:
- OSHA 300 Log for Work-Related Injuries and Illnesses: You enter information about your business at the top of and a one or two line description for each recordable injury or illness on the OSHA 300 within 7 calendar days of receiving information that a recordable injury or illness occurred;
- OSHA 300-A Summary of Work-Related Injuries and Illnesses: You must summarize information from the OSHA 300 information on the OSHA 300-A at the end of the year; and
- OSHA 301 Injury and Illness Incident Report: You complete an OSHA 301 Incident Report form, or an equivalent form, for each recordable injury or illness within 7 calendar days of receiving information that the recordable injury or illness occurred.
Step 5: Protect Injured/Ill Worker’s Privacy
For what are called privacy concern cases, you enter “privacy case” instead of the employee’s name on the OSHA 300 Log to protect the privacy of the injured or ill employee in case another employee, a former employee, or an authorized employee representative is provided access to the OSHA 300 Log.
Step 6: Make Sure Each of Your Business Establishments
Fulfills Its Recordkeeping Obligations
You must keep a separate OSHA 300 Log for each establishment expected to be in operation for one year or longer. You must also keep OSHA injury and illness records for short-term establishments, i.e., those that will exist for less than a year—although you don’t have to keep a separate OSHA 300 Log for each one of these establishments. You can keep one OSHA 300 Log covering all of your short-term establishments or include the short-term establishments’ recordable injuries and illnesses in an OSHA 300 Log that covers short-term establishments for individual company divisions or geographic regions.
Step 7: Prepare, Certify & Post Annual OSHA
At the end of each calendar year, you must review the OSHA 300 Log as extensively as necessary to verify that the entries are complete and accurate, correct any deficiencies you find, create an annual summary of injuries and illnesses recorded on the OSHA 300, certify the summary and post the annual summary. You must still complete, certify and post the OSHA 300-A even if you had no recordable cases for the year.
Step 8: Retain Injury/Illness Records
You must save the following documents for at least 5 years following the end of the calendar year the record covers:
- The OSHA 300 Log;
- The privacy case list, if any;
- The OSHA 300-A annual summary; and
- Any OSHA 301 Incident Reports.
Step 9: Revise & Update Injury/Illness Records Over the 5-year retention period, you must continually update your stored OSHA 300 Logs as information becomes available by listing any newly discovered recordable injuries or illnesses that weren’t previously recorded. Modify the previous entry of any case that later information shows isn’t properly recorded, e.g., a case listed as requiring medical treatment turns out to be worse and requires the employee to take days off. And make sure you take the above actions within 7 calendars of receiving the new information.
Step 10: Ensure Transfer of Records to New Owner of Business
If your business changes ownership, you must recognize that you’re responsible for recording and reporting work-related injuries and illnesses for that period of the year during which you owned the establishment. You must also transfer the Part 1904 records to the new owner.
Step 11: Ensure Employees Report Injuries/Illnesses
You must establish a method for employees to report work-related injuries and illnesses to you promptly without fear of retaliation or discipline. Make sure you don’t fire, demote or otherwise discriminate against an employee for:
- Reporting a work-related fatality, injury or illness;
- Asking for access to OSHA illness/injury records;
- Filing a safety and health complaint; or
- Exercising any of his/her other health and safety rights under OSHA and other laws.
You provide must provide employees, former employees, their personal representatives and their authorized employee representatives access to your OSHA injury and illness records, in accordance with the below requirements. Give the employee, former employee or representative a copy of the relevant OSHA 300 Log(s) for the establishment the employee works in or former employee worked in by the end of the next business day after access to copies is requested.
Step 13: Report Fatalities & Multiple Hospitalization Incidents to OSHA
You must orally report by telephone (you may use the OSHA toll-free central telephone number, 1-800-321-OSHA) or in person to the OSHA Area Office nearest to the site of the incident within 8 hours after (or if you don’t learn of the incident right away, within 8 hours of learning about it):
- The death of any employee from a work-related incident; or
- The in-patient hospitalization of 3 or more employees as a result of a work-related incident.
If the Area Office is closed and you can’t talk to live person, you report the incident using the 800 number. You’re not allowed to report the incident by leaving a message on OSHA’s answering machine, faxing the Area Office or sending an e-mail. You must give OSHA the following information for each fatality or multiple hospitalization incident:
- The establishment name;
- The location of the incident;
- The time of the incident;
- The number of fatalities or hospitalized employees;
- The names of any injured employees;
- Your contact person and his or her phone number; and
- A brief description of the incident.
Step 14: Provide Records to OSHA & Other Government Officials Who Request Them
If requested, you must provide your OSHA illness and injury records within 4 business hours to authorized government representatives, including representatives of:
- The Secretary of Labor who are conducting an inspection or investigation under the OSHA Act;
- The Secretary of Health and Human Services (including NIOSH) conducting an investigation under section 20(b) of the OSHA Act; or
- A State agency responsible for administering a State plan, e.g., Cal-OSHA.
Step 15: Complete OSHA Annual Injury & Illness Surveys If Requested
If you receive OSHA’s annual survey form, you fill it out and send it to OSHA or an OSHA designee, by mail or other means described in the survey form within 30 calendar days, or by the date stated in the survey form, whichever is later. You must report the following information for the year described on the form:
- The number of workers you employed;
- The number of hours worked by your employees; and
- The requested information from the records that you keep under Part 1904.
Step 16: Furnish Injury/Illness Data Requested by the BLS
If you receive one, you must promptly complete a Survey of Occupational Injuries and Illnesses Form from the BLS (or a BLS designee) and return it according to the instructions contained on the survey form.
Compliance Pointer: Each year, the BLS sends injury and illness survey forms to randomly selected employers and uses the information to create the Nation’s occupational injury and illness statistics. You don’t have to send injury and illness data to the BLS unless you receive a survey form.