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Recordkeeping Reporting and Notices

    Subject: Recordkeeping, Reporting, and Notification of Work-Related Injuries and Illnesses

    Effective Date: Upon release of this Instructional Guideline

    Expiration date: Effective until cancelled or superseded

    Supersedes: None

    Background

    The Occupational Safety and Health Administration (OSHA) imposes a duty on most employers to:

    • Keep and maintain a record of serious work-related injuries and illnesses. Minor injuries requiring first aid only do not need to be recorded;

    • Report fatalities and severe injuries to OSHA in a timely manner; and

    • Report the previous calendar year's occupational injury and illness recordkeeping data to the Bureau of Labor Statistics [(BLS); (reporting duty imposed on Federal Departments)].

    Specifically, these recordkeeping and reporting duties are set forth in OSHA’s regulations as follows:

    1. Keeping and Maintaining Records

      Title 29 Code of Federal Regulations (CFR) 1904. Recording and Reporting Occupational Injuries and Illnesses. The purpose of this rule (Part 1904) is to require employers to record, report, and notify employees and OSHA regarding work-related fatalities and recordable injuries and illnesses, including work-related severe injuries. Additionally, 1904.32 requires employers to complete and post an annual summary of injuries and illnesses.

    2. Reporting Fatalities and Serious Injuries and Illnesses

      29 CFR 1904.39 (Reporting fatalities, hospitalizations, amputations, and losses of an eye as a result of work-related incidents to OSHA) requires DOC operating units to notify OSHA of work-related fatalities within eight hours and work-related inpatient hospitalizations of one or more employees, amputations and losses of an eye within 24 hours.

    3. Recordkeeping and Reporting Requirements for Federal Government Employers

      Title 29 CFR 1960, Basic Program Elements for Federal Employee Occupational Safety and Health (OSH) Programs and Related Matters, Subpart I —Recordkeeping and Reporting Requirements,1960.66(a). The purpose of this subpart is to establish uniform requirements for Federal agencies to collect and compile occupational safety and health (work-related) injury and illness data; use injury and illness data for proper evaluation and implementation of necessary corrective action; and assist the Secretary [of Labor] in meeting the requirement to develop and maintain an effective program of collection, compilation, and analysis of occupational safety and health statistics, fatalities, injuries and illnesses. Further, 1960.72(a) requires the Department to electronically submit to BLS (within the U.S. Department of Labor (DOL)) by May first of each year all information included on the Department's previous calendar year's occupational injury and illness recordkeeping forms.

    Purpose

    The purpose of this Department of Commerce-wide (DOC or the Department) Safety and Health Instructional Guideline is to establish the responsibilities and procedures for investigating, recording, reporting, recordkeeping, and notifying OSHA of work-related injuries and illnesses.

    Applicability

    This DOC-wide Safety and Health Instructional Guideline applies to all operating units, bureaus, agencies, offices, laboratory workspaces, field operations, and other organizations or components. Operating units shall record and maintain records of all work-related injuries and illnesses required by OSHA at each establishment, as defined under the Definitions section.

    Responsibilities

    Department’s Office of Occupational Safety and Health (OOSH) Responsibilities

    On a calendar year basis, by January 31st of each new calendar year, OOSH will request operating units to provide the previous year’s (updated) listing of establishments and workplace injury and illness data.

    OOSH will provide OSHA, on a calendar year basis, by May 1st of each new calendar year, the previous year’s listing of DOC bureau establishments and workplace injury and illness data.

    Operating Unit Responsibilities

    The designated operating unit safety and health manager, area safety representative, or collateral duty safety representative will ensure that:

    • the investigation, recording, recordkeeping, and notification of injuries and illnesses (including fatality and severe injury) required by OSHA at all DOC establishments has been completed, that documents are maintained in a secure location, and that they are in good condition;

    • on a calendar year basis, by March 15th of each new calendar year, OOSH is provided with the previous year’s (updated) listing of the bureau’s/operating unit’s establishments; and

    • on a calendar year basis, by March 15th of each new calendar year, OOSH is provided with the bureau’s/operating unit’s workplace injury and illness data collected, recorded, and reported in accordance with applicable OSHA regulations (e.g., 29 CFR 1904 and 29 CFR 1960.72).

    Definitions

    This section defines, as well as adopts a series of terms (from DAO 209-3 Injury, Illness, Accident/Incident, Fatality and Motor Vehicle Accident Reporting and Investigation (7/20/2015)), used throughout these Instructional Guidelines. Defining these terms serves to enhance the users’ understanding of the requirements specified by these Instructional Guidelines and include the following:

    Establishment - The term establishment as defined at Title 29 CFR 1960.2(h) means a single physical location where business is conducted or where services or operations are performed. Where distinctly separate activities are performed at a single physical location, each activity shall be treated as a separate establishment. Typically, an establishment as used in this part refers to a field activity, regional office, area office, installation, or facility.

    In the OSHA Field Operations Manual, Chapter 13, “Federal Agency Field Activities” at paragraph I.C.1., Important Definitions, OSHA has provided further clarification of the term establishment, with examples such as:

    1. Major organizational units with distinct lines of authority shall be counted as separate establishments.

    2. Agencies or bureaus (i.e., Operating Units) in a department would be separate establishments even if they occupy the same building.

    3. Each component of the Department of Defense (Army, Navy, etc.) and each major command located at an installation would be a separate establishment.

    4. Lower organizational units that are located at the same location, such as offices or divisions within the bureau, or shops within the command are not considered separate establishments. The bureau or command to which they belong is the establishment.

    OSHA Form 300A, Summary of Work-Related Injuries and Illnesses (the Summary) is a separate OSHA form that shows the totals for the year in each injury and illness category.

    OSHA Form 300, Log of Work-Related Injuries and Illnesses (the Form 300; the Log) is used to classify work-related injuries and illnesses and to note the extent and severity of each case. When an incident occurs, the log is used to record specific details about what happened and how it happened.

    Form CD-137, Report of Incident, Injury, Illness, Motor Vehicle Accident, Property Damage, or Fatality is the Department’s accident reporting form.

    Traumatic Injury, a condition of the body caused by a specific event or incident, or series of events or incidents, within a single workday or shift. Such condition must be caused by external force, including stress or strain, which is identifiable as to time and place of occurrence and member or function of the body affected.

    Severe Injury, a work-related injury employers must report to OSHA. Employers must report all work-related fatalities within 8 hours and report all work-related in-patient hospitalizations, amputations and loss of an eye within 24 hours.

    Recordkeeping, Reporting, and Notification of Work-Related Injuries and Illnesses Procedures

    Follow the instructions of DAO 209-3 Injury, Illness, Accident/Incident, Fatality and Motor Vehicle Accident Reporting and Investigation (7/20/2015), including:

    1. Keeping and Maintaining Records

    a) Upon notification of an accident the supervisor will ensure that proper medical care to the employee has been initiated.

    b) If the injury or illness requires medical care beyond first aid, the supervisor will ensure that the employee is informed of the condition and advised of the need for additional medical assistance.

    c) Within 24 hours of the accident, the CD-137 will be initiated by the injured/ill employee, supervisor, or anyone familiar with the accident who can accurately and completely document the accident, through section #24 on the form.

    d) The CD-137 will be submitted to the supervisor for completion of sections # 25-31 and signed by the supervisor. Within 5 working days, the completed and signed CD-137 will be submitted to the operating unit safety and health manager, area safety representative, or collateral duty safety representative for future documentation.

    e) Upon receipt of the completed and signed CD-137, the operating unit safety and health manager, area safety representative, or collateral duty safety representative will determine if the accident is OSHA-recordable. This determination must be made within the specified 7-day limitation set by the OSHA regulations.

    f) If the accident is OSHA-recordable, the data from the CD-137 will be transcribed to the OSHA Form 300.

    g) Follow the requirements of DAO 202-810 Workers’ Compensation for Federal Employees and DOC Workers' Compensation: How to File a Claim for completing workers’ compensation forms electronically using the centralized DOL Employees’ Compensation Operations and Management Portal (ECOMP).

    2. Reporting Fatalities and Serious Injuries and Illnesses to OSHA

      a) The operating unit safety and health manager, area safety representative, or collateral duty safety representative must immediately inform the servicing Security Office and the Department's OOSH of any fatal incidents, or incidents involving severe injury (such as work-related inpatient hospitalizations of one or more employees, amputations and losses of an eye) to one or more workers in a Department-owned or leased facility, vessel, aircraft, or work-related operation or activity. This applies to federal employees, contractors, associates or visitors; and

      b) The operating unit safety and health manager, area safety representative, or collateral duty safety representative must contact the Area OSHA office within eight hours of learning of the incident of a fatality or within 24 hours of learning of an inpatient hospitalization of one or more employees, an amputation or a loss of an eye. Such reports can be made by the responsible operating unit safety and health manager, area safety representative, or collateral duty safety representative to OSHA’s Area office nearest to the site where the incident occurred, or to OSHA's toll-free central telephone number at (800) 321-6742. Note: OSHA Regional and Area Offices.

      c) Additional assistance in identifying severe work-related injuries and illnesses, and implementing the fatality, severe injury and illness reporting requirements to OSHA is provided by: the Guide to Reporting Fatalities, Hospitalizations, Amputations, and Losses of an Eye as a Result of Work-related Incidents to OSHA; and the DOC Accident Reporting and Notification Flowchart.

      d) The OOSH director may designate a safety and health specialist to assist in the fatality or severe injury accident investigation.

    3. Work-related Injury and Illness Recordkeeping and Data Reporting Requirements for Federal Government Employers

    a) On a calendar year basis, by January 31st of each new calendar year, OOSH will request operating unit safety and health managers, area safety representatives, or collateral duty safety representatives to provide the previous year’s (updated) listing of the bureaus’/operating units’ establishments and workplace injury and illness data in accordance with applicable OSHA regulations (e.g., 29 CFR 1904 and 29 CFR 1960.72) and the templates provided by OSHA’s Office of Federal Agency Programs (OFAP).

    b) In turn, the operating unit safety and health manager, area safety representative, or collateral duty safety representative must provide OOSH with the previous (calendar) year’s (updated) listing of the bureau’s/operating unit’s establishments. The required establishment listing must be provided by March 15th (of each new calendar year) in accordance with applicable OSHA regulations (e.g., 29 CFR 1904 and 29 CFR 1960.72) and the templates provided by OFAP;

    c) Further, the operating unit safety and health manager, area safety representative, or collateral duty safety representative must provide OOSH with the bureau’s/operating unit’s workplace injury and illness data. The required workplace injury and illness data must be collected, recorded, and reported by March 15th (of each new calendar year) in accordance with applicable OSHA regulations (e.g., 29 CFR 1904 and 29 CFR 1960.72) and the templates provided by OFAP;

    d) At the start of each new calendar year (usually by January 31st), OFAP provides templates in the form of case specific and summary flat files for reporting work-related injury and illness data derived from and matching the data found in the OSHA 300, 300 A and 301 forms (or equivalents). OFAP also provides guidance on completing and submitting the recordable and reportable injury and illness data (submissions must not include the following: pay scale, occupation code, and pay grade (found in the case specific file)).

    e) The operating unit safety and health manager, area safety representative, or collateral duty safety representative must advise OOSH (in writing (e.g., via email)) if there were no recordable and reportable injury cases associated with the operating unit during the preceding calendar year.

    f) OOSH will review and consolidate the data submitted by the operating units and will provide OSHA, on a calendar year basis, by May 1st of each new calendar year, the previous year’s listing of DOC bureau establishments and workplace injury and illness data collected, recorded, and reported in accordance with applicable OSHA regulations (e.g., 29 CFR 1904 and 29 CFR 1960.72).

4. Maintaining and Posting Work-related Injury and Illness Documentation

    a) The operating unit safety and health manager, area safety representative, collateral duty safety representative, or other designated and qualified OSHA recordkeeper must keep and retain the OSHA Form 300 (log) and OSHA Form 300A (summary) for 5 years following the year to which they pertain;

    b) All information associated with the OSHA Form 300A and OSHA Form 300 (i.e., Form CD-137, Report of Incident, Injury, Illness, Motor Vehicle Accident, Property Damage, or Fatality) including notes, audio/videotapes, photographs, and other records must be placed in a secured location for future reference. Retain the associated documentation for 5 years following the year to which they pertain;

    c) The OSHA Form 300A must be completed according to instructions and posted at each establishment (in a conspicuous place or places where notices to employees are customarily posted) by February 1 of each new calendar year (following the year covered by the form) and it must remain posted until April 30; and

    d) If a motor vehicle/property was damaged, a form SF-91, “Operator’s Report of Motor Vehicle Accident,” may also be required to be prepared, and submitted to the Department’s General Litigation Division, Office of the General Counsel.

    DOC Resources and References

    For resources regarding DOC’s requirements for recordkeeping, reporting and notification policies, procedures, guidelines, forms, and regulatory requirements visit the following links:

    DAO 202-810 Workers’ Compensation for Federal Employees;

    DOC Workers' Compensation: How to File a Claim;

    DAO 209-3 Injury, Illness, Accident/Incident, Fatality and Motor Vehicle Accident Reporting and Investigation;

    • DAO 209-4 Occupational Safety and Health Program; and [Note: Currently, DAO 209-4 is under development]; and

    DOC Annual Report on the Occupational Safety and Health Program - Instructional Guidelines

    OSHA Recordkeeping Rules, Resources, Guidance, and References

    For resources regarding OSHA’s requirements for recordkeeping, reporting and notification policies, procedures, forms, and regulatory requirements visit the following links:

    OSHA Injury and Illness Recordkeeping and Reporting Requirements.

    Get recordkeeping forms 300, 300A, 301, and additional instructions.

    Read the full OSHA Recordkeeping regulation (29 CFR 1904).

    Federal Agency Recordkeeping Reporting Data - Data Elements/Flat File Forms.

    Recordkeeping and Reporting Requirements for Federal Agencies.

    OFAP Webpage on Federal Agency Injury and Illness Data Collection Requirements (1960.72(a)).

    Find an OSHA office near you.