Enforcement procedures for missing electronic injury and illness records

NOTICE: This is an OSHA Archive Document, and may no longer represent OSHA Policy. It is presented here as historical content, for research and review purposes only.

May 6, 2021

MEMORANDUM FOR:
REGIONAL ADMINISTRATORS

THROUGH:
AMANDA J. EDENS
Deputy Assistant Secretary

FROM:
PATRICK J. KAPUST, Acting Director
Directorate of Enforcement Programs
LEE ANNE JILLINGS, Director
Directorate of Technical Support and Emergency Management

SUBJECT:
Enforcement Procedures for Failure to Submit Electronic Illness and Injury Records under 29 CFR 1904.41(a)(1) and (a)(2)

This memorandum provides enforcement guidance regarding potential violations of the Occupational Safety and Health Administration’s (OSHA) rule requiring electronic submittal of injury and illness records, 29 CFR 1904.41(a)(1) and (a)(2).

Each Area Office has access to the Injury Tracking Application (ITA) database containing each Form 300A submitted to OSHA. Compliance safety and health officers (CSHOs) should refer to this database during all inspections to identify employers that were required to submit records¹ but failed to do so. Employers shall not be cited for failure to submit records by March 2, provided the employer attempted to submit its records but was unable to do so due to performance problems associated with the ITA. The data must have been submitted, however, in a timely fashion once the ITA becomes operational. Area Directors may direct CSHOs to perform a full recordkeeping audit where there is evidence of potential systemic recordkeeping issues.

Illness and injury records play a crucial role in OSHA’s ability to effectively target workplaces where employees are exposed to serious hazards. Therefore, the Agency will work to ensure full compliance with this regulation. In addition to this policy, OSHA is developing an analytic approach to identify non-responders from the previous calendar year’s data collection process.

OSHA Form 300A data for the preceding calendar year must be electronically submitted to OSHA each year by March 2 of the following year. The six month date to issue a citation for non-compliance with the requirements of 29 CFR 1904.41 will therefore be September 2. As an example, data for calendar year 2020 must be submitted to OSHA by March 2, 2021. OSHA may issue a citation for failure to submit up until September 2, 2021.

Please direct any questions regarding enforcement to the Directorate of Enforcement Programs, Office of General Industry and Agricultural Enforcement at (202) 693-1850. Questions regarding record submittal procedures or submittal status of affected employers should be directed to Elizabeth Grossman, Director of the Office of Statistical Analysis, at (202) 693-2225.

Footnote 1:

• Establishments with 250 or more employees that are subject to OSHA's recordkeeping regulation must electronically submit to OSHA the Summary of Work-Related Injuries and Illnesses (OSHA Form 300A).
• Establishments with 20-249 employees in certain high-risk industries must electronically submit to OSHA some of the information from the Summary of Work-Related Injuries and Illnesses (OSHA Form 300A).
• Establishments with fewer than 20 employees at all times during the year do not have to routinely submit information electronically to OSHA.