N.Y. Comp. Codes R. & Regs. tit. 12 § 801.41

Current through Register Vol. 46, No. 45, November 2, 2024

Section 801.41 - Electronic submission of Employer Identification Number (EIN) and injury and illness records

(a) Basic requirements.

(1) Annual electronic submission of information from the Department of Labor Summary of Work-Related Injuries and Illnesses Form SH-900.1.

(i) If an employer had 20-249 employees at any time during the previous calendar year, and the establishment is classified in an industry listed in subdivision (d) of this section, then the employer must electronically submit information from Summary of Work-Related Injuries and Illnesses Form SH-900.1 to the Department of Labor. This information must be submitted once a year in a manner prescribed by the Commissioner of Labor, no later than the date listed in subdivision (c) of this section of the year after the calendar year covered by the form.

(ii) If an employer had 250 or more employees at any time during the previous calendar year, and this part requires the establishment to keep records, then an employer must electronically submit information from the Summary of Work-Related Injuries and Illnesses Form SH-900.1 to the Department of Labor. This information must be submitted once a year in a manner prescribed by the Commissioner of Labor, no later than the date listed in subdivision (c) of this section of the year after the calendar year covered by the form.

(2) Annual electronic submission of information from the Department of Labor Log of Work-Related Injuries and Illnesses Form SH-900 and Injury and Illness Incident Report Form SH-900.2 by establishments with 100 or more employees in designated industries. If an employer had 100 or more employees at any time during the previous calendar year, and the establishment is classified in an industry listed in subdivision (e) of this section, then the employer must electronically submit information from the Log of Work-Related Injuries and Illnesses Form SH-900 and Injury and Illness Incident Report Form SH-900.2 to the Department of Labor. This information must be submitted once a year in a manner prescribed by the Commissioner, no later than the date listed in subdivision (c) of this section of the year after the calendar year covered by the forms.

(3) Electronic submission of the records located in Part 801 of this Title upon notification. Upon notification, an employer must electronically submit the requested information from their Part 801 records to the Department of Labor.

(4) Electronic submission of the Employer Identification Number (EIN). For each establishment that is subject to these reporting requirements, the employer must provide the EIN used by the establishment.

(b) Implementation.

(1) There are three categories of employers that must routinely submit information from the forms required from this section. The first category is employers with an establishment that had 20-249 employees at any time during the previous calendar year and are classified in an industry listed in subdivision (d) of this section; establishments in this category must submit the required information from the Summary of Work-Related Injuries and Illnesses Form SH-900.1 to the Department of Labor once a year. The second category are employers with an establishment that had 250 or more employees at any time during the previous calendar year and are required by this part to keep records; establishments in this category must submit the required information from the Summary of Work-Related Injuries and Illnesses Form SH-900.1 to the Department of Labor once a year. The third category is employers with an establishment that had 100 or more employees at any time during the previous calendar year and are classified in an industry listed in subdivision (e) to this section; establishments in this category must also submit the required information from the Log of Work-Related Injuries and Illnesses Form SH-900 and Injury and Illness Incident Report Form SH-900.2 to the Department of Labor once a year, in addition to the required information from the Summary of Work-Related Injuries and Illnesses Form SH-900.1. Employers in these three categories must submit the required information by the date listed in subdivision (c) of this section of the year after the calendar year covered by the form (for example, 2024 for the 2023 form(s)). If an employer is not covered by any of these three categories, then the employer must submit the information to the Department of Labor only if the Department of Labor notifies them to do so for an individual data collection.

(2) 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.

(3) OSHA will notify employers by mail if they will be required to submit information as part of an individual data collection under paragraph (3) of subdivision (a) of this section. OSHA will also announce individual data collections through publication in the Federal Register, the OSHA newsletter, and announcements on the OSHA website. Neither OSHA nor the Department of Labor will notify employers who must routinely submit the information in accordance with paragraphs (1) and (2) of subdivision (a) of this section that their submission is due.

(4) Employers that are required to submit information under paragraphs (1) or (2) of subdivision (a) of this section, must submit the information once a year, by the date listed in subdivision (c) of this section of the year after the calendar year covered by the form (for example, 2019 for the 2018 form). Employers that are submitting information because OSHA notified the employer of an individual data collection under paragraph (3) of subdivision (a) of this section, must submit the information as specified in the notification.

(5) Employers must submit the information electronically. An employer must submit the information electronically and in the manner prescribed by the commissioner.

(6) Employers who have ownership of or control over one or more establishments required to submit information under subdivision (a) of this section may collect and electronically submit the information for the establishment(s).

(7) Employers who are required to submit information pursuant to paragraph (2) of subdivision (a) of this section are required to submit all of the information from the forms except the following:

(i)Log of Work-Related Injuries and Illnesses Form SH-900: Employee name (column B).

(ii)Injury and Illness Incident Report Form SH-900.2: Employee name (field 1), employee address (field 2), name of physician or other health care professional (field 6), facility name and address if treatment was given away from the worksite (field 7).

(8) Employers who use numbers or codes other than an EIN to identify their establishments may use such numbers or codes as the establishment name in the submission. However, the submission must include a legal name, either as part of the establishment name or separately as the employer name, and the EIN of the establishment.

(c) Reporting dates. Employers that are required to submit under paragraphs (1) or (2) of subdivision (a) of this section must submit all of the required information by March 2 of the year after the calendar year covered by the form(s) (for example, by March 2, 2024, for the forms covering 2023).

(d) Designated Industries for electronic submission of the New York State Department of Labor Summary of Work-Related Injuries and Illnesses Form SH-900.1.

NAICS	Industry
11	Agriculture, Forestry, Fishing and Hunting.
22	Utilities.
23	Construction.
31-33	Manufacturing.
42	Wholesale Trade.
4413	Automotive Parts, Accessories, and Tire Stores.
4421	Furniture Stores.
4422	Home Furnishings Stores.
4441	Building Material and Supplies Dealers.
4442	Lawn and Garden Equipment and Supplies Stores.
4451	Grocery Stores.
4452	Specialty Food Stores.
4522	Department Stores.
4523	General Merchandise Stores, including Warehouse Clubs and Supercenters.
4533	Used Merchandise Stores.
4542	Vending Machine Operators.
4543	Direct Selling Establishments.
4811	Scheduled Air Transportation.
4841	General Freight Trucking.
4842	Specialized Freight Trucking.
4851	Urban Transit Systems.
4852	Interurban and Rural Bus Transportation.
4853	Taxi and Limousine Service.
4854	School and Employee Bus Transportation.
4855	Charter Bus Industry.
4859	Other Transit and Ground Passenger Transportation.
4871	Scenic and Sightseeing Transportation, Land.
4881	Support Activities for Air Transportation.
4882	Support Activities for Rail Transportation.
4883	Support Activities for Water Transportation.
4884	Support Activities for Road Transportation.
4889	Other Support Activities for Transportation.
4911	Postal Service.
4921	Couriers and Express Delivery Services.
4922	Local Messengers and Local Delivery.
4931	Warehousing and Storage.
5152	Cable and Other Subscription Programming.
5311	Lessors of Real Estate.
5321	Automotive Equipment Rental and Leasing.
5322	Consumer Goods Rental.
5323	General Rental Centers.
5617	Services to Buildings and Dwellings.
5621	Waste Collection.
5622	Waste Treatment and Disposal.
5629	Remediation and Other Waste Management Services.
6219	Other Ambulatory Health Care Services.
6221	General Medical and Surgical Hospitals.
6222	Psychiatric and Substance Abuse Hospitals.
6223	Specialty (except Psychiatric and Substance Abuse) Hospitals.
6231	Nursing Care Facilities (Skilled Nursing Facilities).
6232	Residential Intellectual and Developmental Disability, Mental Health, and Substance Abuse Facilities.
6233	Continuing Care Retirement Communities and Assisted Living Facilities for the Elderly
6239	Other Residential Care Facilities.
6242	Community Food and Housing, and Emergency and Other Relief Services.
6243	Vocational Rehabilitation Services.
7111	Performing Arts Companies.
7112	Spectator Sports.
7121	Museums, Historical Sites, and Similar Institutions.
7131	Amusement Parks and Arcades.
7132	Gambling Industries.
7211	Traveler Accommodation.
7212	RV (Recreational Vehicle) Parks and Recreational Camps.
7223	Special Food Services.
8113	Commercial and Industrial Machinery and Equipment (except Automotive and Electronic) Repair and Maintenance.
8123	Drycleaning and Laundry Services.

(e) Designated Industries for electronic submission of the Log of Work-Related Injuries and Illnesses Form SH-900 and the Injury and Illness Incident Report Form SH-900.2.

NAICS	Industry
1111	Oilseed and Grain Farming.
1112	Vegetable and Melon Farming.
1113	Fruit and Tree Nut Farming.
1114	Greenhouse, Nursery, and Floriculture Production.
1119	Other Crop Farming.
1121	Cattle Ranching and Farming.
1122	Hog and Pig Farming.
1123	Poultry and Egg Production.
1129	Other Animal Production.
1133	Logging.
1141	Fishing.
1142	Hunting and Trapping.
1151	Support Activities for Crop Production.
1152	Support Activities for Animal Production.
1153	Support Activities for Forestry.
2213	Water, Sewage and Other Systems.
2381	Foundation, Structure, and Building Exterior Contractors.
3111	Animal Food Manufacturing.
3113	Sugar and Confectionery Product Manufacturing.
3114	Fruit and Vegetable Preserving and Specialty Food Manufacturing.
3115	Dairy Product Manufacturing.
3116	Animal Slaughtering and Processing.
3117	Seafood Product Preparation and Packaging.
3118	Bakeries and Tortilla Manufacturing.
3119	Other Food Manufacturing.
3121	Beverage Manufacturing.
3161	Leather and Hide Tanning and Finishing.
3162	Footwear Manufacturing.
3211	Sawmills and Wood Preservation.
3212	Veneer, Plywood, and Engineered Wood Product Manufacturing.
3219	Other Wood Product Manufacturing.
3261	Plastics Product Manufacturing.
3262	Rubber Product Manufacturing.
3271	Clay Product and Refractory Manufacturing.
3272	Glass and Glass Product Manufacturing.
3273	Cement and Concrete Product Manufacturing.
3279	Other Nonmetallic Mineral Product Manufacturing.
3312	Steel Product Manufacturing from Purchased Steel.
3314	Nonferrous Metal (except Aluminum) Production and Processing.
3315	Foundries.
3321	Forging and Stamping.
3323	Architectural and Structural Metals Manufacturing.
3324	Boiler, Tank, and Shipping Container Manufacturing.
3325	Hardware Manufacturing.
3326	Spring and Wire Product Manufacturing.
3327	Machine Shops; Turned Product; and Screw, Nut, and Bolt Manufacturing.
3328	Coating, Engraving, Heat Treating, and Allied Activities.
3331	Agriculture, Construction, and Mining Machinery Manufacturing.
3335	Metalworking Machinery Manufacturing.
3361	Motor Vehicle Manufacturing.
3362	Motor Vehicle Body and Trailer Manufacturing.
3363	Motor Vehicle Parts Manufacturing.
3366	Ship and Boat Building.
3371	Household and Institutional Furniture and Kitchen Cabinet Manufacturing.
3372	Office Furniture (including Fixtures) Manufacturing.
3379	Other Furniture Related Product Manufacturing.
4231	Motor Vehicle and Motor Vehicle Parts and Supplies Merchant Wholesalers
4233	Lumber and Other Construction Materials Merchant Wholesalers.
4235	Metal and Mineral (except Petroleum) Merchant Wholesalers.
4239	Miscellaneous Durable Goods Merchant Wholesalers.
4244	Grocery and Related Product Merchant Wholesalers.
4248	Beer, Wine, and Distilled Alcoholic Beverage Merchant Wholesalers.
4413	Automotive Parts, Accessories, and Tire Stores.
4422	Home Furnishings Stores.
4441	Building Material and Supplies Dealers.
4442	Lawn and Garden Equipment and Supplies Stores.
4451	Grocery Stores.
4522	Department Stores.
4523	General Merchandise Stores, including Warehouse Clubs and Supercenters.
4533	Used Merchandise Stores.
4543	Direct Selling Establishments.
4811	Scheduled Air Transportation.
4841	General Freight Trucking.
4842	Specialized Freight Trucking.
4851	Urban Transit Systems.
4852	Interurban and Rural Bus Transportation.
4853	Taxi and Limousine Service.
4854	School and Employee Bus Transportation.
4859	Other Transit and Ground Passenger Transportation.
4871	Scenic and Sightseeing Transportation, Land.
4881	Support Activities for Air Transportation.
4883	Support Activities for Water Transportation.
4889	Other Support Activities for Transportation.
4911	Postal Service.
4921	Couriers and Express Delivery Services.
4931	Warehousing and Storage.
5322	Consumer Goods Rental.
5621	Waste Collection.
5622	Waste Treatment and Disposal.
6219	Other Ambulatory Health Care Services.
6221	General Medical and Surgical Hospitals.
6222	Psychiatric and Substance Abuse Hospitals.
6223	Specialty (except Psychiatric and Substance Abuse) Hospitals.
6231	Nursing Care Facilities (Skilled Nursing Facilities).
6232	Residential Intellectual and Developmental Disability, Mental Health, and Substance Abuse Facilities.
6233	Continuing Care Retirement Communities and Assisted Living Facilities for the Elderly.
6239	Other Residential Care Facilities.
6243	Vocational Rehabilitation Services.
7111	Performing Arts Companies.
7112	Spectator Sports.
7131	Amusement Parks and Arcades.
7211	Traveler Accommodation.
7212	RV (Recreational Vehicle) Parks and Recreational Camps
7223	Special Food Services.

N.Y. Comp. Codes R. & Regs. Tit. 12 § 801.41

Adopted New York State Register July 31, 2024/Volume XLVI, Issue 31, eff. 7/31/2024