OSHA Electronic Submission of Records October 26, :00 to 11:00

Transcription

1 OSHA Electronic Submission of Records October 26, :00 to 11:00 Dale Glacken, Compliance Assistance Specialist Harrisburg Area Office

2 CAS Material Developed & Distributed 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

3 Leadership Secretary of Labor R. Alexander Acosta United States Secretary of Labor

4

5 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, 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.

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

7 Electronic Reporting (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

8 Electronic Reporting (a)(2) Establishments with 20 to 249 employees in certain industries: Appendix A to Subpart E of Part 1904-Designated Industries for (a)(2) Annual Electronic Submission of OSHA Form Must provide, on an annual basis, data from the Summary Form 300A starting December 1, This replaces the OSHA Data Initiative (ODI) Then July 1, 2018, then March 2

9 Timeline Final Rule Federal Register Notice May 12, 2016 Correction to b2 - 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 employees In select industries Submission deadline and beyond CY A Form CY A Form Dec 1, 2017 CY A, 300, 301 Forms CY A Form July 1, A, 300, 301 Forms 300A Form March 2

10 Electronic Reporting (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.

11 Your NAICS Codes NAICS Codes Nursing Care Facilities Community care facilities for the elderly Assisted Living Facilities for the Elderly All covered by the rule. 11

12 NAICS Codes 6231 Nursing Care Facilities 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

13 NAICS Codes Continuing Care Retirement Communities This 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

14 NAICS Codes 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

15 Electronic Reporting (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.

16 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.

17 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.

18 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

19 Injury Tracking Application (ITA) The ITA was successfully launched August 1, 2017 Employers can access the application from the ITA landing page at

20 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)

21 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.

22 Injury Tracking Application (ITA): Test Site There is a sandbox test site where you can create a dummy account and enter dummy data at Submission on the test site does not equal real submission.

23 Injury Tracking Application (ITA): Create Account

24 Injury Tracking Application (ITA): Get Started

25 Injury Tracking Application (ITA): Create Establishment

26 Injury Tracking Application (ITA): Add 300A Summary

27 Injury Tracking Application (ITA): Submit Data to OSHA

28 Injury Tracking Application (ITA): Multiple Establishments

29 Injury Tracking Application (ITA): Uploading Batch Files

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

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

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

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

34 How: OSHA will provide a secure website that offers three options for data submission, cont. If your submit request is successful, you will receive a confirmation 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

35 Outreach Materials Materials available from the ITA landing page at 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

36

37 May a third party submit data for an establishment or firm? 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.

38 Review: What is an Establishment? 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.

39 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.

40 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 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.

41 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: 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.

42 Q: May a firm with multiple establishments make a single submission of the data from the multiple establishments? 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:

43 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? 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.

44 Review: Posting Requirement (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 (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.

45 Other than the obligation identified in , do I have further recording duties with respect to the OSHA 300 Logs and 301 Incident Reports during the five-year retention period? (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

46 Other than the obligation identified in , do I have further recording duties with respect to the OSHA 300 Logs and 301 Incident Reports during the five-year retention period? (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.

47 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 or However, as required by , 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 (a)(1)

48 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 (b)(1)