• Audit Title

  • Client / Site

  • Conducted on

  • Prepared by

  • Location
  • Personnel

Incident Investigation & Record Keeping

  • The following scale may be used to identify audit items needing attention or if a practice, procedure or condition is found that is considered to be a best practice.

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  • Are OSHA 300 logs for the previous 5 years correctly maintained?

  • Indicate a code rating for this audit item.

  • Are "Injuries & Illness Incident Report" forms (OSHA 301 or equivalent) available and properly completed for each recordable incident?

  • Indicate a code rating for this audit item.

  • In addition to recordable cases ,are near misses, first aid cases, property damage, employee injuries / illnesses, environmental releases, etc. being reported and investigated?

  • Indicate a code rating for this audit item.

  • Is there a system in place that verifies identified corrective actions have been either completed,<br>or maintained on active list (with regular reviews)<br> targeted for completion?

  • Indicate a code rating for this audit item.

  • Are Employees aware of incident investigations and related corrective/preventive actions that<br>occurred in their work area?

  • ASK: Who participated in the investigation? What was the cause of the incident? (Was a root cause found?) What were the actions to prevent it from happening again?

  • Indicate a code rating for this audit item.

  • Have all supervisors and above been trained in the Incident Investigation process, notification requirements and root cause analysis determination?

  • Indicate a code rating for this audit item.

  • NOTE: OSHA 300 log summary posting is covered in the "Posting" section of the audit.

    Previous 5 years OSHA logs and first reports of injury.
    Previous 12 months' incident investigation reports.
    Documentation to support ratios of near miss reports, first aid cases, OSHA recordable injuries and serious injuries (lost time).
    Record of follow-up mechanism to ensure corrective actions are tracked to completion.

  • Comments / Observations / Findings / Recommendations:

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