October 26, 2017

10:00 to 11:00

Dale Glacken,

Compliance Assistance Specialist

Harrisburg Area Office

OSHA Electronic Submission

of Records

This information has been developed by an OSHA Compliance

Assistance Specialist and is intended to assist employers, workers, and

others as they strive to improve workplace health and safety. While we

attempt to thoroughly address specific topics [or hazards], it is not

possible to include discussion of everything necessary to ensure a

healthy and safe working environment in a presentation of this nature.

Thus, this information must be understood as a tool for addressing

workplace hazards, rather than an exhaustive statement of an

employer’s legal obligations, which are defined by statute, regulations,

and standards. Likewise, to the extent that this information references

practices or procedures that may enhance health or safety, but which

are not required by a statute, regulation, or standard, it cannot, and

does not, create additional legal obligations. Finally, over time, OSHA

may modify rules and interpretations in light of new technology,

information, or circumstances; to keep apprised of such developments,

or to review information on a wide range of occupational safety and

health topics, you can visit OSHA’s website at www.osha.gov.

CAS Material Developed & Distributed

Leadership

Secretary of Labor – R. Alexander AcostaUnited States Secretary of Labor

https://www.osha.gov/recordkeeping/finalrule/index.html

Electronic Submission Compliance Date

• The May 12, 2016, final rule (81 FR 29624) required employers to electronically submit 2016 Form 300A data to OSHA by July 1, 2017.

• On June 28, 2017, OSHA published a Notice of Proposed Rulemaking to delay the initial deadline for electronic submission of 2016 Form 300A data from July 1, 2017, to December 1, 2017.

1902.7 Injury and illness recording and

reporting requirements

• 1902.7(d) As provided in section 18(c)(7) of the Act, State Plan States must adopt requirements identical to those in 29 CFR 1904.41 in their recordkeeping and reporting regulations as enforceable State requirements. The data collected by OSHA as authorized by §1904.41 will be made available to the State Plan States. Nothing in any State plan shall affect the duties of employers to comply with §1904.41.

• FAQ 11. Does this rule apply to employers in State Plan states? Yes, within six months after publication of this final rule, State Plan states will have to adopt requirements that are substantially identical to the requirements in this final rule. Some states may choose to allow employers in their state to use the federal OSHA data collection website to meet the new reporting obligations. Other states may provide their own data collection sites. OSHA will provide further information and guidance as the States decide how to implement these new reporting requirements.

Electronic Reporting

• 1904.41(a)(1) – Establishments with 250 or

more employees in industries covered by the

recordkeeping rule: Non-Mandatory Appendix A to Subpart B -- Partially Exempt

Industries

Must, on an annual basis (July 1, 2018, then March 2),

provide data from the:➢ Summary Form 300A (begins on December 1, 2017)

➢ Log Form 300

➢ Incident Report 301

❖ Does not include the injured worker’s name and address

❖ Does not include the physician’s name and address

Electronic Reporting

• 1904.41(a)(2) – Establishments with 20 to 249

employees in certain industries:

– Appendix A to Subpart E of Part 1904-Designated

Industries for § 1904.41(a)(2) Annual Electronic

Submission of OSHA Form

– Must provide, on an annual basis, data from the

Summary Form 300A starting December 1, 2017.

• This replaces the OSHA Data Initiative (ODI)

– Then July 1, 2018, then March 2

Timeline

• Final Rule Federal Register Notice – May 12, 2016

• Correction to 1904.35b2 - May 20, 2016:

• Employee Rights (anti-retaliation provisions), changed effective date until –December 1, 2016

• Electronic Reporting effective Date – January 1, 2017

• Phase-in data submission due dates:

Submission

year

Establishments with 250 or

more employees in industries

covered by the recordkeeping

rule

Establishments with

20-249 employees In

select industries

Submission

deadline

2017CY 2016 300A Form CY 2016 300A Form Dec 1, 2017

2018CY 2017 300A, 300, 301 Forms CY 2017 300A Form July 1, 2018

2019 and

beyond

300A, 300, 301 Forms 300A Form March 2

Electronic Reporting

• 1904.41(a)(2) covered Industries

– Ag., forestry and fishing (NAICS 11)

– Utilities (NAICS 22)

– Construction (NAICS 23)

– Manufacturing (NAICS 31-33)

– Wholesale Trade (NAICS 42)

– Industry groups (4-digit NAICS) with a three year

average DART rate of 2.0 or greater in the Retail,

Transportation, Information, Finance, Real Estate and

Service sectors.

NAICS Codes

Your NAICS Codes

– 623110 – Nursing Care Facilities

– 623311 – Community care facilities for the elderly

– 623312 Assisted Living Facilities for the Elderly

All covered by the rule.

11

NAICS Codes

6231 Nursing Care Facilities

• 623110 Nursing Care Facilities

This industry comprises establishments primarily engaged in providing inpatient nursing and rehabilitative services. The care is generally provided for an extended period of time to individuals requiring nursing care. These establishments have a permanent core staff of registered or licensed practical nurses who, along with other staff, provide nursing and continuous personal care services.

12

NAICS Codes623311 Continuing Care Retirement CommunitiesThis U.S. industry comprises establishments primarily engaged in providing a range of residential and personal care services with on-site nursing care facilities for (1) the elderly and other persons who are unable to fully care for themselves and/or (2) the elderly and other persons who do not desire to live independently. Individuals live in a variety of residential settings with meals, housekeeping, social, leisure, and other services available to assist residents in daily living. Assisted-living facilities with on-site nursing care facilities are included in this industry.

13

NAICS Codes623312 Assisted Living Facilities for the Elderly

This U.S. industry comprises establishments primarily engaged in providing residential and personal care services (i.e., without on-site nursing care facilities) for (1) the elderly or other persons who are unable to fully care for themselves and/or (2) the elderly or other persons who do not desire to live independently. The care typically includes room, board, supervision, and assistance in daily living, such as housekeeping services.Illustrative Examples:- Assisted living facilities without on-site nursing care facilities- Rest homes without nursing care - Assisted living facilities for the elderly without nursing care

1904.41(a)(3) Electronic submission of part 1904

records upon notification. Upon notification, you

must electronically submit the requested

information from your part 1904 records to

OSHA or OSHA’s designee.

Electronic Reporting

Improve Tracking of Workplace Injuries

and Illnesses: Final rule

• The rule does not add to or change any

employer’s obligation to complete and

retain the injury and illness records or

change the recording criteria or definitions

for these records. The rule only modifies

employers’ obligations to transmit

information from these records to OSHA.

How do I submit the information?

• You must submit the information electronically.

OSHA will provide a secure Web site for the

electronic submission of information.

Valid Actions with the Application Program Interface

(API) There are several valid actions you can

perform using the Injury Tracking Application (ITA)

API, including:

1. Create one or more establishments

2. Get a list of establishments

3. Get a specific establishment

4. Edit one or more establishments

5. Add Form 300A data to one or more establishments

6. Get a specific Form 300A

7. Edit Form 300A data for one or more establishments

8. Create a submission

9. Get a specific submission record

Injury Tracking Application (ITA)

• Employers can access the application from the ITA landing page at https://www.osha.gov/injuryreporting/index.html

The ITA was successfully launched August 1, 2017

Injury Tracking Application (ITA)

ITA is a secure website with 3 options for data submission:

o Manually enter data into a webform

o Upload Comma Separated Value (CSV) file to process single of multiple establishments at the same time

o Users of automated recordkeeping systems can transmit data electronically via an Application Programming Interface (API)

Injury Tracking Application (ITA):Help Request Form

• The application has a Help Request Form link at the bottom of each page

• If you have questions concerning any technical or policy aspects of the data collection, please use the Help Request Form to ask your question.

• That way, OSHA can coordinate our responses and quickly learn of any problems the regulated community may be experiencing with the system.

Injury Tracking Application (ITA): Test Site

There is a sandbox test site where you can create a dummy account and enter dummy data at https://preview.osha.gov/injuryreporting/ita

Submission on the test site does not equal real submission.

Injury Tracking Application (ITA): Create Account

Injury Tracking Application (ITA): Get Started

Injury Tracking Application (ITA): Create Establishment

Injury Tracking Application (ITA): Add 300A Summary

Injury Tracking Application (ITA): Submit Data to OSHA

Injury Tracking Application (ITA): Multiple Establishments

Injury Tracking Application (ITA): Uploading Batch Files

Injury Tracking Application (ITA): Comma Separated Values (CSV)

Injury Tracking Application (ITA): Comma Separated Values (CSV)

Injury Tracking Application (ITA): Application Programming Interface (API)

Injury Tracking Application

(ITA): Application

Programming Interface (API)

• If your submit request is successful, you will receive a

confirmation email listing the establishments that have

been successfully submitted, meaning that OSHA

considers the information to be complete.

• If your submit request is not successful, you will

receive a list of errors in the API response.

❖If you have any questions or problems, please use the

contact form located at

https://www.osha.gov/injuryreporting/ita/help-request-

form.

How: OSHA will provide a secure website that

offers three options for data submission, cont.

Outreach Materials

• Materials available from the ITA landing page at https://www.osha.gov/injuryreporting/index.html include:

– Link to Injury Tracking Application

– Synopsis of the requirements

– FAQs

– Job Aids (instructions for creating accounts, creating passwords, editing data, etc.)

– Instructions for submitting data by csv file or API

http://www.osha.gov/Publications/OSHA3862.pdf

Yes, just as a third party is allowed to maintain the injury

and illness records for an employer, a third party is

allowed to submit the data for that employer. However, as

with recordkeeping, responsibility for the completeness

and accuracy of the data lies with the employer, not the

third party.

May a third party submit data for an

establishment or firm?

An establishment is a single physical location where business is

conducted or where services or industrial operations are performed.

For activities where employees do not work at a single physical

location, such as construction; transportation; communications,

electric, gas and sanitary services; and similar operations, the

establishment is represented by main or branch offices, terminals,

stations, etc. that either supervise such activities or are the base

from which personnel carry out these activities.

Review: What is an Establishment?

Q: Are the electronic reporting requirements

based on the size of the establishment or the

size of the firm?

The electronic reporting requirements are based on the size of

the establishment, not the firm. The OSHA injury and illness

records are maintained at the establishment level. An

establishment is defined as a single physical location where

business is conducted or where services or industrial

operations are performed. A firm may be comprised of one or

more establishments. To determine if you need to provide

OSHA with the required data for an establishment, you need to

determine the establishment's peak employment during the last

calendar year. Each individual employed in the establishment

at any time during the calendar year counts as one employee,

including full-time, part-time, seasonal, and temporary

workers.

The recording and reporting requirements of Part 1904 are establishment

based. Under most circumstances, a campus is a single physical location and

considered as a single establishment. Under limited conditions, you may

consider two or more separate facilities that share a single location to be

separate establishments. You may divide one location into two or more

establishments only when:

1) Each facility represents a distinctly separate business;

2) Each facility is engaged in a different economic activity;

3) No one industry description applies to the joint activities of the

establishments; and

4) Separate reports are routinely prepared for each establishment on the

number of employees, their wages and salaries, sales or receipts, and other

business information.

Q: My company operates multiple facilities on a campus setting.

Each facility has less than 250 employees, but the campus has

more than 250 employees. How should I count my employees to

determine if I have to electronically provide OSHA my injury and

illness records?

• The employer operates the locations as a single business

operation under common management;

• The locations are all located in close proximity to each other;

and

• The employer keeps one set of business records for the

locations, such as records on the number of employees, their

wages and salaries, sales or receipts, and other kinds of business

information.

• For example, one manufacturing establishment might include

the main plant, a warehouse a few blocks away, and an

administrative services building across the street.

Q: Can an establishment include more than one physical

location? Yes, but only under certain conditions. An

employer may combine two or more physical locations

into a single establishment only when:

Yes, a firm with more than one establishment may submit

establishment-specific data for multiple establishments. To do this,

the firm will create one registration and follow the directions

provided to submit data for multiple establishments. It is important

to note that the electronic reporting requirements are for data at the

establishment level, not the firm level. The submitted data must be

specific for each individual establishment.

Note: that establishments under state plan jurisdiction must

comply with state plan regulations. For more information about the

regulations in individual state plans, see here:

https://www.osha.gov/dcsp/osp/statestandards.html

Q: May a firm with multiple establishments make a single

submission of the data from the multiple establishments?

The electronic reporting requirements are based on the industry

classification of the establishment, not the industry classification

of the firm. An establishment is defined as a single physical

location where business is conducted or where services or

industrial operations are performed. A firm may be comprised of

one or more establishments.

Q: My firm has multiple establishments that do different

things. Which determines whether I have to submit data

for those establishments, the industry classification of the

firm or the industry classification of the establishment?

Review: Posting Requirement

• 1904.32(b)(5): How do I post the annual summary?

You must post a copy of the annual summary in each

establishment in a conspicuous place or places where

notices to employees are customarily posted. You

must ensure that the posted annual summary is not

altered, defaced or covered by other material.

• 1904.32(b)(6): When do I have to post the annual

summary? You must post the summary no later than

February 1 of the year following the year covered by

the records and keep the posting in place until April

30.

Other than the obligation identified in

§1904.32, do I have further recording duties

with respect to the OSHA 300 Logs and 301

Incident Reports during the five-year retention

period?

• 1904.33(b)(1)(ii) You must also make any

additions and corrections to the OSHA Log that

are necessary to accurately reflect any changes

that have occurred with respect to previously

recorded injuries and illnesses. Thus, if the

classification, description, or outcome of a

previously recorded case changes, you must

remove or line out the original entry and enter the

new information; and

Other than the obligation identified in

§1904.32, do I have further recording duties

with respect to the OSHA 300 Logs and 301

Incident Reports during the five-year retention

period?

1904.33(b)(1)(iii) You must have an Incident Report for

each and every recordable injury and illness; however,

you are not required to make additions or corrections to

Incident Reports during the five-year retention period.

Ten (10) or fewer employees at

all times

• If your company had ten (10) or fewer employees at

all times during the last calendar year, you do not

need to keep OSHA injury and illness records unless

OSHA or the BLS informs you in writing that you

must keep records under § 1904.41 or § 1904.42.

However, as required by § 1904.39, all employers

covered by the OSH Act must report to OSHA any

workplace incident that results in a fatality or the

hospitalization of three or more employees.

1904.1(a)(1)

Is the partial exemption for size based on

the size of my entire company or on the

size of an individual business

establishment?

• The partial exemption for size is based on the

number of employees in the entire company.

1904.1(b)(1)