ss 1218-0209 2006(11_24_06)

Note To Reviewer

OSHA complied with all Terms of Clearance contained in the March 19, 2004 OMB approval of
1218-0209. The percent of surveys filed electronically has increased each year. OSHA will
investigate the use of e-mail responses similar to the method being used by the BLS. OSHA
conducted the recordkeeping audits throughout the approval period. The latest analysis is
attached to this paperwork package. The ODI did not change during the 3 year approval period
therefore no revised ICR was submitted.

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SUPPORTING STATEMENT FOR
PAPERWORK REDUCTION ACT OF 1995 SUBMISSION ON
OSHA DATA COLLECTION SYSTEM
A. Justification
1.

Explain the circumstances that make the collection of information necessary. Identify
any legal or administrative requirements that necessitate the collection. Attach a copy of
the appropriate section of each statute and regulation mandating or authorizing the
collection of information.

The Occupational Safety and Health Administration (OSHA) has a broad mandate to
reduce injuries and illnesses in America’s workplaces. OSHA has responded to this mandate by
developing several programs, including promulgation and enforcement of standards,
training/educational programs and cooperative programs. One purpose of the OSHA data
initiative is to give OSHA the capability of focusing on those establishments with serious safety
and health problems. Historically, OSHA targeted its compliance efforts towards entire
industries. Industry data are extremely useful to OSHA for identifying categories of problems
(e.g., specific industries and occupations at risk, etc.). However, targeting interventions towards
entire industries is not the most efficient use of the Agency’s resources. Aggregation of data by
industry masks the experience of individual employers. In almost every industry a small
percentage of the establishments experience disproportionately large numbers and/or high rates
of injuries and illness. Data from relatively safe workplaces in high rate industries are lumped in
with data from unsafe workplaces; and unsafe workplaces in relatively low rate industries avoid
OSHA scrutiny altogether. Furthermore, studies have shown that the injury and illness
experience for these establishments generally persists over time (particularly the larger ones).
Establishments with high injury and illness rates tend to continue to have high rates.
The annual collection of employer specific injury and illness data improves OSHA’s
ability to identify and target agency interventions to those employers who have serious
workplace problems. American business is composed of more than 7,000,000 workplaces.
Federal OSHA and its State partners perform approximately 110,000 on-site visits per year.
Since Federal OSHA and its State partners can only visit a small portion of America's
workplaces, government resources could be used more effectively if OSHA uses employer
specific data. Through the continued implementation of its annual Data Initiative, OSHA is able
to leverage its resources. The result is a reduction in OSHA interventions in workplaces that are
relatively safe and healthy, and the more effective use of OSHA’s limited resources in more
hazardous workplaces, the goal being improved workplace safety and health for America’s
workers.
Another purpose of the OSHA Data Initiative is to allow OSHA to comply with the
Government Performance and Results Act (GPRA). Historically, the Agency has relied on
activity measures such as number of inspections to evaluate itself and the State plan programs
and has had no mechanism for evaluating the Agency's impact on reducing workplace injuries
and illnesses in individual workplaces. Annual collection of employer specific injury and illness
data allows the agency to monitor the results of its activities, evaluate its various programs based

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on program results, identify the most efficient and effective program mix, and promote the
development of programs and policies based on outcome data.
Sections 8 and 24 of the Occupational Safety and Health Act, 29 U.S.C. 657, 673
(attachment 1) and reporting regulations at 29 CFR § 1904.41 (attachment 2) authorize OSHA to
collect the requested information by mail. Establishments that fail to submit a completed survey
form may be subject to OSHA enforcement actions, including the issuance of a citation and
assessment of penalties.
2.

Indicate how, by whom, and for what purpose the information is to be used. Except for a
new collection, indicate the actual use the agency has made of the information received
from the current collection.

The agency will collect occupational injury and illness data from selected employers.
These employers will also be required to provide the average employment, hours worked, and
the name and phone number of the person submitting the data. The data collection will include
mail and telephone follow-up to ask clarifying questions concerning data submitted, and to
attempt to obtain responses from non-responders.
The purpose of the data collection is to compile occupational injury and illness data from
employers within specific industries and size categories. OSHA then will be able to calculate
occupational injury and illness rates by employer and specific industry. The agency will require
this information from up to 100,000 employers required to create and maintain records pursuant
to 29 CFR Part 1904.
In each of the previous OSHA Data Initiative (ODI) information collections, beginning
with the collection of CY 1995 data, the Agency collected data from approximately 80,000
establishments each year. OSHA used the 1996 data from the 1997 collection as a baseline for
both its Cooperative Compliance Program initiative and its Interim Plan for Inspection
Targeting. The 1997 through 2004 injury and illness data have been used for OSHA’s Site
Specific Targeting (SST) plans. Each year the SST plan is updated with the most current data.
The SST-06 plan is currently using CY 2004 establishment specific data.
Since 1998, OSHA has used the information from each data collection to identify
approximately 14,000 establishments in Federal jurisdiction with high lost workday injury and
illness case rates. OSHA sends letters to these establishments indicating its concern about the
high injury and illness rate at the establishment and informing the employer of available services,
such as the OSHA on-site consultation program, that can be used to identify hazards and address
occupational safety and health issues.
OSHA is also using the information collected for measurement purposes to comply with
the Government Performance and Results Act (GPRA). It must be noted that limiting this data
collection to establishments with 40 or more employees also limits OSHA’s ability to fully
utilize this data collection to meet the Agency’s requirements under the GPRA. A significant
portion of OSHA inspections as well as consultation visits are performed at establishments with
less than 40 employees. OSHA cannot conduct follow-up data collection to measure the impact

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of these interventions without authorization to collect from this group of smaller employers.
OSHA is seeking approval to collect data from these employers only for performance
measurement purposes. Data collected from this group would not be used for OSHA’s
enforcement activities.
Some states operating state plans pursuant to Section 18 of the OSH Act also use the
information collected for the same purposes as does Federal OSHA.
3.

Describe whether, and to what extent, the collection of information involves the use of
automated, electronic, mechanical, or other technological collection techniques or other
forms of information technology, e.g., permitting electronic submission of responses, and
the basis for the decision for adopting this means of collection. Also, describe any
consideration of using information technology to reduce burden.

OSHA, along with its contractors, mails the data collection form to selected employers.
Employers can return the completed forms by mail or fax. Alternatively, employers can provide
the survey information to OSHA using a secure, interactive web site. Electronic reporting will
reduce the burden on respondents, further streamline the data collection process, and minimize
mailing and handling costs. The collection of 1997 data in the 1998 data collection was the first
time this electronic filing option was available. Approximately 790 employers used the option
(1% of the sample) that initial year. Each subsequent year, the number and percentage of
respondents that use the electronic submission option has increased. For the collection of CY
2004 data, 17.5% of respondents filed their data over the internet. OSHA expects increased
familiarity with the electronic filing option will result in a slightly higher percentage of surveys
submitted to OSHA by use of the electronic filing option.
4.

Describe efforts to identify duplication. Show specifically why any similar information
already available cannot be used or modified for use for the purposes described in Item 2
above.

The information to be obtained from this data collection is not available to OSHA from
any other source. The OSHA Form No. 300 does not duplicate any existing federal documents.
As explained below, the Bureau of Labor Statistics (BLS) currently collects these data from the
establishments that are included in their Annual Survey of Occupational Injuries and Illnesses
along with more detailed case information. The BLS estimates about 4 percent of the
establishments (about 4,000) sampled for the OSHA survey will also be identified for collection
by BLS. OSHA and BLS have developed a methodology, described below, to reduce the burden
on employers included in both the BLS Annual Survey and the OSHA Data Initiative.
BLS collects the Annual Survey of Occupational Injuries and Illnesses from a 3 percent
sample of all private industry establishments. From the sample establishments, BLS collects the
summary information from the OSHA No. 300 and information on the demographics of the
injured/ill workers and the circumstances of their injuries and illnesses for the injuries and
illnesses which require recuperation away from work. This information is used to produce
aggregate statistics at the state and national levels. OSHA needs data for individual work sites,
which BLS does not provide. Because OSHA is collecting data from all the establishments

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within selected industry and size categories, some of the same employers will be selected by both
OSHA and the BLS to be included in their respective surveys. As mentioned above, the BLS
estimates 4% establishments included in the OSHA collection will also be sampled by the BLS
for its Survey of Occupational Injuries and Illnesses.
The following methodology, developed by OSHA and the BLS, eliminates double
burden. BLS conducts a computer match to identify:
a.

Employers who are on the BLS list but are not on the OSHA list.

b.

Employers who are on both the BLS and OSHA lists (overlap group).

c.

Employers who are on the OSHA list but not on the BLS list (non-overlap group).

Most employers in the overlap group will receive a questionnaire designed to gather the
data that OSHA needs along with the BLS survey form. The questionnaire will consist of a
carbon pack form that can be separated with one copy to be returned to OSHA in a self addressed
stamped envelope or by fax, and another copy to be included with the BLS survey package.
(Employers always have the option of electronic filing with OSHA, and then can send the BLS a
printed copy of their electronic submission.) This technique will eliminate the need for
employers who are selected for both programs to respond to two separate collections.
Some of the employers in the overlap group will not be identified during the matching
process and will receive both the OSHA collection instrument and the BLS collection
instrument. Because these computer files can contain slightly different information, such as
names that are not exact matches, not all establishments contained on both universe lists will be
identified during the matching process. In this situation employers can follow the instructions,
included on both the OSHA and the BLS forms, that if the employer has already responded to the
other agency’s collection request, the employer can, at their option, include a copy of their earlier
response in lieu of completing the corresponding questions on the later questionnaire. Then the
BLS will update the matching records to avoid this duplication in the future.
The BLS used improved information technology, such as cognitive research, in efforts to
reduce employer burden in developing its forms. To take advantage of this reduction in burden,
OSHA used the BLS Annual Survey of Occupational Injuries and Illnesses, Part 1: Summary of
Occupational Injuries and Illnesses form as a model for OSHA’s own forms.
5.

If the collection of information impacts small businesses or other small entities (Item 5 of
OMB Form 83-I), describe any methods used to minimize burden.

Employers with fewer than 11 employees are exempt from the recordkeeping
requirements of 29 CFR Part 1904 unless they are pre-notified in writing that they must
participate in either the BLS Annual Survey or the OSHA data collection. To date, the OSHA
collections have not included any employer exempt because of its size. All establishments
included in the data collection for a given year will have already been required to maintain the
OSHA Log for the year being collected. Once selected for participation in OSHA’s data

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collection, all employers have the same obligation to respond to the collection request.
6.

Describe the consequence to Federal program or policy activities if the collection is not
conducted or is conducted less frequently, as well as any technical or legal obstacles to
reducing burden.

OSHA plans to collect log data from approximately 100,000 establishments. These data
are critical to OSHA's outreach and enforcement targeting efforts and are essential for OSHA to
be able to comply with GPRA requirements.
Collections less frequently than annually would, by definition, reduce the quantity of data
that OSHA would have to use for the purposes described above. Additionally, the breadth of the
data would also be reduced. OSHA changes the universe of employers that it collects from every
year. So, if data were collected less frequently than annually, OSHA would have data from
fewer employers, not simply less data from the same employers. This would severely reduce
OSHA’s ability to identify those establishments with the highest rates of occupations injuries and
illnesses. [It should be noted that the burden on individual employers already is reduced because
OSHA changes the universe for the collection every year. Thus, any given employer is not that
likely to be included in the data collection in consecutive years].
Collections less frequently than annually would also result in practical administrative
difficulties. The infrastructure (including staffing) of the collection system would be difficult to
maintain if the data are not collected annually. This is especially true for the state collecting
agencies which have staff that are trained and spend full time working on various aspects of this
data collection. Collection less frequently would result in the need to reassign people or
terminate the employment of key personnel. The cumulative institutional knowledge that the
state personnel develop from collecting the data each year would be lost, affecting the quality
and timeliness of the data. Also, there would be costs for biannual startup and shutdown and
personnel training that would offset much of the expected cost savings.
7.

Explain any special circumstances that would cause an information collection to be
conducted in a manner:
•

requiring respondents to report information to the agency more often than
quarterly;

•

requiring respondents to prepare a written response to a collection of information
in fewer than 30 days after receipt of it;

•

requiring respondents to submit more than an original and two copies of any
document;

•

requiring respondents to retain records, other than health, medical, government
contract, grant-in-aid, or tax records for more than three years;

•

in connection with a statistical survey, that is not designed to produce valid and

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reliable results that can be generalized to the universe of study;
•

requiring the use of a statistical data classification that has not been reviewed
and approved by OMB;

•

that includes a pledge of confidentiality that is not supported by authority
established in statute or regulation, that is not supported by disclosure and data
security policies that are consistent with the pledge, or which unnecessarily
impedes sharing of data with other agencies for compatible confidential use; or

•

requiring respondents to submit proprietary trade secret, or other confidential
information unless the agency can demonstrate that it has instituted procedures to
protect the information's confidentiality to the extent permitted by law.

In some circumstances the information recorded in compliance with Part 1904 may
contain confidential information. For example, the employment and hours worked data required
as part of the data collection potentially could be considered confidential commercial
information. OSHA considers such information to be potentially confidential, and, as
appropriate, follows the procedures set forth in 29 CFR 70.26, which require OSHA to contact
the employer which submitted the information prior to any potential release under the Freedom
of Information Act, 5 U.S.C. § 552(b)(4). Additionally, Section 15 of the OSH Act protects the
confidentiality of trade secrets. 29 U.S.C. § 664. See also 18 U.S.C. § 1905.
8.

If applicable, provide a copy and identify the data and page number of publication in the
Federal Register of the agency's notice, required by 5 CFR 1320.8(d), soliciting
comments on the information collection prior to submission to OMB. Summarize public
comments received in response to that notice and describe actions taken by the agency in
response to these comments. Specifically address comments received on cost and hour
burden.
Describe efforts to consult with persons outside the agency to obtain their views on the
availability of data, frequency of collection, the clarity of instructions and recordkeeping,
disclosure, or reporting format (if any), and on the data elements to be recorded,
disclosed, or reported.
Consultation with representatives of those from whom information is to be obtained or
those who must compile records should occur at least once every 3 years -- even if the
collection of information activity is the same as in prior periods. There may be
circumstances that may preclude consultation in a specific situation. These
circumstances should be explained.

OSHA published a request for comment in the May 22, 2006 Federal Register
(Attachment 5). No comments were submitted.
9.

Explain any decision to provide any payment or gift to respondents, other than
reenumeration of contractors or grantees.

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Respondents will not receive any payments or gifts.
10.

Describe any assurance of confidentiality provided to respondents and the basis for the
assurance in statute, regulation, or agency policy.

Information about the occurrence of occupational illness and injury at a particular
worksite might be subject to disclosure under the Freedom of Information Act (FOIA).
Therefore, information collected by OSHA’s Data Collection Initiative may be subject to
disclosure in whole or in part at the establishment level or in aggregate form.
11.

Provide additional justification for any questions of a sensitive nature, such as sexual
behavior and attitudes, religious beliefs, and other matters that are commonly considered
private. This justification should include the reasons why the agency considers the
questions necessary, the specific uses to be made of the information, the explanation to be
given to persons form whom the information is requested, and any steps to be taken to
obtain their consent.
This data collection includes no questions of a sensitive nature.

12.

Provide estimates of the hour burden of the collection of information. The statement
should:
•

Indicate the number of respondents, frequency of response, annual hour burden, and
an explanation of how the burden was estimated. Unless directed to do so, agencies
should not conduct special surveys to obtain information on which to base hour
burden estimates. Consultation with a sample (fewer than 10) of potential
respondents is desirable. If the hour burden on respondents is expected to vary
widely because of differences in activity, size, or complexity, show the range of
estimated hour burden, and explain the reasons for the variance. Generally,
estimates should not include burden hours for customary and usual business
practices.

All employers selected have maintained, for the year, forms OSHA Form 300, Log of
Work-Related Injuries and Illnesses, OSHA Form 300A, Summary of Work-Related Injuries and
Illnesses, and OSHA Form 301, Injury and Illness Incident Report. (The OSHA Forms 300,
300A, and 301 are cleared under OMB No. 1218-0176). Completion of the injury and illness
summary portion of OSHA Form 196 simply requires copying data from the employer’s
completed OSHA Form 300A. OSHA estimates it will take an average of 10 minutes to review
the instructions and copy data from the OSHA Form 300A to the collection form.

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Cite/
Reference

Total
Respondents

Frequency

Total
Responses

OSHA Form
196

100,000

Annually

100,000

Average
Time per
Response
10 minutes

Burden

16,667 hours

Note: Due to rounding, there is a one hour difference between the Supporting Statement (16,667
hours) and the entry in the ROCIS (16,666 hours).
•

Provide estimates of annualized cost to respondents for the hour burdens for collections of
information, identifying and using appropriate wage rate categories. The cost of contracting
out or paying outside parties for information collection activities should not be included
here. Instead, this cost should be included in Item 14.

Respondent cost is estimated at $374,174 based on a wage and benefits of $22.45 an hour
(16,667 * $22.45=$374,174). To estimate the costs that would result from the transfer of data to
the OSHA data collection form 196, OSHA assumed that this work would be conducted by
someone with the skill level of a Human Resources Assistant (OES code 43-4161).
13.

Provide an estimate of the total annual cost burden to respondents or recordkeepers
resulting from the collection of information. (Do not include the cost of any hour burden
shown in Items 12 and 14).
•

•

•

The cost estimate should be split into two components: (a) a total capital and
start-up cost component (annualized over its expected useful life); and (b) a total
operation and maintenance and purchase of services component. The estimates
should take into account costs associated with generating, maintaining, and
disclosing or providing the information. Include descriptions of methods used to
estimate major cost factors including system and technology acquisition, expected
useful life of capital equipment, the discount rate(s), and the time period over
which costs will be incurred. Capital and start-up costs include, among other
items, preparations for collecting information such as purchasing computers and
software; monitoring, sampling, drilling and testing equipment; and record
storage facilities.
If cost estimates are expected to vary widely, agencies should present ranges of
cost burdens and explain the reasons for the variance. The cost of purchasing or
contracting out information collection services should be a part of this cost
burden estimate. In developing cost burden estimates, agencies may consult with
a sample of respondents (fewer than 10), utilize the 60-day pre-OMB submission
public comment process and use existing economic or regulatory impact analysis
associated with the rulemaking containing the information collection, as
appropriate.
Generally, estimates should not include purchases of equipment or services, or
portions thereof, made: (1) prior to October 1, 1995, (2) to achieve regulatory
compliance with requirements not associated with the information collection, (3)

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for reasons other than to provide information or keep records for the government
or (4) as part of customary and usual business or private practices.
The cost of:
(a) Total capital and start-up cost component (annualized over its expected useful life) is $0.
(b) Total operation and maintenance and purchase of services component is $0.
14.

Provide estimates of annualized cost to the Federal government. Also, provide a
description of the method used to estimate cost, which should include quantification of
hours, operational expenses (such as equipment, overhead, printing, and support staff),
and any other expense that would not have been incurred without this collection of
information. Agencies also may aggregate cost estimates from Items 12, 13, and 14 in a
single table.

The total cost to the Federal government for collecting the data will be approximately
$3.0 million.
Grants to States for Data Collection

$2.3 million

Contractor Support
(Establishment list; software development and support; collection
monitoring; quality analysis; data editing; data distribution)
Total

$0.7 million

15.

$3.0 million

Explain the reasons for any program changes or adjustments reporting in Items 13 or 14
of the OMB Form 83-I.

There is a net increase of 1,187 hours. This net increase is in part due to a request for
authority to collect data from an additional 3,325 establishments. OSHA is also assuming the
burden for the estimated number of establishments that overlap between the BLS Annual Survey
and the OSHA data collection. In prior ICRs, OSHA excluded this group from its burden
estimates. Because OSHA does not know the exact number in this group, it is assuming the
burden for the full 100,000 establishments surveyed.
16.

For collections of information whose results will be published, outline plans for
tabulation, and publication. Address any complex analytical techniques that will be used.
Provide the time schedule for the entire project, including beginning and ending dates of
the collection of information, completion of report, publication dates, and other actions.

The establishment specific data collected will not be published. The results of the data
collection will be used by the Department to focus OSHA's resources toward the worst safety
and health hazards, to measure the performance of the Agency in meeting its goal of reducing
workplace injuries and illnesses and to track and assess the Agency's effectiveness as required by
GPRA.
17.

If seeking approval to not display the expiration date for OMB approval of the

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information collection, explain the reasons that display would be inappropriate.
The agency is not seeking approval not to display the expiration data for OMB approval
of the information collection.
18.

Explain each exception to the certification statement identified in Item 19, "Certification
for Paperwork Reduction Act Submission," of OMB 83-I.

There are no exceptions to the certification statement identified in Item 19, "Certification
for Paperwork Reduction Act Submission," of OMB 83-I.
B. Collection Methods
This collection does not employ statistical methods.

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Attachment 1
Occupational Safety and Health Act of 1970

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Attachment 2
Title 29 CFR Part 1904

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Attachment 3
OSHA Form 196

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Attachment 4
Federal Register Request for Comments

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Attachment 5
Analysis of Recordkeeping Audits

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