[Federal Register Volume 60, Number 49 (Tuesday, March 14, 1995)]
[Proposed Rules]
[Pages 13782-13831]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-5826]
[[Page 13781]]
_______________________________________________________________________
Part II
Department of Labor
_______________________________________________________________________
Occupational Safety and Health Administration
_______________________________________________________________________
29 CFR Part 1910, et al.
Powered Industrial Truck Operator Training; Proposed Rule
Federal Register / Vol. 60, No. 49 / Tuesday, March 14, 1995 /
Proposed Rules
[[Page 13782]]
DEPARTMENT OF LABOR
Occupational Safety and Health Administration
29 CFR Parts 1910, 1915, 1917, and 1918
[Docket No. S-008]
Powered Industrial Truck Operator Training
AGENCY: Occupational Safety and Health Administration, Labor.
ACTION: Proposed rule.
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SUMMARY: The Occupational Safety and Health Administration (OSHA) is
proposing to revise the general industry safety standard for training
powered industrial truck operators and to add equivalent training
requirements for the maritime industries. The existing standard in part
1910 requires that only trained operators who are authorized to do so
can operate powered industrial trucks and that methods of training be
devised. The proposed training requirements would mandate the
development of a training program that would base the amount, type,
degree, and sufficiency of training on the knowledge of the trainee and
the ability of the vehicle operator to acquire, retain, and use the
knowledge and the skills and abilities that are necessary to safely
operate the truck. A periodic evaluation of each operator's performance
would be required. Refresher or remedial training also would be
required, based primarily on unsafe operation, an accident or near
miss, or deficiencies found in a periodic evaluation of the operator.
DATES: Written comments and requests for a hearing on this proposed
rule must be postmarked by July 12, 1995.
ADDRESSES: Comments, information, and hearing requests should be sent
in quadruplicate to: Docket Office, Docket No. S-008; Room N2624; U.S.
Department of Labor, Occupational Safety and Health Administration; 200
Constitution Avenue NW; Washington, DC 20210 (202-219-7894).
FOR FURTHER INFORMATION CONTACT: Mr. Richard P. Liblong, Office of
Information and Consumer Affairs, U.S. Department of Labor,
Occupational Safety and Health Administration, Room N3641; 200
Constitution Avenue NW; Washington, DC 20210 (202-219-8148).
SUPPLEMENTARY INFORMATION:
I. Background
a. The General Industry Standard
On May 29, 1971 (36 FR 10466), OSHA adopted some of the existing
Federal standards and national consensus standards as OSHA standards
under the procedures described in section 6(a) of the Occupational
Safety and Health Act (OSH Act) (29 U.S.C. 655, et.al.). Section 6(a)
permitted OSHA to adopt, without rulemaking, within 2 years of the
effective date of the Act, any established Federal standard or national
consensus standard.
One of the consensus standards that was adopted under the 6(a)
procedure was the American National Standards Institute (ANSI) B56.1-
1969 Safety Standard for Powered Industrial Trucks. Among the
provisions adopted from that standard was the operator training
requirement codified at 29 CFR 1910.178(l), which states:
Only trained and authorized operators shall be permitted to
operate a powered industrial truck. Methods of training shall be
devised to train operators in the safe operation of powered
industrial trucks.
In that consensus standard, a powered industrial truck is defined
as a mobile, power-driven vehicle used to carry, push, pull, lift,
stack, or tier material. One truck may be known by several different
names. Included are vehicles that are commonly referred to as high lift
trucks, counterbalanced trucks, cantilever trucks, rider trucks,
forklift trucks; high lift trucks, high lift platform trucks; low lift
trucks, low lift platform trucks; motorized hand trucks, pallet trucks;
narrow aisle rider trucks, straddle trucks; reach rider trucks; single
side loader rider trucks; high lift order picker rider trucks;
motorized hand/rider trucks; or counterbalanced front/side loader lift
trucks. Excluded from the scope of the OSHA standard are vehicles used
for earth moving or over-the-road haulage.
b. The Maritime Safety Standards
In 1958, Congress amended the Longshoremen's and Harbor Workers'
Compensation Act (LHWCA) (44 Stat. 1424; 33 U.S.C. 901 et seq.) to
provide maritime employees with a safe work environment. The amendments
(Pub. L. 85-742, 72 Stat. 835) required employers covered by the LHWCA
to ``furnish, maintain and use'' equipment and to establish safe
working conditions in accordance with regulations promulgated by the
Secretary of Labor. Two years later, the Labor Standards Bureau (LSB)
issued the first set of safety and health regulations for longshoring
activities as 29 CFR part 9 (25 FR 1565, February 20, 1960). These
regulations only covered longshoring activities taking place aboard
vessels.
Passage of the OSH Act (84 Stat. 1590; 29 U.S.C. 650 et seq.)
authorized the Secretary of Labor to adopt established Federal
standards issued under other statutes, including the LHWCA, as
occupational safety and health standards under the OSH Act.
Accordingly, the Secretary adopted the existing shipyard employment and
longshoring regulations and recodified these rules as 29 CFR parts 1915
and 1918 (39 FR 22074, June 19, 1974). Since the OSH Act
comprehensively covered all private employment, the longshoring
standards also applied to shoreside cargo-handling operations. (See 29
CFR 1910.16.) The requirements for the use of mechanically powered
vehicles used aboard vessels were codified at Sec. 1918.73. These
provisions did not include a requirement for the training of vehicle
operators.
In addition, in accordance with established policy codified at 29
CFR 1910.5(c)(2), OSHA has applied its general industry regulations to
shoreside activities not covered by its older longshoring rules.
Citations also have been issued under section 5(a)(1) (the General Duty
Clause) of the OSH Act (84 Stat. 1593; 29 U.S.C. 654), since some
serious hazards are not addressed by the requirements of part 1910,
1915, or 1918.
On July 5, 1983 (48 FR 30886), OSHA published its final standard
for Marine Terminals. These rules were intended to address the
shoreside segment of marine cargo handling. Section 1917.27 Personnel
required that:
(a) Qualifications of machinery operators.
(1) Only those employees determined by the employer to be
competent by reason of training or experience, and who understand
the signs, notices and operating instructions and are familiar with
the signal code in use shall be permitted to operate a crane, winch
or other power operated cargo handling apparatus, or any power
operated vehicle, or give signals to the operator of any hoisting
apparatus.
Exception: Employees being trained and supervised by a
designated person may operate such machinery and give signals to
operators during training.
(2) No employee known to have defective uncorrected eyesight or
hearing, or to be suffering from heart disease, epilepsy, or other
ailments which may suddenly incapacitate him shall be permitted to
operate a crane, winch or other power-operated cargo handling
apparatus or a power-operated vehicle.
The Marine Terminal Standards also had requirements for powered
industrial [[Page 13783]] trucks at Sec. 1917.43 Powered industrial
trucks. However, these requirements were for the operation, maintenance
and outfitting of those vehicles and did not expand upon the training
requirements found at Sec. 1917.27.
On June 2, 1994, OSHA published in the Federal Register (59 FR
28594) a Notice of Proposed Rulemaking (NPRM) for the revision of the
longshoring and marine terminals standards.
That NPRM did not propose to amend significantly the aforementioned
training requirements of Sec. 1917.27 or to incorporate a training
requirement for longshoring (on-board vessel) operations.
c. Updated Consensus Standard
Since promulgation of the OSHA standards, the consensus standard
(ANSI B56.1) has undergone four complete revisions (dated 1975, 1983,
1988 and 1993). The current consensus standard (Ex. 3-1) states:
4.18 Operator qualifications.
Only trained and authorized persons shall be permitted to
operate a powered industrial truck. Operators of powered industrial
trucks shall be qualified as to visual, auditory, physical, and
mental ability to operate the equipment safely according to 4.19 and
all other applicable parts of Section 4.
4.19 Operator training.
4.19.1 Personnel who have not been trained to operate powered
industrial trucks may operate a truck for the purposes of training
only, and only under the direct supervision of the trainer. This
training should be conducted in an area away from other trucks,
obstacles, and pedestrians.
4.19.2 The operator training program should include the user's
policies for the site where the trainee will operate the truck, the
operating conditions for that location, and the specific truck the
trainee will operate. The training program shall be presented to all
new operators regardless of previous experience.
4.19.3 The training program shall inform the trainee that:
(a) The primary responsibility of the operator is to use the
powered industrial truck safely following the instructions given in
the training program.
(b) Unsafe or improper operation of a powered industrial truck
can result in: death or serious injury to the operator or others;
damage to the powered industrial truck or other property.
4.19.4 The training program shall emphasize safe and proper
operation to avoid injury to the operator and others and prevent
property damage, and shall cover the following areas:
(a) Fundamentals of the powered industrial truck(s) the trainee
will operate, including:
(1) characteristics of the powered industrial truck(s),
including variations between trucks in the workplace;
(2) similarities to and differences from automobiles:
(3) significance of nameplate data, including rated capacity,
warnings, and instructions affixed to the truck;
(4) operating instructions and warnings in the operating manual
for the truck, and instructions for inspection and maintenance to be
performed by the operator;
(5) type of motive power and its characteristics;
(6) method of steering;
(7) braking method and characteristics, with and without load;
(8) visibility, with and without load, forward and reverse;
(9) load handling capacity, weight and load center.
(10) stability characteristics with and without load, with and
without attachments;
(11) controls-location, function, method of operation,
identification of symbols;
(12) load handling capabilities; forks, attachments;
(13) fueling and battery charging;
(14) guards and protective devices for the specific type of
truck;
(15) other characteristics of the specific industrial truck.
(b) Operating environment and its effect on truck operation,
including:
(1) floor or ground conditions including temporary conditions;
(2) ramps and inclines, with and without load;
(3) trailers, railcars, and dockboards (including the use of
wheel chocks, jacks, and other securing devices;
(4) fueling and battery charging facilities;
(5) the use of ``classified'' trucks in areas classified as
hazardous due to risk of fire or explosion, as defined in ANSI/NFPA
505;
(6) narrow aisles, doorways, overhead wires and piping, and
other areas of limited clearance;
(7) areas where the truck may be operated near other powered
industrial trucks, other vehicles, or pedestrians;
(8) use and capacity of elevators;
(9) operation near edge of dock or edge of improved surface;
(10) other special operating conditions and hazards which may be
encountered.
(c) Operation of the powered industrial truck, including:
(1) proper preshift inspection and approved method for removing
from service a truck which is in need of repair;
(2) load handling techniques, lifting, lowering, picking up,
placing, tilting;
(3) traveling, with and without loads; turning corners;
(4) parking and shutdown procedures;
(5) other special operating conditions for the specific
application.
(d) Operating safety rules and practices, including:
(1) provisions of this Standard in Sections 5.1 to 5.4 address
operating safety rules and practices;
(2) provisions of this Standard in Section 5.5 address care of
the truck;
(3) other rules, regulations, or practices specified by the
employer at the location where the powered industrial truck will be
used.
(e) Operational training practice, including;
(1) if feasible, practice in the operation of powered industrial
trucks shall be conducted in an area separate from other workplace
activities and personnel;
(2) training practice shall be conducted under the supervision
of the trainer;
(3) training practice shall include the actual operation or
simulated performance of all operating tasks such as load handling,
maneuvering, traveling, stopping, starting, and other activities
under the conditions which will be encountered in the use of the
truck.
4.19.5 Testing, Retraining, and Enforcement.
(a) During training, performance and oral and/or written tests
shall be given by the employer to measure the skill and knowledge of
the operator in meeting the requirements of the Standard. Employers
shall establish a pass/fail requirement for such tests. Employers
may delegate such testing to others but shall remain responsible for
the testing. Appropriate records shall be kept.
(b) Operators shall be retrained when new equipment is
introduced, existing equipment is modified, operating conditions
change, or an operator's performance is unsatisfactory.
(c) The user shall be responsible for enforcing the safe use of
the powered industrial truck according to the provisions of this
Standard.
Note: Information on operator training is available from such
sources as powered industrial truck manufacturers, government
agencies dealing with employee safety, trade organizations of users
of powered industrial trucks, public and private organizations, and
safety consultants.
(For an explanation of why OSHA decided to propose a somewhat different
standard, see section entitled Summary and Explanation of the Proposed
Standard, below.)
Since 1971, the consensus committee has adopted other volumes for
additional types of vehicles that fall within the broad definition of a
powered industrial truck. Specifically, requirements have been adopted
for guided industrial vehicles, rough terrain forklift trucks,
industrial crane trucks, personnel and burden carriers, operator
controlled industrial tow tractors, and manually propelled high lift
industrial trucks. This rulemaking would adopt training requirements
for all types of powered industrial trucks regardless of their usage
and the industry in which they are operating.
d. Petitions and Requests
On March 15, 1988, the Industrial Truck Association (ITA)
petitioned OSHA to revise its standard requiring the training of
powered industrial truck operators (Ex. 3-2). The petition contained
suggested language for a proposed requirement along with a model
operator training program by which compliance with the recommended
requirement could be met. OSHA responded to the petition on April 8,
1988, stating that work on the [[Page 13784]] revision of the OSHA
powered industrial truck operator training requirement would begin as
soon as other priority projects were completed.
In addition to the petition, other interested persons have
frequently asked questions about training operators of powered
industrial trucks, such as:
What constitutes the necessary and sufficient training of
forklift operators?
How can one ensure that all forklift operators have been
trained?
What testing, if any, should be conducted as part of the
training?
Should the prior experience of a newly hired employee be
considered as fulfilling part or all of the training requirement or
totally fulfilling the employer's obligation to train that employee?
Some interested persons have suggested that OSHA develop a
standardized training course or at least review and comment on or
endorse various training courses, programs, agenda, or outlines. Others
have suggested that OSHA license or certify all powered industrial
truck operators to attest to their ability to properly operate powered
industrial trucks. These concerns also were considered in the
development of the proposed rulemaking. OSHA is proposing to amend the
current powered industrial truck operator training requirements for
general industry and to adopt the same requirement for the maritime
industries.
e. Reasons for the Proposal
As discussed in the benefits discussed below and in the Regulatory
Impact Analysis, powered industrial truck accidents cause approximately
85 fatalities and 34,900 serious injuries each year. It is estimated
that approximately 20 to 25 percent are at least in part caused by
inadequate training.
As just discussed, the ITA and others have requested that OSHA
improve its training requirement for powered industrial truck
operators. ANSI has substantially upgraded its recommended training
requirements. OSHA preliminarily concludes that upgrading the training
requirements for powered industrial truck operators will substantially
reduce a significant risk of death and injury from untrained operators
driving powered industrial trucks.
II. The Powered Industrial Truck
The term powered industrial truck is defined in the American
Society of Mechanical Engineers, ASME B56.1 (formerly the ANSI B56.1
standard) as a ``mobile, power propelled truck used to carry, push,
pull, lift, stack, or tier material.''
There are presently approximately 822,830 powered industrial trucks
in use in American industry. This number was generated using the
available information on truck shipments of powered industrial trucks
and the percentage of market that ITA members control. This information
was provided OSHA by the Industrial Truck Association.
The Industrial Truck Association stated in conversations with OSHA
representatives that it considers the average useful life of a powered
industrial truck to be 8 years. The 8-year life cycle has been used
throughout the preparation of this proposed rule and in the formulation
of the Preliminary Regulatory Impact Analysis. The vehicle
manufacturers also estimate that there are, on average, 1.5 operators
for each industrial truck. A search of the available literature
indicates that this number has not been disputed. OSHA believes that
this number is a fair assessment of the number of powered industrial
operators since many employers (particularly small employers) have one
operator per truck and the vehicle is used only during one shift per
day whereas other vehicles are used by multiple operators during
multiple shifts.
Powered industrial trucks are classified by the manufacturers
according to their individual characters.
There are seven classes of powered industrial trucks:
Class 1--Electric Motor, Sit-down Rider, Counter-Balanced Trucks
(Solid and Pneumatic Tires).
Class 2--Electric Motor Narrow Aisle Trucks (Solid Tire).
Class 3--Electric Motor Hand Trucks or Hand/Rider Trucks (Solid
Tires).
Class 4--Internal Combustion Engine Trucks (Solid Tires).
Class 5--Internal Combustion Engine Trucks (Pneumatic Tires).
Class 6--Electric and Internal Combustion Engine Tractors (Solid
and Pneumatic Tires).
Class 7--Rough Terrain Fork Lift Trucks (Pneumatic Tires).
Each of these different types of powered industrial trucks has its
own unique characteristics, and inherent hazards. To maximize the
effectiveness of the training, it must be somewhat unique for each type
vehicle. For example, an operator of a high lift rider truck must have
an understanding of the basics of the vehicle's stability (including
those factors which affect that stability), the need to not overload
the vehicle, and the need to operate the vehicle according to
established rules (such as not using the vehicle to elevate employees
who are standing on its forks). On the other hand, order picker trucks
elevate the operator along with a platform that is used to hold
material destined for storage or retrieval from storage in high
stacking racks or bins. The platforms on these trucks are not
completely enclosed by railings, toe boards, or other similar fall
protection devices to prevent an operator from falling off an elevated
platform. To be protected, the operator must wear a body harness or
belt with a lanyard affixed to the mast of the vehicle or the overhead
guard. Therefore, training for employees who use order picker trucks
must emphasize that the use of the body belt or harness and lanyard is
essential whenever the operator is aloft.
Powered industrial trucks may be powered by gasoline, propane,
diesel or liquified petroleum gas engines or by electric motors. Each
of the basic powerplants (except propane) and their associated
components (such as mufflers on internal combustion engines and
switches and wiring on electric trucks) may be upgraded and the entire
truck may be approved by a nationally recognized testing laboratory for
operation in certain classified hazardous areas. These classified
hazardous areas are those parts of a plant, factory or other workplace
where there exists or may exist concentrations of flammable gases or
vapors, combustible dust, or easily ignitible flyings or fibers so that
the risk of fire or explosion is increased. The current OSHA general
industry standard for powered industrial trucks contains basic
descriptions of the types of approved powered industrial trucks and the
various classes, divisions, and groups of classified hazardous areas
and some of the materials whose presence would cause classification of
those areas. However, the number of substances whose presence causes
the hazards of fire and/or explosion have increased greatly since
promulgation of the OSHA standards. (For additional information on the
properties and classifications of materials, see the National Fire
Protection Association (NFPA) 505-1992 Fire Safety Standard for Powered
Industrial Trucks Including Type Designation, Areas of Use,
Maintenance, and Operation.) (Ex. 3-3).
In addition to the general requirements for truck operation, such
as vehicle stability and load carrying capability, training must be
provided for unusual situations, such as training operators to handle
asymmetrical loads when their work includes this activity. The only way
that unusual loads may be moved safely with some powered
[[Page 13785]] industrial trucks is for the operator to understand and
apply the principles of moments and stability of the vehicle. (These
principles are explained in more detail in the part of this preamble
entitled ``Powered Industrial Truck Hazards.'') With many powered
industrial trucks, the capacity is given as some weight at some load
center [usually 24'' (61 cm)]. If the operator does not understand that
the load center is the distance from the vertical face of the forks to
the center of gravity of the load and that loads are usually
symmetrical, then the operator may pick up a load incorrectly. If the
operator understands that the capacity of the vehicle decreases as the
load center increases, then some asymmetrical or off-center loads may
be safely picked up and moved using a high lift truck. Other type
trucks, such as low lift platform trucks, can handle asymmetrical or
off-center loads with minimum danger to an employee because the load is
not raised far above the ground. However, because these type trucks are
unable to raise loads far above the ground, they are of little or no
use when working in a workplace that has high stacking racks or bins
where powered industrial trucks must be able to deposit and retrieve
loads from considerable distances above the ground or floor.
Powered industrial trucks also are used to move large items or many
smaller items about the workplace without the restrictions that
generally exist with other mechanical material handling equipment.
Other material handling equipment, like overhead cranes or conveyors,
are restricted to moving material along a particular, predetermined
pathway. A powered industrial truck, on the other hand, may operate
along any aisleway or passageway provided it is wide enough to
accommodate the vehicle and can support the vehicle and its load. Once
one of these trucks has left an area, there is no remaining obstruction
to the flow of employee or vehicular traffic, as would normally occur
when fixed equipment is used.
Powered industrial trucks may be operated in and among employees
with little or no inconvenience to the employees. Although it may be
convenient to operate a powered industrial truck around employees, this
can be dangerous, particularly when the employees may be hidden from
view (for example, when they are working behind stored material.)
These trucks may operate on almost any type surface, from smooth
and level floors to rocky, uneven ground, provided they were
manufactured to operate on that type floor or ground and the surface
does not have an excessive slope. Different type trucks are designed
and manufactured to operate in various work environments. Not only may
powered industrial trucks be used for moving material about the
workplace, high lift trucks are used to raise loads up to 30 or 40 feet
above the floor and deposit the material on a rack, mezzanine or other
elevated location and then retrieve and lower the material. Many trucks
were designed specifically to operate in restricted areas such as
narrow aisles and passageways.
Because powered industrial trucks are intended to accomplish
specific tasks in a particular manner, their use is restricted. For
example, a powered industrial truck that was designed to operate in a
restricted space (such as in a narrow aisle or passageway) must be
manufactured with a narrow track (the distance between the two wheels
on the same axle or at the same end of the vehicle). In many cases, the
maximum width of a truck must be significantly less than the minimum
width of the area in which it is operated since the vehicle will
normally have to make turns so that loads may be deposited in and
retrieved from racks or bins which are adjacent to the aisle or
passageway. Narrow aisle trucks cannot be safely operated on a floor or
the ground that is not smooth.
Another design criterion, the maximum lateral dimension of the
vehicle, usually dictates where the various components of the vehicle,
such as the engine or motor, the transmission and the seat for the
operator, will be placed. The placement of these components may be
higher or lower than their most desirable locations. The placement of
the various components at a higher point of the vehicle than is
desirable, which is the usual case, raises the center of gravity of the
entire vehicle, thereby making the vehicle less stable. The greater the
distance that the center of gravity of the vehicle and its load is
above the ground, the less stable the vehicle (if all other factors
remain constant). A more stable design of a powered industrial truck
would require a wider track. This would allow installing the engine,
transmission, and other components at a lower level of the truck,
thereby lowering the center of gravity of the vehicle.
Because the powered industrial truck is a motor vehicle, its
operation is similar to the automobile and some of its hazards are the
same as those experienced during operation of the automobile. Like the
automobile, the internal combustion engine powered industrial truck
will move when the gas pedal depressed, and stop when the brake is
applied. Some internal combustion engine and electric powered
industrial trucks have both the accelerator and brake functions
combined in one pedal or other controller providing restriction to
movement of the vehicle when no pressure is applied to the pedal (or
when the controller is in the neutral position). As pressure is applied
to the pedal or other controller, the brake is gradually released,
until at a given point of controller travel, the brake is completely
disengaged. At this point, the vehicle can coast without restriction
from the brake. Finally, as the pedal or other controller is actuated
further, the motor or engine is engaged and the vehicle moves under the
power supplied by the engine or motor. The vehicle then moves
progressively faster as the pedal or controller is further actuated.
Clearly good training is needed when design characteristics may reduce
stability, limit vision or cause non-uniform methods of control.
Powered industrial trucks also may come equipped with, or can be
modified to accept, attachments that allow movement of odd shaped
materials or permit the truck to carry out tasks that may not have been
envisioned when the truck was designed and manufactured. Many of these
attachments may be added to or installed on the vehicle by the dealer
or by the employer. For example, there are powered industrial truck
attachments for grasping barrels or drums of material. Some of these
attachments will not only grasp a barrel or drum but allow the vehicle
operator to rotate the barrel or drum to empty the vessel or lay it on
its side. Another attachment that looks like a long spike may be
positioned within rolled material, such as carpeting. This attachment
allows the movement of material without causing damage to the material
being handled. All of these attachments may adversely effect the
ability of a powered industrial truck to perform its primary function
or may cause the vehicle to be used safely only under limited operating
conditions, such as under reduced speed or load-carrying capacity. OSHA
recognizes that certain attachments may limit the safe use of the
vehicle. To ensure that modifications or additions do not adversely
affect the safe use of the vehicle, OSHA requires at
Sec. 1910.178(b)(4) that:
(4) Modifications and additions which affect capacity and safe
operation shall not be performed by the customer or user without the
manufacturer's prior written approval. Capacity, operation, and
maintenance instruction plates, tags, or decals shall be changed
accordingly.
[[Page 13786]] When the use of specialized attachments restricts
the use of the powered industrial truck or when the truck is used to
lift people, it is essential that operator training must include
instruction on the safe use of the vehicle so that the operator knows
and understands the restrictions or limitations that are imposed upon
the operation of the vehicle by the utilization of those attachments.
Another type of attachment that alters the basic use of the vehicle
and presents unique hazards is an overhead hoist attachment. It is made
up of a rail (like an I-beam) that is attached to the truck and
supports an overhead hoist. It is very easy for an operator to pick up
a load with an overhead hoist attachment while the load is close to the
vehicle and, without realizing it, exceed the moment of the vehicle by
moving the load further from the body of the vehicle. In order to
operate this type attachment successfully, the operator must have
specific training in the use of this attachment, including training in
calculating the maximum load at different points in front of the
vehicle and instruction in the causes of longitudinal vehicle tipover
and its prevention.
In an attempt to improve the load carrying capability of the
vehicle, some people add extra counterweights to powered industrial
trucks. Although this will increase the ability of the vehicle to
resist longitudinal tipover when the vehicle is overloaded, additional
weight imposes extra stresses on the vehicle and its components. The
added stresses also can cause changes in the driving characteristics of
the vehicle and premature failure of the truck and its components,
sometimes with catastrophic effects. Training is needed so that
operators avoid creating those hazards.
III. Powered Industrial Truck Hazards
Powered industrial trucks are used in all industries. Their
principle utility lies in the fact that either a large number of
objects confined in a large box, crate or other container or large
objects may be moved about the workplace with relative ease. Since
powered industrial truck movement is controlled by the operator and is
not restricted by the frame of the machine or other impediments,
virtually unrestricted movement of the vehicle about the workplace is
possible.
The hazards that are commonly associated with powered industrial
trucks may not exist or be as pronounced for every type, make or model
vehicle. For example, the hazard of tipping over the vehicle due to
unstable operation does not exist (except in the most extraordinary
circumstance) with the low lift platform truck, the motorized hand
truck or the motorized hand/rider truck because each of these trucks
does not allow the raising of the load to a point that will cause the
vehicle to become unstable. On the other hand, the counterbalanced
rider truck and the order picker truck allow the load to be raised very
high, causing the vehicle to become less stable as the load is raised.
Each type truck has different hazards associated with its
operation. For example, the chance of a falling load accident occurring
when the truck is a sitdown, counterbalanced rider truck is much
greater than when the vehicle is a motorized hand truck because the
height that the load can be raised on the sitdown rider truck is much
greater than the hand truck.
Correspondingly, the method or means to prevent the accident or to
protect the employee from injury may be different with different type
trucks. When a rider truck is involved in a tipover accident, the
operator has the opportunity to remain in the operator's position on
the vehicle during the tipover, thereby minimizing the potential for
injury. In most cases, the operator of a rider truck is injured in a
tipover accident when he or she attempts to jump clear of the vehicle
when it begins to tip over. Because the natural tendency of the
operator is to jump downward, he or she lands on the floor or ground
and is then crushed by the overhead guard of the vehicle. Consequently,
the operator should be trained to stay with the vehicle during a
lateral tipover. On the other hand, when an order picker tips over with
the platform in a raised position, generally the operator should
attempt to jump clear of the vehicle, and should be trained
accordingly.
Because the powered industrial truck is a motor vehicle, its
operation is similar to the automobile and some of its hazards are the
same as those experienced during operation of the automobile. Both the
automobile and the powered industrial truck are subject to some of the
same hazards such as contacting both fixed and movable objects
(including employees) and tipping over.
Additionally, there are hazards associated with operating the
vehicle at an excessive rate of speed and the hazard of skidding on a
wet or otherwise slippery ground or floor. Driving a powered industrial
truck at an excessive rate of speed may result in the loss of control
of the vehicle, causing the vehicle to skid, tipover, or fall off a
loading dock or other elevated walking or working surface. Failure to
maintain control of the vehicle also may cause the vehicle to strike an
employee or some stored material, causing the material to topple and
possibly injure another employee. In these cases, training which
reinforces driver training is necessary so that the operator will react
properly to minimize the hazard to him or herself and to other
employees.
Although there are many similarities between the automobile and the
powered industrial truck, there are also many differences. Here greater
training is required so that operators are aware of the differences.
Some of the characteristics of a powered industrial truck that have a
pronounced effect upon its operation and safety that are outside their
auto driving experience are its ability to change its dynamic
stability, to raise, lower and tilt loads, and to steer with the rear
wheels while powered by the front wheels. The capability to move loads
upwards, downwards, forwards and backwards causes a shift of the center
of gravity of the vehicle and can adversely affect the overall
stability. When a load is raised or moved away from the vehicle, the
vehicle's longitudinal stability is decreased. When the load is lowered
or moved closer to the vehicle, its longitudinal stability is
increased.
To mitigate the hazards of stability caused by the movement of the
material being handled, OSHA has seven provisions that address proper
operation of a powered industrial truck. These provisions are
Sec. 1910.178 (n)(15), (o)(1), (o)(2), (o)(3), (o)(4), (o)(5), and
(o)(6). These provisions specify:
(15) While negotiating turns, speed shall be reduced to a safe
level by means of turning the hand steering wheel in a smooth,
sweeping motion. Except when maneuvering at a very low speed, the
hand steering wheel shall be turned at a moderate, even rate.
(O) Loading. (1) Only stable or safely arranged loads shall be
handled. Caution shall be exercised when handling off-center loads
which cannot be centered.
(2) Only loads within the rated capacity of the truck shall be
handled.
(3) The long or high (including multiple-tiered) loads which may
affect capacity shall be adjusted.
(4) Trucks equipped with attachments shall be operated as
partially loaded trucks when not handling a load.
(5) A load engaging means shall be placed under the load as far
as possible; the mast shall be carefully tilted backward to
stabilize the load.
(6) Extreme care shall be used when tilting the load forward or
backward, particularly when high tiering. Tilting forward with load
engaging means elevated shall be prohibited except to pick up a
load. An elevated load shall not be tilted forward except when the
[[Page 13787]] load is in a deposit position over a rack or stack.
When stacking or tiering, only enough backward tilt to stabilize the
load shall be used.
Knowledge of, and adherence to these principles, as well as the other
requirements of the OSHA standard, are essential for safe load handling
and vehicle operation. Training is needed in these requirements.
Each powered industrial truck has a different ``feel'' that makes
its operation slightly different from the operation of other trucks.
The workplaces where these trucks are being used also present
particular hazards. For these reasons, a uniform or consistent set of
hazards for all industrial trucks and their operation cannot be
delineated. The hazards addressed in this section relating to the use
of powered industrial trucks have been generalized rather than being
make or model specific. For this reason, development of a single
``generic'' training program which fits all powered industrial trucks
and their operation is impractical. In developing an effective training
program, there are three major areas of concern regarding the hazards
of the operation of powered industrial trucks. The three major groups
of hazards of powered industrial trucks and their operation are hazards
associated with the particular make and model truck, hazards of the
workplace, and general hazards that apply to the operation of all or
most powered industrial trucks.
There are other hazards caused by improper operation of a powered
industrial truck. Among these hazards are: Falling loads caused by
overloading or improperly loading powered industrial trucks (including
carrying unbalanced or unstable loads); the vehicle falling from
platforms, curbs, trailers or other surfaces on which the vehicle is
operating; driving the vehicle while the operator has obstructed view
in the direction of travel or the operator not paying full attention to
the operation of the powered industrial truck; and the vehicle being
operated at an excessive rate of speed. OSHA has identified several
accidents that have occurred when an employee other than the operator
is ``given a ride'' on a powered industrial truck. Most trucks were
designed and are intended to allow only the operator to ride on the
vehicle. The carrying of other persons may result in an accident when
that other person either falls from the vehicle or contacts some
obstruction when the vehicle is driven in proximity to that
obstruction. Finally, powered industrial truck accidents have occurred
because the vehicle was not maintained (most commonly, employees being
overcome by excessive carbon monoxide exposure) or when the powered
industrial truck was not being maintained properly.
Each of these hazards may be more or less consequential based upon
the method of operation of the powered industrial truck, the loads
being carried, and the workplace where the vehicle is being operated.
Truck operators must be trained to recognize unsafe conditions and how
to react to them when they occur.
Several features of a powered industrial truck contribute either
directly or indirectly to the existence or severity of the hazards of
the vehicle. Some of the factors, that would either create or enhance
the hazards of the particular truck, are the placement of the critical
components of the vehicle, the age of the vehicle, and the manner in
which the vehicle is operated and maintained.
There are other hazards related to the use of powered industrial
trucks that are caused or enhanced by the characteristics of the
workplace. Those hazards include the following: operating powered
industrial trucks on rough, uneven or unlevel surfaces; operating
powered industrial trucks with unusual loads; operations in hazardous
(classified) areas; operation in areas where there are narrow aisles;
where there is pedestrian traffic; or where employees are working in or
adjacent to the path of travel of the powered industrial truck.
The operation of a powered industrial truck presents hazards not
only to the operator, but also endangers other employees working with
or around the vehicle. As explained in the section entitled ``Accident,
injury and other data'', below, employees other than operators have
been injured or killed in accidents involving powered industrial
trucks. Proper training can reduce accidents resulting from the above
causes.
IV. Accident, Injury and Other Data
This section of the preamble contains a discussion of the reports,
studies and other sources of data and information that were analyzed to
determine the magnitude and extent of the problems that powered
industrial truck operator training can mitigate.
A. The Bureau of Labor Statistics (BLS) maintains a database
entitled, Census of Fatal Occupational Injuries (CFOI). The CFOI is a
compilation of information on fatal work injuries that occurred in the
50 States and the District of Columbia. The CFOI uses death
certificates, workers compensation reports and other Federal and State
records to gather pertinent information. Work relationships are
verified by using at least two source documents.
The program collects information on the workers and the
circumstances surrounding each fatality. The data are compiled on an
annual basis.
In April, 1994, BLS published a booklet entitled, Fatal Workplace
Injuries in 1992: A Collection of Data and Analysis (Ex. 3-4). In this
booklet, there was an article written by Gary A. Helmer entitled,
Fatalities Involving Forklifts and Other Powered Industrial Carriers,
1991-1992. This report contains information contained in the CFOI on
170 fatal powered industrial truck accidents. Table 1 lists the
classifications of those powered industrial truck accidents.
Table 1.--Classification of Forklift Fatalities, CFOI, 1991-1992
------------------------------------------------------------------------
How accident occurred No. Percent
------------------------------------------------------------------------
Forklift overturned................................. 41 24
Forklift struck something, or ran off dock.......... 13 8
Worker pinned between objects....................... 19 11
Worker struck by material........................... 29 17
Worker struck by forklift........................... 24 14
Worker fell from forklift........................... 24 14
Worker died during forklift repair.................. 10 6
Other accident...................................... 10 6
-------------------
Total......................................... 170 100
------------------------------------------------------------------------
Source: Bureau of Labor Statistics, Fatal Workplace Injuries in 1992, A
Collection of Data and Analysis, Report 870, April 1994.
B. Measuring the Effectiveness of an Industrial Lift Truck Safety
Training Program.
In 1984, H. Harvey Cohen and Roger C. Jensen, working under
contract with the National Institute for Occupational Safety and Health
(NIOSH), published an article in the Journal of Safety Research (Fall
1984, Vol. 15, No. 3, pps. 125-135) entitled, Measuring the
Effectiveness of an Industrial Lift Truck Safety Training Program (Ex.
3-5). The article contained an analysis of two studies that were
undertaken to measure objectively the effects of safety training of
powered industrial truck operators.
This article detailed the results of an experiment that was
conducted to evaluate the value of training powered industrial truck
operators using a behavioral (work) sampling procedure to obtain
objective data about work practices that correlate with injury risk.
There were two separate studies conducted in this experiment, one at
each of two similar warehouses. The [[Page 13788]] studies that
comprised the experiment were conducted to assess the value of training
and the influence of post training actions on the safety performance of
workers.
There were 14 criteria used in measuring the performance of the
trainees. Each of the criterion was selected because it was (a)
measurable, (b) frequently observable, (c) capable of being reliably
observed, (d) related to accident occurrence, and (e) amenable to
corrective action through training. The fourteen criteria observed
were: Warns other operators, yields to trucks, warns co-workers, yields
to co-workers, sounds horn at blind intersection, slows down at blind
intersection, looks at blind intersection, looks in direction of
travel, maintains moderate speed, avoids quick starts/changes of
direction, keeps all body parts within truck, maintains forks in proper
position, maintains balanced load, and drives properly in reverse. Each
observation of the operation of the powered industrial trucks resulted
in all criteria being evaluated (either correctly performed,
incorrectly performed, or not observed). An error rate for each
criterion was calculated by dividing the number of incorrect behaviors
observed by the total behaviors observed.
Each of the groups of employees were subdivided into smaller
groups. These groups were then given training at different times during
the study and, in some cases, additional feedback following the
training.
The first study was conducted in four phases. The pretraining phase
was conducted with none of the operators having received special
training. During the second phase, the control group remained
untrained, the treatment group received training, and the treatment-
plus-feedback group received training and also received performance
feedback. In the third phase, the control group received training so
that all three groups had received training but only the training-plus-
feedback group received performance feedback. The retention phase
started three months after the end of the third phase of the study and
the performance of all operators was evaluated without regard to their
previous categorization.
The error rates of the various groups during the different phases
of the study are given in Table 2.
Table 2.--Summary of Mean Error Rates1
[Warehouse 1]
----------------------------------------------------------------------------------------------------------------
Post-training Post-training
Group Pre-training 1 2 Retention
----------------------------------------------------------------------------------------------------------------
Control......................................... .34 .32 .23
Training........................................ .33 .27 .26
Training + Feedback............................. .35 .27 .25
All operators................................... .34 .27 .25 .19
----------------------------------------------------------------------------------------------------------------
The mean error rate is defined in the study as the number of incorrect behaviors observed divided by the total
behaviors observed.
Note: The mean error rate for all operators began at .34, that is, in 34 percent of the observed criteria, the
tasks observed and evaluated were performed improperly.
Source: Measuring the Effectiveness of Industrial Lift Truck Safety Training Program, Journal of Safety
Research, Vol. 15, No. 3, Fall 1984, pp. 125-135.
Following the initial training (post-training 1), all three groups
showed a decrease in their mean error rates with the training-plus-
feedback group showing the largest decrease (from .35 to .27, a 23
percent decrease) followed by the training-only (from .33 to .27, an 18
percent decrease) and the control group (from .34 to .32, a 6 percent
decrease). The reduction in the error rate of the control group from
the pre-training to the post-training 1 phase of the study was
attributed to a peer modeling influence, i.e., the control group
operators were copying the behavior of their previously trained
counterparts. Toward the end of the post-training 1 phase, the error
rates of the three groups converged, suggesting that the effects of the
training program had begun to wear off. Observers also noted that some
behaviors were being compromised when employees of different knowledge
levels were required to interact, particularly in conflict avoidance
situations such as signaling and yielding at blind intersections.
During the post-training 2 phase of the study, all groups improved
in performance, particularly the original control group. This group's
performance improved by 28 percent (from a mean error rate of .32 to
.23). Additional evidence of the effect of peer modeling may be deduced
from the fact that the performance of the other two groups (the
training and the training and feedback groups) continued to improve
although there was no additional instruction given to those groups.
The retention phase of the study was conducted three months
following the completion of the post-training 2 phase of the study. It
was intended to determine the longer term effects of the training. The
results of this phase of the study indicate an additional improvement
in the performance of the operators with the mean error rate decreasing
from .25 to .19, a 24 percent improvement in their performance. The
total performance gain achieved during this study was a 44 percent
improvement from the pre-training (baseline) phase through the
retention phase (from a mean error rate of .34 to a final error rate of
.19). The data indicate that there were significantly fewer errors at
each successive phase of the study.
The second study was conducted in order to verify and extend the
findings of the first study. Consequently, a modified experimental
design was used to eliminate the mitigating influence of the untrained
control group. In the second study, all operators were trained at the
same time and all received performance feedback. Comparisons were made
only before and after training. The study was divided into three
phases: Pre-training, post-training and retention. The retention phase
of the study was again conducted three months after the conclusion of
the prior phase. The mean error rates during the three phases of the
study are given in Table 3.
Table 3.--Summary of Mean Error Rates Study 2
------------------------------------------------------------------------
Pre-training Post-training Retention
------------------------------------------------------------------------
.23.................... .09 .07
------------------------------------------------------------------------
Source: Measuring the Effectiveness of Industrial Lift Truck Safety
Training Program, Journal of Safety Research, Vol. 15, No. 3, Fall
1984, pp. 125-135.
Following the training of the vehicle operators, there was a 61
percent [[Page 13789]] improvement in performance scores (from an error
rate of .23 to .09). Observation in the retention phase of this study
showed an additional reduction of 22 percent in mean error rates (from
.09 to .07 mean error rate). This corresponds closely to the 24 percent
gain experienced in Study 1. The overall improvement in mean error
rates between the pre-training error rate (.23) to that achieved during
the retention phase (.07) was a reduction of 70 percent.
C. In 1987, Nancy Stout-Wiegand of the National Institute for
Occupational Safety and Health (NIOSH) published an article in the
Journal of Safety Research (Winter 1987, Vol 18, No. 4, pp. 179-190)
entitled, Characteristics of Work-Related Injuries Involving Forklift
Trucks (Ex. 3-6). This article analyzed powered industrial truck
injuries reported in two occupational injury databases--the National
Electronic Injury Surveillance System (NEISS) and the Bureau of Labor
Statistics' Supplementary Data System (SDS).
The NEISS database is composed of records from a national sample of
200 hospital emergency rooms and burn centers handling all types of
injuries. The NEISS database was originally established by the Consumer
Product Safety Commission, therefore, the original intent was to gather
data about accidents involving commercial products rather than
industrial injuries. The hospital emergency rooms were not necessarily
those located in industrial areas that would predominantly treat
industrial injuries and illnesses. The data from this sample are
weighted to represent the nation in numbers and characteristics of
traumatic injuries treated in emergency rooms and burn centers. A
subset of this database--the work related injuries--is maintained by
NIOSH. Since the NEISS database records only injuries treated in
emergency rooms and burn centers, traumatic work injuries treated by
private practitioners or by industry or private clinics are not
included in the NEISS database. Moreover, chronic injuries, such as
injuries due to overexertion, are not as likely to be treated in
emergency room as are acute traumatic injuries, and, therefore are
probably underrepresented in the NEISS database. Other probable sources
of error in the calculation of accident rates include misclassification
of the sources of injury or the agent of injury. For example, if an
employee fell while elevated on the forks of a powered industrial
truck, the accident could be misclassified as a fall from elevation
rather than a fall from a forklift. Similarly, if an employee were
struck in the head by part of a load which fell from a powered
industrial truck, the accident could be classified as employee struck
by falling object. In either case, the accident would have involved a
powered industrial truck, but in neither case would the accident have
been classified as one in which a powered industrial truck was
involved.
The Supplementary Data System (SDS) database is composed of
workers' compensation claims for injuries involving lost workdays.
There were 30 states that provided information to the SDS system. The
SDS system reports the occupations of injured workers and states where
the claim was filed. SDS includes only compensable injuries. The
definition of a compensable injury varies from state to state, with
some injuries being compensable, for example, if they result in one day
or more away from work. In other states, the time away from work may be
up to 7 days before the injury becomes compensable.
The SDS and NEISS data do not necessarily represent the same
injuries because injuries treated in emergency rooms do not always
result in lost workdays. At the same time, compensable injuries
included in SDS may not have been treated in emergency rooms and thus
would not be represented in NEISS. However, both of these databases
represent the more serious injuries involving powered industrial
trucks, that is, those requiring treatment in emergency rooms and those
which result in compensable injuries.
In 1983, the SDS system identified 13,417 workers' compensation
claims for lost-workday injuries involving powered industrial trucks
that occurred in 30 states. Assuming that these 30 states represent an
average of the whole population, then the number of accidents which
occurred nationally would be five-thirds of the 13,417 accidents, or
approximately 22,400 compensation claims for lost-workday injuries
involving powered industrial trucks filed nationally. This number is
comparable to the estimated 24,000 forklift-related injuries that were
treated in U.S. emergency rooms in 1983 as reported by NIOSH from
information gathered by the NEISS system. In 1985, the NEISS system
figures were used to determine that about 34,000 powered industrial
truck related accidents were treated in emergency rooms. This is an
increase of about 39% over a three-year period of time.
This report also contained a tabulation of the occupations of the
injured workers. The breakdown of the occupations of those employees
and the corresponding percentage of the accidents is listed in Table 4.
Table 4.--Percentage Distribution of Powered Industrial Truck Injuries
by Occupation of Injured Employee
------------------------------------------------------------------------
Occupation Percent
------------------------------------------------------------------------
Professional, technical and kindred workers................... 0.3
Managers and administrators (except farm)..................... 2.0
Sales workers................................................. 0.8
Clerical and kindred workers.................................. 5.0
Craftsmen and kindred workers................................. (15.5)
Mechanics................................................... 6.5
Foremen..................................................... 3.0
Other craftsmen and kindred workers......................... 6.0
Operatives (except transportation)............................ (17.5)
Assemblers.................................................. 1.4
Packers/wrappers............................................ 1.1
Welders..................................................... 0.9
Miscellaneous/unspecified operatives........................ 9.2
Other operatives............................................ 4.9
Transportation equipment oper- atives......................... (20.8)
Powered industrial truck operators.......................... 12.3
Truck drivers............................................... 5.5
Motormen.................................................... 1.7
Deliverymen................................................. 1.2
Other transportation equipment operators.................... 0.1
Laborers (except farm)........................................ (37.3)
Warehousemen................................................ 10.4
Freight and material handlers............................... 7.3
Stock handlers.............................................. 4.4
Construction laborers....................................... 2.2
Miscellaneous/unspecified laborers.......................... 8.0
Other laborers.............................................. 1.6
Farmers (managers and laborers)............................... 1.5
Service workers............................................... 1.8
Occupations unspecified....................................... 1.1
------------------------------------------------------------------------
Source: Characteristics of Work-Related Injuries Involving Forklift
Trucks, Journal of Safety Research, Vol. 18 No. 4, Winter 1987, pp.
179-190.
D. Industrial Forklift Truck Fatalities--A Summary.
The Office of Data Analysis (ODA) of OSHA's Directorate of Policy
conducted an examination of 53 investigative case files involving
powered industrial truck fatalities that occurred between 1980 and 1986
(Ex. 3-7). The results of their analysis is summarized below.
Table 5.--Office of Data Analysis Type Accidents--53 Powered Industrial
Truck Fatalities
------------------------------------------------------------------------
Type accident No. Percent
------------------------------------------------------------------------
Crushed by tipping vehicle.......................... 22 42
Crushed between vehicle and a surface............... 13 25
[[Page 13790]]
Crushed between two vehicles........................ 6 11
Struck or run over by vehicle....................... 5 10
Struck by falling material.......................... 4 8
Fall from platform on forks......................... 2 4
Accidental activation of controls................... 1 2
------------------------------------------------------------------------
Source: Industrial Forklift Truck Fatalities--A Summary, Report from
Office of Data Analysis, Directorate of Policy, OSHA, dated June 1990.
The single largest cause of the accidents was vehicle tipovers.
These tipovers were attributed to the following: (1) The vehicle being
out of control (speeding, elevated loads, mechanical problems, etc.; 7
instances--13 percent); (2) the vehicle being run off/over the edge of
the surface (4 instances--8 percent); (3) attempting to make too sharp
a turn (excessive speed, unbalanced load, etc.; 4 instances--8
percent); (4) employee jumped from overturning vehicle being pulled by
another vehicle (2 instances--4 percent); vehicle skidded or slipped on
slippery surface (2 instances--4 percent); (5) wheels on one side of
vehicle ran over raised surface or object (2 instances--4 percent); and
(6) vehicle tipped over when struck by another vehicle (1 instance--2
percent).
The second highest number of fatalities reported in the ODA study
was caused by an employee being crushed between a vehicle and a
surface. The accidents were attributed to: (1) The operator getting off
the vehicle while it was running (7 instances--13 percent); (2) worker
on platform being crushed between platform and overhead surface (2
instances--4 percent); (3) employees leg being caught when vehicle
sideswiped metal surface (1 instance--2 percent); (4) employee
attempting to prevent vehicle tipover by holding up overhead guard (1
instance--2 percent); (5) employee changing tire and vehicle fell from
jack (1 instance--2 percent) and (6) empty 55 gallon drum used for
support vehicle during maintenance collapsed (1 instance--2 percent).
The six accidents that were attributed to employees being crushed
between two vehicles were caused by contact between two moving powered
industrial trucks (4 cases) and between a powered industrial truck and
a stationary vehicle in the other two instances.
Of the five accidents which were identified as an employee being
struck or run over by vehicle, four were accidents where employees
other than the vehicle operator were struck by the vehicle. The
remaining one was an operator trying unsuccessfully to board a free
rolling vehicle.
E. The OSHA Fatality/Catastrophe Reports. OSHA records a summary of
the results of investigations of all accidents resulting in fatalities,
catastrophes, amputations and hospitalizations of two or more days, and
those accidents that have received significant publicity or property
damage. These summaries are recorded on an OSHA Form 170 and include an
abstract describing the activities taking place at the time of the
accident and the causes of the accident. These reports are stored in a
computerized database system.
OSHA queried the computer for all reports that contained the
keyword ``industrial truck''. There were 4268 total reports in the
system that resulted in 3038 fatalities, 3244 serious injuries, and
1413 non-serious injuries (many of the accidents resulted in multiple
fatalities and/or injuries). The use of the keyword ``industrial
truck'' produced a printout of 208 accidents (Ex. 3-8). These 208
accidents resulted in 147 fatalities, 115 serious injuries and 34 non-
serious injuries.
By adding the number of fatalities, serious injuries and non-
serious injuries and dividing by the number of accidents, it was
determined that 1.4 injuries of some nature occurred per accident. OSHA
also determined the percent of each of the three classes of accidents
that involved powered industrial trucks. Those percentages are 4.8
percent of the fatalities, 3.5 percent of the serious injuries and 2.4
percent of the non-serious injuries were attributable to an accident
that involved a powered industrial truck.
OSHA looked at the OSHA 170s to determine the causes of the
accidents that were attributable to the use of powered industrial
trucks in general industry. Table 6 presents a compilation of the
causes of those accidents.
Table 6.--Causes of Accidents\1\--OSHA Investigation Summaries (OSHA
170s)
------------------------------------------------------------------------
No. of
Cause reports
------------------------------------------------------------------------
No training\2\................................................ 19
Improper equipment............................................ 10
Overturn...................................................... 53
Unstable load................................................. 45
Overload, improper use........................................ 15
Obstructed view............................................... 10
Carrying excess passenger..................................... 8
Operator inattention.......................................... 59
Falling from platform or curb................................. 9
Falling from trailer.......................................... 6
Elevated employee............................................. 26
Operator struck by load....................................... 37
Other employee struck by load................................. 8
Accident during maintenance................................... 14
Vehicle left in gear.......................................... 6
Speeding...................................................... 5
Not powered industrial truck accident......................... 9
------------------------------------------------------------------------
\1\The causes of the accidents were determined by the narrative in the
accident report. In most cases, the narrative emphasized the cause of
the accident, however, in a few cases, reasonable and appropriate
assumptions were made. In some cases, multiple accident causes were
described in the narrative portion of the report, or were assumed to
have caused the accident. (See Ex. 3-8.)
\2\ Of the 19 instances when the report contained the indication that a
lack of training was one of the causal factors of the accident, there
were 6 serious violations issued, 2 other (nonserious) violations and
11 instances where no citation was issued.
Source: Office of Electrical, Electronic and Mechanical Engineering
Safety Standards, Directorate of Safety Standards Programs, OSHA.
Using the OSHA Form 170 data, OSHA also compiled a listing of the
industries in which accidents occurred. Table 7 presents a tabulation
of the SIC codes, the description of the industry, and the number of
times that accidents were identified as having occurred in those
industries. For a complete listing of the individual industries, see
Ex. 3-9.
Table 7.--Industries Where Accidents Occurred--OSHA Investigative
Summary (OSHA Form 170) Reports
------------------------------------------------------------------------
SICP Times
division Description cited
------------------------------------------------------------------------
B........... Mining.......................................... 4
C........... Construction.................................... 25
D........... Manufacturing................................... 95
E........... Transportation, communication and utilities..... 22
F........... Wholesale trades................................ 25
G........... Retail trades................................... 18
I........... Services........................................ 7
J........... Public administration........................... 4
------------------------------------------------------------------------
Note: The breakdown of accidents does not include agricultural accidents
since establishments of 10 or less employees in this industry are
exempt from OSHA jurisdiction.
[[Page 13791]]
Source: Office of Electrical, Electronic and Mechanical Engineering
Safety Standards, Directorate of Safety Standards Programs, OSHA.
F. The OSHA Emergency Communications System Reports.
OSHA has another internal system for collecting information about
serious accidents. This is a telephone system which requires that
serious and/or significant accidents be telephoned into the National
Office.
The telephone call system is part of the OSHA emergency
communications system. Regional Administrators are required to file a
first report of fatalities, catastrophes and other important events
(such as those that receive significant publicity) to the National
Office. The information contained in these reports is disseminated to
the responsible officials in OSHA and to the directorates of the
Agency. These reports are broken down within the various offices and
distributed to the appropriate personnel. There are approximately 1200
reports received by the National Office yearly. See Ex. 3-10.
None of the reports are screened before the OSHA National Office
receives them to eliminate those from a certain industry, occupation or
because of other factors. Although these reports may not be considered
statistically significant by themselves in attempting to determine the
number of accidents that have occurred, the lack of prior screening
indicates that they represent a reasonable sampling of the most serious
type accidents and that the causes of the accidents closely parallel
the distribution of the causes of all accidents.
OSHA has examined the First Report of Serious Injury reports and
identified 247 that involved powered industrial trucks. These accidents
occurred between 1980 and the present. OSHA looked at the number of
accidents reported through its telephonic system and determined the
percentage of those accidents that involved powered industrial trucks.
Table 8 contains a listing of the number of First Reports of Serious
Accident reports which were received from 1980 to present, the number
of those accidents which involved powered industrial trucks, and the
corresponding percentage.
Table 8.--Yearly Summary of First Report of Serious Accidents
------------------------------------------------------------------------
Total Pit
Year reports accidents Percent
------------------------------------------------------------------------
1980............................ 200 2 1
1981............................ 125 2 1.6
1982............................ 113 0 0
1983............................ 115 3 2.6
1984............................ 181 1 .6
1985............................ 456 15 3.3
1986............................ 1,147 44 3.8
1987............................ 1,236 38 3.1
1988............................ 1,330 47 3.5
1989............................ 1,150 44 3.8
1990............................ 1,105 41 3.7
1991............................ \1\215 10 4.7
---------------------------------------
Totals2................... 6,424 247 3.6
------------------------------------------------------------------------
1These are the number of total reports received between the first of the
year until March 31.
2The total number of reports, the number of accidents involving powered
industrial trucks and the percentage were calculated using the figures
from 1985-1990. The number of accidents reported during the years 1980-
1984 and those reported during 1991 were too few to be representative.
Source: Office of Electrical, Electronic and Mechanical Engineering
Safety Standards, Directorate of Safety Standards Programs, OSHA.
Each of these reports were examined to determine the causes of the
accidents. In some instances, multiple causes were identified. Table 9
lists the causes of the accidents and the number of accidents which
were attributable to that cause.
Table 9.--Causes of Accidents (Powered Industrial Trucks) First Reports
of Serious Accident
------------------------------------------------------------------------
No.
Cause of the accident Accidents
------------------------------------------------------------------------
Tipover...................................................... 58
Struck by powered industrial truck........................... 43
Struck by falling load....................................... 33
Elevated employee on truck................................... 28
Ran off loading dock or other surface........................ 16
Improper maintenance procedures.............................. 14
Lost control of truck........................................ 10
Truck struck material........................................ 10
Employees overcome by carbon monoxide or propane fuel........ 10
Faulty powered industrial truck.............................. 7
Unloading unchocked trailer.................................. 7
Employee fell from vehicle................................... 7
Improper use of vehicle...................................... 6
Electrocutions............................................... 2
------------------------------------------------------------------------
Source: Office of Electrical, Electronic and Mechanical Engineering
Safety Standards, Directorate of Safety Standards Programs, OSHA.
G. The OSHA General Duty Clause Citation Analysis.
The Office of Mechanical Engineering Safety Standards of OSHA,
conducted an analysis of the citations which were issued between 1979
and 1984 for violations of the general duty clause (section 5(a)(1)) of
the Occupational Safety and Health Act. During that period, there were
a total of 3637 inspections in which at least one 5(a)(1) citation was
issued. See Ex. 3-11.
Sixty-five general duty clause citations involved powered
industrial truck operations. Each was examined to determine the nature
of the violation. Table 10 lists the violation that was alleged to have
occurred.
Table 10.--Summary of General Duty Clause (5(a)(1)) Citations
------------------------------------------------------------------------
No.
Violation instances
------------------------------------------------------------------------
Employee elevated on forks................................... 44
Improper operation of vehicle................................ 13
Improper maintenance on vehicle.............................. 5
No vehicle operator training................................. 2
[[Page 13792]]
Order picker without fall protection......................... 1
------------------------------------------------------------------------
Source: Office of Electrical, Electronic and Mechanical Engineering
Safety Standards, Directorate of Safety Standards Programs, OSHA.
V. Basis for Agency Action
OSHA believes that, as the above discussion indicates, that there
is a sufficient body of data and information on which to base a
revision of the existing standard for powered industrial truck operator
training and the promulgation of the same requirement for powered
industrial truck operator training in the construction, maritime and
agriculture industries. These requirements would reduce the number of
fatalities and injuries resulting from accidents involving powered
industrial trucks operated by untrained or insufficiently trained
employees.
According to OSHA's data and information, powered industrial truck
accidents account for approximately 4.8 percent of the fatalities, 3.5
percent of the serious injuries and 2.4 percent of the non-serious
injuries that occur in general industry each year. These accidents
resulted in an average of 107 fatalities, 33,800 serious injuries, and
61,800 non-serious injuries per year from 1981 through 1990.
In analyzing its accident data, OSHA has derived two separate
estimates of the number of fatalities and serious injuries that occur
to employees due to powered industrial truck accidents. Because the two
set of numbers are in the same range, the Agency has presented both. It
should be noted that the number of fatalities is virtually identical
using either method of derivation. However, slightly different
definitions are used for estimating injuries. The other set of
estimates are presented in the Preliminary Regulatory Impact Analysis,
below.
There are approximately 68,400 accidents involving powered
industrial trucks in general industry per year. This figure was arrived
at by totaling the fatalities, serious, and non-serious injuries and
dividing this result by 1.4 (the number of injuries per accident
determined from the OSHA Fatality/Catastrophe Reports). According to
the Industrial Truck Association (ITA), there are currently
approximately 855,900 powered industrial trucks in the United States,
therefore approximately 8 percent of the powered industrial trucks will
be involved in an accident this year (this assumes a truck is involved
in only one accident this year). Since the ITA has stated that the
useful life of a powered industrial truck is 8 years, that means that
at some point during its useful life, almost two-thirds of the powered
industrial trucks will be involved in some type accident (again,
assuming there is only one accident per truck).
OSHA also looked at the type accidents that were described in the
section of this preamble entitled ``Accident, injury and other data.''
The three reports that contained that information were the ``Industrial
Forklift Truck Fatalities--A Summary'' (ODA Study); ``The OSHA
Fatality/Catastrophe Reports'' (Fat/Cat Study); and the ``OSHA
Emergency Communications System Reports, First Reports.'' The number of
different types of accidents are given in Table 12, below. Since the
Industrial Forklift Truck Fatalities report was the only one that used
a single causation methodology for categorizing the accidents, this is
the only study for which percentages of the accidents were calculated.
These percentages appear in parentheses following the numbers.
Table 11.--Causes of Powered Industrial Truck Accidents
------------------------------------------------------------------------
Study
-------------------------------
Cause First
ODA study Fat/cats reports
------------------------------------------------------------------------
Tipovers................................ 22 (42%) 53 58
Struck by vehicle....................... 24 (46%) ........ 43
Struck by falling material.............. 4 (8%) 90 143
Elevated employees...................... 2 (4%) 26 28
Control activation...................... 1 (2%) 26 ........
Improper equipment or usage............. .......... 10 \3\13
Vehicle overloaded...................... .......... 15 ........
Obstructed view......................... .......... 10 ........
Maintenance acc......................... .......... 14 14
Speeding................................ .......... 5 ........
Fell from platform...................... .......... ........ 423
Lost control............................ .......... ........ 10
Overcome by CO.......................... .......... ........ 10
Employee fell from vehicle.............. .......... ........ 7
Electrocution........................... .......... ........ 2
------------------------------------------------------------------------
1This number represents the accidents due to material that was in the
powered industrial truck (a portion of the load) falling on an
employee-33 cases, and stacked material falling on an employee when
struck by a powered industrial truck-10 cases.
2This number represents the accidents due to the operator leaving the
vehicle in gear, dismounting the vehicle and being struck when the
vehicle moved.
3This number represents the number of accidents when either the vehicle
was used improperly (6 instances) or the vehicle was defective (7
instances).
4This number represents the number of accidents when the operator drove
the vehicle off an elevated dock (16 instances) or fell against the
face of the dock when an unchocked trailer rolled away from the dock
when being loaded or unloaded.
Sources: ``The Forklift Truck Fatalities--A Summary Report'' (ODA
Study); ``The OSHA Fatality/Catastrophe Reports'' (Fat/Cats); and
``The OSHA Emergency Communications System Reports (First Reports)''.
In 9 percent of the accident investigations in which an OSHA 170
was prepared (19 of 208), lack of training was identified as a causal
factor. In more than half of these accident investigations (11 of 19),
lack of training was not cited by OSHA compliance officers. However,
OSHA's standard specifies that only trained and authorized operators
are allowed to operate powered industrial trucks. Absence of a citation
when lack of training was identified as a causal factor in the accident
can only be attributed to the fact that many compliance officers
believe that the powered industrial truck training requirement (29 CFR
1910.178(l)) is vague and unenforceable in its present form.
In addition, most of the accidents where lack of training was not
mentioned, clearly could have been avoided through better training.
When OSHA completes this rulemaking, in light of the large number of
industrial truck accidents, based on priorities and resources, it will
consider whether to revise the entire powered industrial truck
standard. Persons also may wish to comment on whether OSHA should
revise the entire standard in the future. [[Page 13793]]
VI. The Need for Training
Training is generally defined as making a person proficient through
the use of specialized instruction and practice. Training is the means
by which an employer ensures that employees have the knowledge, skills,
and abilities that are necessary for the employees to do their jobs
correctly.
Once an employee acquires the basic knowledge, skills, and
abilities, refresher or remedial training may be used to reinforce or
improve those attributes, to provide new material, to provide material
that was previously discussed in a new manner, or to simply maintain an
awareness of the material that had previously been taught. Refresher or
remedial training is normally conducted on a predetermined periodic
basis, that is, on a monthly, semi-annual, or annual basis.
Training may be as simple and informal as a supervisor pointing out
either an error in the manner in which an employee is doing a job
(making an on-the-spot correction) or showing an employee how to do a
particular task (demonstrating the proper method to do the job). On the
other end of the spectrum is the detailed, structured instruction that
uses the classical methods of training (lectures, conferences, formal
demonstrations, practical exercises, examinations, etc.). Formal
training is usually used to impart a greater amount of, more
complicated, or more detailed information to a trainee.
For the most part, employees do not start out with the innate
knowledge, skills, and abilities to perform many of the complicated or
difficult practices and procedures that occur commonly in the
workplace. For example, many states require potential car drivers to
pass either driver training and/or driver education programs to qualify
for a drivers license. Even with this training, young drivers are
involved in a disproportionate number of accidents. It is only after
the drivers have more experience that the number of accidents
decreases. Although many employees who are selected or assigned to
drive powered industrial trucks are licensed to drive automobiles,
there are enough dissimilarities between these two types of vehicles
and their operation to require additional knowledge, skills, and
abilities to operate a powered industrial trucks safely. Operational
characteristics of powered industrial trucks, such as using vehicles
equipped with rear-wheel steering and front-wheel drive and the
hoisting--moving--lowering of loads, require operator training and
practice to master the different driving skills that must be used when
an employee operates powered industrial trucks.
Many of these accidents either can be prevented, or the seriousness
of the injury to the employee can be mitigated by training employees.
Effective training and supervision also can prevent the occurrence of
unsafe acts such as speeding, failing to look in the direction of
travel, and failing to slow down or stop and sound the vehicle's horn
at blind intersections and other areas where pedestrian traffic may not
be observable. Another example in which training can prevent or lessen
the severity of an accident of this kind is directly related to the
stability of powered industrial trucks when traveling with an elevated
load. Effective operator training should include the admonition that
the vehicle can only be moved when the load is at its lowest point.
Even if this admonition is ignored and the vehicle tips over, the
injury to the operator is usually minimal if the he or she stays with
the vehicle. As previously discussed, the usual injury in a powered
industrial truck tipover occurs when the operator attempts to jump off
the vehicle when it is tipping over. Since the normal tendency is for a
person to jump downward, the operator lands on the floor or ground in
the path of the overhead guard and the usual injury is a crushing
injury of the head, neck or back when the overhead guard contacts the
employee. Training an employee to stay with the vehicle will reduce the
severity of some of these injuries.
In 1990, the Office of Technology Assessment of the U.S. Congress
published a book at the request of the Senate Labor and Human Resources
Committee, the House Education and Labor Committee, and the Senate
Finance Committee. This book is entitled, Worker Training: Competing in
the New International Economy, OTA-ITE-457 (Washington, DC: U.S.
Government Printing Office, September 1990; Ex. 3-12) Although this
book addresses the need for training so that American industry can
remain competitive in the world marketplace, there were many salient
facts presented, both about the state of training in the workplace and
the need for additional training.
To be effective, training must impart appropriate skills, must not
include irrelevant information and must accommodate varying employee
backgrounds and learning styles. Training is most effective when it is
quickly reinforced on the job. Poor timing of training, lack of
reinforcement at work, and other factors prevent effective transfer of
knowledge to the job.
The book also pointed out that small business access to new
employees with good skills is limited. Employees hired by companies
reflect the labor pool available and is dependent upon the size of the
company. Small companies must draw their employees from the locally
available talent pool whereas larger companies can attract prospective
employees from a much larger geographical area. In order to make up for
the limitations of the limited talent pool, small employers usually
must provide additional training and education to achieve comparable
employee performance.
The OTA book pointed out that inadequate training costs firms and
employers not only in health and safety risks, but also downtime,
defective parts and equipment, wasted material, late deliveries,
inferior quality products and poor customer service. To maximize its
effectiveness, training must be focused on workplace problems because
simply providing more generalized, non-directed training will not
promote industrial competitiveness. If the work is not organized to tap
employee skills, the training investment will be wasted.
Finally, the book emphasized that employers historically have not
trained their workers for several reasons. First, high labor turnover
has mistakenly led employers to believe that skilled workers will leave
so their companies will not recoup their training investment. Second,
many employers believe that an increase in productivity will not offset
the cost of training employees. As the book points out, that is not the
case.
The studies conducted by Cohen and Jensen, discussed under
Accident, injury and other data earlier in this preamble, found a
reduction in operator error rate of up to 70 percent. Although a 70
percent error rate reduction can not be directly equated to a
corresponding reduction in the number of accidents that this or any
other group of operators will experience, improper or unsafe operation
of a powered industrial truck is the major cause of the accidents and
their resultant fatalities and injuries. Therefore, a reduction in the
unsafe operation of a powered industrial truck will reduce the number
of accidents, and the resultant fatalities and injuries.
Many standards promulgated by OSHA explicitly require the employer
to train employees in the safety and health aspects of their jobs.
These requirements reflect OSHA's belief that training is an essential
part of an effective employer's program for protecting workers from
accidents and illnesses. (See Ex. 3-13 [[Page 13794]] for a complete
list of the OSHA standards that require training.)
Although not all powered industrial truck accident reports spell
out the lack of training as a causal factor of the accidents, each
accident can, in part, be attributed to either being caused or worsened
by the actions or inactions of the operator. For example, when a
powered industrial truck tips over, the accident is caused by one or
more of several factors, including speeding, traveling with the load in
an elevated position, or improperly negotiating a turn. Training can
minimize the times that these events occur.
Proper training of an employee must take into account the fact
that different operating conditions (including the type and size of the
load, the type and condition of the surface on which the vehicle is
being operated, and other factors) can adversely affect vehicle
operation. Operator training must emphasize two points regarding any
potential accident scenario. These two factors are: (1) The employee
should not engage in activities that may cause an accident, and (2) the
employee should minimize the potential for injury (either to himself or
herself or to other employees) by taking appropriate actions.
OSHA is not proposing a program of licensing or certification of
powered industrial truck operators either by itself or as an adjunct to
operator training. OSHA does not have the resources to conduct such a
program since there are close to 1.5 million employees who operate
powered industrial trucks.
VII. Summary and Explanation of the Proposed Rule
OSHA is proposing to revise the training requirement for powered
industrial truck operators, 29 CFR 1910.178(l), contained in the
general industry standards, and to add equivalent training requirements
for the maritime industries. This proposal is intended to enhance the
safe operation of powered industrial trucks in the workplace.
On February 27, 1995, OSHA submitted to the Advisory Committee on
Construction Safety and Health (AC) a draft of this document. The
ACCOSH recommended to OSHA that the Agency not proceed with rulemaking
for that industry until the Advisory Committee had sufficient time to
completely study the document and provide further recommendations.
Consequently, this rulemaking is limited to general industry and the
maritime industries. The Agency intends to propose to adopt for the
construction industry similar requirements for training the operators
of powered industrial trucks after receiving and taking into account
the recommendations of the ACCOSH.
In developing this proposal, OSHA looked at the training
requirements of the existing national consensus standard for powered
industrial trucks, ANSI B56.1-1993, as well as training requirements
from other standards (both industry and government). The non-training
related requirements of those standards are beyond the scope of this
proposal.
OSHA has not included suggestive language contained at paragraph
4.19.2 of the consensus standard because other enforceable language in
the proposed standard covers the issue. This paragraph states, ``The
operator training program should include the user's policies for the
site where the trainee will operate the truck, the operating conditions
for that location, and the specific truck the trainee will operate. The
training program shall be presented to all new operators regardless of
previous experience.''
The Agency has not adopted the language contained in 4.19.3(a) of
the consensus standard because the responsibility for providing a safe
workplace (including the use of a powered industrial truck) is vested
with the employer under the OSH Act. This paragraph specifies, ``The
primary responsibility of the operator is to use the powered industrial
truck safely following the instructions given in the training
program.''
The consensus standard, at 4.19.4(e) and 4.19.5 specifies the type
of training and the testing that should be conducted, whereas the OSHA
standard leaves the methods of training up to the employer. As
explained elsewhere in this preamble, the employer is responsible for
selecting the methods that are employed to train the operators. In some
circumstances, the employee may be able to gain valuable information
from reading the operators manual for the vehicle. In other
circumstances, the employee may not be able to read and comprehend the
contents of the manual and may have to be shown how to operate the
truck safely.
Many of the other OSHA standards and the consensus standards
specify that some means be used to verify that training was conducted.
Examples of such verification include: (1) Requiring documentation of
the training, (2) the production and retention of lesson plans, (3)
attendance rosters, and (4) the issuance of training certificates. When
refresher or remedial training is specified, these other rules usually
require that a set amount of training be conducted at a regular
interval (for example, a certain number of hours of refresher training
be conducted annually). OSHA is including evaluation by a designated
person and certification that the employee has taken the training and
can competently operate the truck. Course materials also must be kept.
OSHA believes that this is the appropriate method of verification. As
operators vary greatly in the experience and backgrounds and they will
be required to operate different types of vehicles, different types and
amounts of training are necessary and OSHA does not believe it can
specify a rigid curriculum.
This proposed revision of the training requirement found in
Sec. 1910.178(l) for operators of powered industrial trucks and the
imposition of the same requirement for operators of powered industrial
trucks in other industries (construction and maritime) specifies that
the employer develop a complete training program. This program consists
of an evaluation of each potential truck operator and the training of
the potential operator in those subject matters relating to the
operation of the truck, the work environment in which the truck will be
operated and the requirements of the OSHA standard. This training
program also must include a periodic evaluation of the performance of
the operator and refresher or remedial training as necessary. To
maximize the effectiveness of the training, OSHA is proposing to allow
the employer to avoid having to conduct training that is duplicative of
other training the employee has previously received. Finally, the
training provisions would require that the employer certify that the
training and evaluations have been conducted.
At paragraph (1)(i), OSHA specifies that each potential operator of
a powered industrial truck must be capable of performing the duties
that are required of the job after training and appropriate
accommodation. This would include being able to climb onto and off of a
truck, to sit on the vehicle for extended periods of time, and to turn
his or her body to be able to look in the direction of travel when
driving in reverse. Elements of this evaluation may include the
employee having the physical and mental abilities to perform the job.
Information obtained during the initial employee evaluation can be used
to, among other things, determine how best to train the employee. For
example, if the employee cannot read and comprehend the operator's
manuals for the type trucks that the employee will operate, then this
information would have to taught by means other than
[[Page 13795]] having the employee try to read the truck manuals. The
initial evaluation can be useful for the avoidance of duplicative
training.
Paragraph (1)(ii) provides that the employer shall assure that the
employee has received required training, that the employee has been
evaluated and that the potential operator can perform the job
competently. The evaluation must be carried out after the training by a
designated person so that the employer can assure that the potential
operator can perform the duties required of an operator in a competent
manner. The conduct of this evaluation during the training is known as
a practical exercise or a performance test. OSHA believes that only
through evaluation by a knowledgeable person after training can an
employer know that the employee has been adequately trained and can
safely perform the job.
The designated person may be the employer if qualified. A small
business person who has employees may send the employees to an outside
training organization. Alternately, the employer may take or have
training so that the employer is qualified as a designated person.
At paragraph (2), OSHA is proposing to require that the employer
implement a training program for all powered industrial truck
operators. This program would ensure that only trained drivers who have
successfully completed the training program would be allowed to operate
these vehicles. An exception to the rule would allow trainees to
operate powered industrial trucks provided the operation is under the
direct supervision of a designated person and the operation is
conducted where is minimum danger to the trainee or other employees.
OSHA is proposing at paragraph (2)(ii) that the training consist of
a combination of classroom instruction and practical training. The
Agency believes that only by the use of a combination of training
methods will the employee be adequately trained. Although classroom
training is invaluable for the teaching of the principles of vehicle
operation, it is the hands-on training and the evaluation of the
operation of the vehicle that finally proves the adequacy of the
training and the ability of the employee to use that training to
successfully operate a powered industrial truck.
At paragraph (2)(iii), OSHA is proposing to require that all
training be conducted by a designated person. OSHA defines a designated
person as one who has the requisite knowledge, training and experience
to train powered industrial truck operators. As discussed elsewhere in
this preamble, the employer may have the necessary prerequisites to
qualify as a designated person or he or she may assign the training
responsibility to another person (either a knowledgeable employee or an
trainer from outside the company).
To ensure that the training contains the appropriate information
for the operator, OSHA has provided a list of subjects at paragraph
(3). Under this rule, it is the responsibility of the employer to
select the particular items that are pertinent to the type trucks that
the employee will be allowed to operate and the work environment in
which the vehicle will be operated. For example, if the employee will
be allowed to operate an order picker, it is essential that he or she
understand the location and function of the controls, the location and
operation of the powerplant, steering and maneuvering, visibility,
inspection and maintenance and other general operating functions of the
vehicle. Additionally, it is essential that the employee know and
understand that he or she must be restrained from falling when the
platform of the truck is in an elevated position and that the truck
must never be driven when the platform is elevated. Under this proposed
requirement, it is the responsibility of the employer to select those
elements of the training that are necessary for the type vehicle to be
used and the workplace in which that vehicle will be operated. The
employer may leave out elements if the employer can demonstrate that
they are not relevant to safe operation in the employer's workplace.
An additional component of the training program is a continuing
evaluation of the operator. At paragraph (4), OSHA specifies that this
evaluation be conducted on a periodic basis so that the employee
retains and uses the knowledge, skills and abilities that are necessary
for the safe operation of the vehicle. This evaluation need not be
conducted continuously, however, the employer should conduct these
evaluations at intervals that will ensure that the operators have not
forgotten or chosen to disregard their training. This evaluation does
not have to be formalized but must consist of a designated person
observing the operation to ensure that the use of the powered
industrial truck is being conducted safely. OSHA requires that this
evaluation be carried out at least annually.
OSHA is requiring at paragraph (5) that the employer certify that
the required training and evaluations have been conducted. To minimize
the paperwork burden on the employer, OSHA is specifying that the
certification consist of the name of the employee, the date of the
training or evaluation and the signature of the person conducting the
training or evaluation.
Under this paragraph, OSHA also specifies that all the current
training materials used in the conduct of training or the name and
address of the outside trainer, if one is used, be maintained.
At paragraph (6), OSHA is proposing to allow the employer to forgo
that portion of the training that an employee has previously received.
The intent of these provisions is to allow the employer to not have to
train an employee in those phases of the operation of a powered
industrial truck if the employee knows the necessary information and
has been evaluated and has proven to be competent to perform those
duties.
As previously discussed, there are three major areas of
consideration that must be emphasized when conducting a powered
industrial truck training program. These three areas are: (1) The
characteristics, operation and limitations of the vehicles that the
trainee will be authorized to operate, (2) the hazards due to the
characteristics of the workplace in which these vehicles will operate,
and (3) the general safety rules that apply to these vehicles and their
operation.
This proposed rule has been drafted in performance language to
allow reasonable flexibility to the employer for developing the
training program and conducting the training. OSHA recognizes the
inherent differences in the capabilities and limitations of employees,
both to assimilate the training and then to utilize the knowledge that
has been gained. Therefore, the proposed regulation does not limit the
employer by specifying the manner in which the training must be
conducted. Similarly, the specific content of the training course has
not been stated because there are different topics which must be taught
due to variances in the operation of the many makes and models of
vehicles and because there are different hazards in each workplace.
However, OSHA has proposed the various subject matters that should be
covered unless the employer determines they are not relevant to the
employer's vehicle and workplace. Although some areas of concern may
not be pertinent to any one workplace and vehicle, other areas are
pertinent to all vehicles and workplaces.
OSHA believes that a training program needs to be conducted before
the employee begins to operate a vehicle. To this end, OSHA has
required initial training of employees so that they [[Page 13796]] will
acquire the knowledge and skills are necessary for the safe operation
of the powered industrial truck before being allowed to operate the
vehicle without close supervision.
OSHA has left the particulars of the type of training (lecture,
conference, demonstration, practical exercise, test or examination,
etc.) to the employer. The length of the training and other variables
must be based on the employee's experience and other qualifications and
the nature of the work environment. The training must be based upon the
type of vehicles the employee will be allowed to operate, the
conditions that exist in the workplace, the general safety rules from
this OSHA standard, the ability of the trainer to teach, and the
ability of the trainee to learn. The ability of the employee to
assimilate the information presented in the training must be used as
the primary criterion for the length, type and other details of the
training. Since each employee is different in his or her ability to
comprehend, assimilate and use the information received in the
training, OSHA believes that one standardized training course will not
suffice for all employees.
The employer may choose the training provider. This could include
contracting with an outside professional training company to come into
the company and train the powered industrial truck operators or the
employer developing and conducting the training program. In either
case, the employer can choose the method or methods by which the
employees will be trained and when the training is conducted.
The standard requires not only appropriate training but evaluation
of the operators competency by a designated person with the knowledge
to make that evaluation. This is the method that will most accurately
prove that the operator has been trained and that the training has
been, and continues to be, effective. Through observation of the
operation of the vehicle, these questions can be answered.
When a new employee claims prior experience in operating a powered
industrial truck, the employer must ensure that the employee knows how
to operate the vehicle safely. This can be ascertained by questioning
the employee on various aspects of the operation of the truck and by
requiring the operator to demonstrate his or her ability to operate the
vehicle safely through the conduct of a practical exercise.
In making a determination of an employee's claim of sufficient
prior experience, the employer must consider the type of equipment that
this employee professes to have operated, how long ago this experience
was gained, and the type work environment in which the employee worked.
Written documentation of the earlier training is also necessary to
determine that proper training has been given. In addition, the
competency of the employee must be evaluated. Based on the resolution
of these issues, the employer can determine whether the experience is
recent and thorough enough, the documentation complete, and the
competency sufficient to forgo some or much of the initial training.
Some training on the specific factors of the new employees workplace is
always going to be necessary. Again, the major criterion of evaluation
of the employee is: Does the person know how to do the job and does the
vehicle operator use those knowledge, skills and abilities to do the
job safely?
OSHA also is proposing to add two non-mandatory appendices. These
appendices are intended to provide guidance to employers in
establishing a training program (Appendix A) and in understanding to
basic principles of stability (Appendix B). In neither case is the
information contained in these appendices intended to provide a
exhaustive explanation of the techniques of conducting training or of
understanding the principles of stability, but each appendix is
intended to introduce the basic concepts so that the employer can
utilize the material to provide basic training.
VIII. Statutory Considerations
A. Introduction
Section 2(b)(3) of the Occupational Safety and Health Act
authorizes ``the Secretary of Labor to set mandatory occupational
safety and health standards applicable to businesses affecting
interstate commerce'', and section 5(a)(2) provides that ``[e]ach
employer shall comply with occupational safety and health standards
promulgated under this Act'' (emphasis added). Section 3(8) of the OSH
Act (29 U.S.C. 652(8)) provides that ``the term 'occupational safety
and health standard' means a standard which requires conditions, or the
adoption or use of one or more practices, means, methods, operations,
or processes, reasonably necessary or appropriate to provide safe or
healthful employment and places of employment.''
OSHA considers a standard to be ``reasonably necessary or
appropriate'' within the meaning of section 3(8) if it meets the
following criteria:
(1) The standard will substantially reduce a significant risk of
material harm;
(2) Compliance is technologically feasible in the sense that the
protective measures being required already exist, can be brought into
existence with available technology, or can be created with technology
that can reasonably be developed;
(3) Compliance is economically feasible in the sense that industry
can absorb or pass on the costs without major dislocation or threat of
instability; and
(4) The standard is cost effective in that it employs the least
expensive protective measures capable of reducing or eliminating
significant risk. Additionally, safety standards must better effectuate
the Act's protective purpose than any applicable national consensus
standard, must be compatible with prior agency action, must be
responsive to significant comment in the record, and, to the extent
allowed by statute, must be consistent with applicable Executive
Orders. OSHA believes that application of these criteria results in
standards that provide a high degree of worker protection without undue
burden on employers.
OSHA has long interpreted section 3(8) of the OSH Act to require
that, before it promulgates ``a health or safety standard, it must find
that a place of employment is unsafe--in the sense that significant
risks are present and can be eliminated or lessened by a change in
practices [See Industrial Union Dep't, AFL-CIO v. American Petroleum
Inst., 448 U.S. 607, 642 (1980) (plurality) (Benzene).'' When, as
frequently happens in safety rulemaking, OSHA promulgates standards
that differ from existing national consensus standards, it must explain
``why the rule as adopted will better effectuate the purposes of this
Act than the national consensus standard [29 U.S.C. 655(b)(8)].'' Thus,
national consensus standards provide the minimum level of effectiveness
for standards which OSHA may adopt (29 U.S.C. 655(a)).
As a result, OSHA is precluded from regulating insignificant safety
risks or from issuing safety standards that do not lessen risk in a
significant way.
The OSH Act also limits OSHA's discretion to issue overly
burdensome rules, as the agency also has long recognized that ``any
standard that was not economically or technologically feasible would a
fortiori not be `reasonably necessary or appropriate' under the Act.
See Industrial Union Dep't v. Hodgson, [499 F.2d 467, 478 (D.C. Cir.
1974)] (`Congress does not appear to have intended to protect
[[Page 13797]] employees by putting their employers out of business.')
[American Textile Mfrs. Inst. Inc., 452 U.S. at 513 n. 31 (a standard
is economically feasible even if it portends ``disaster for some
marginal firms,'' but it is economically infeasible if it ``threaten[s]
massive dislocation to, or imperil[s] the existence of,'' the
industry)].''
By stating the test in terms of ``threat'' and ``peril,'' the
Supreme Court made clear in ATMI that economic infeasibility begins
short of industry-wide bankruptcy. OSHA itself has placed the line
considerably below this level. (See for example, ATMI, 452 U.S. at 527
n. 50; 43 FR 27,360 (June 23, 1978). Proposed 200 g/m3 PEL for
cotton dust did not raise serious possibility of industry-wide
bankruptcy, but impact on weaving sector would be severe, possibly
requiring reconstruction of 90 percent of all weave rooms. OSHA
concluded that the 200 g/m3 level was not feasible for weaving
and that 750 g/m3 was all that could reasonably be required).
See also 54 FR 29,245-246 (July 11, 1989); American Iron & Steel
Institute, 939 F.2d at 1003. OSHA raised the engineering control level
for lead in small nonferrous foundries to avoid the possibility of
bankruptcy for about half of small foundries even though the industry
as a whole could have survived the loss of small firms.) Although the
cotton dust and lead rulemakings involved health standards, the
economic feasibility ceiling established therein applies equally to
safety standards. Indeed, because feasibility is a necessary element of
a ``reasonably necessary or appropriate'' standard, this ceiling
boundary is the same for health and safety rulemaking since it comes
from section 3(8), which governs all permanent OSHA standards.
All OSHA standards must also be cost-effective in the sense that
the protective measures being required must be the least expensive
measures capable of achieving the desired end (ATMI, at 514 n. 32;
Building and Constr. Trades Dep't AFL-CIO v. Brock, 838 F.2d 1258, 1269
(D.C. Cir. 1988)). OSHA gives additional consideration to financial
impact in setting the period of time that should be allowed for
compliance allowing as much as ten years for compliance phase-in. (See
United Steelworkers of Am. v. Marshall, 647 F.2d 1189, 1278 (D.C. Cir.
1980), cert. denied, 453 U.S. 913 (1981).) Additionally, OSHA's
enforcement policy takes account of financial hardship on an
individualized basis. OSHA's Field Operations Manual provides that,
based on an employer's economic situation, OSHA may extend the period
within which a violation must be corrected after issuance of a citation
(CPL. 2.45B, Chapter III, paragraph E6d(3)(a), Dec. 31, 1990).
To reach the necessary findings and conclusions that a safety
standard substantially reduces a significant risk of harm, is both
technologically and economically feasible, and is cost effective, OSHA
must conduct rulemaking in accord with the requirements of section 6 of
the OSH Act. The regulatory proceeding allows it to determine the
qualitative and, if possible, the quantitative nature of the risk with
and without regulation, the technological feasibility of compliance,
the availability of capital to the industry and the extent to which
that capital is required for other purposes, the industry's profit
history, the industry's ability to absorb costs or pass them on to the
consumer, the impact of higher costs on demand, and the impact on
competition with substitutes and imports. (See ATMI at 2501-2503;
American Iron & Steel Institute generally.)
Finally, general principles of administrative law require the
Agency to justify significant departures from prior practice. (See
International Union, UAW v. Pendergrass, 878 F.2d 389, 400 (D.C.
1989)). In the twenty years since enactment of the OSH Act, OSHA has
promulgated numerous safety standards--standards that provide
benchmarks for judging risks, benefits, and feasibility of compliance
in subsequent rulemakings. (OSHA's Hazardous Waste Operations and
Emergency Response Standard, for example, required use of existing
technology and well accepted safety practices to eliminate at least 32
deaths and 18,700 lost workday injuries at a cost of about $153 million
per year (54 FR 9311-9312; March 6, 1989). The Excavation standard also
drew on existing technology and recognized safety practices to save 74
lives and over 800 lost workday injuries annually at a cost of about
$306 million. (54 FR 45,954; Oct. 31, 1989). OSHA's Grain Handling
Facilities standard relied primarily on simple housekeeping measures to
save 18 lives and 394 injuries annually, at a total net cost of $5.9 to
$33.4 million (52 FR 49,622; Dec. 31, 1991).)
B. The proposed amendment to the standard for the training of
powered industrial truck operators and the promulgation of like
requirements for the construction and maritime industries complies with
the statutory criteria described above.
As explained in Section I, Background, Section II, The Powered
Industrial Truck, Section III, Powered Industrial Truck Hazards,
Section IV, Accident, Injury and Other Data, and Section V, Basis for
Agency Action, earlier in this preamble, and in Section IX, Summary of
the Regulatory Impact and Regulatory Flexibility Analysis and
Environmental Impact Assessment, later in this preamble, OSHA has
determined that the operation of powered industrial trucks by untrained
or inadequately trained operators pose significant risks to employees.
There have been on average 85 fatalities, 34,900 serious injuries and
61,800 non-serious injuries annually since 1981 due to unsafe powered
industrial truck operation. OSHA estimates that compliance with the
revised training requirement for powered industrial truck operator will
reduce the risk of hazards to those operators and other employees by 25
percent (preventing 17 to 22 fatalities, 10,898 to 14,118 serious
injuries and 15,450 non-serious injuries annually). This constitutes a
substantial reduction of significant risk of material harm.
The Agency believes that compliance is technologically feasible
because there exists a current rule for the training of powered
industrial truck operators and the revised regulation specifies in more
detail what is to be taught to those operators, and requires the
employer to institute effective supervisory measures to ensure
continued safe operation of those vehicles. In many companies, the
training of vehicle operators and the subsequent supervisory measures
required by the standard have already been implemented.
Additionally, OSHA believes that compliance is economically
feasible, because, as documented by the Regulatory Impact Analysis, all
regulated sectors can readily absorb or pass on compliance costs.
The standard's costs, benefits, and compliance requirements are
reasonable, amounting to approximately 34.9 million in the first year
and 19.4 million per year thereafter, preventing 17 to 22 fatalities,
10,898 to 14,118 serious injuries and 15,450 non-serious injuries per
year. As explained above, using another definition, OSHA estimates that
it will eliminate between 11,968 and 15,504 lost workday injuries in
addition to the fatalities prevented. These percentages are consistent
with those of other OSHA safety standards.
C. The requirement for the training of powered industrial truck
operators is necessary to address the significant risks of material
harm posed by the operation of those vehicles.
OSHA believes that Section I, Background, Section II, The Powered
Industrial Truck, Section III, Powered [[Page 13798]] Industrial Truck
Hazards, Section IV, Accident, Injury and Other Data, and Section V,
Basis for Agency Action, earlier in this preamble have clearly and
comprehensively set out the Agency's bases for concluding that the
operation of powered industrial trucks by untrained or inadequately
trained employees pose significant risks and that the training of those
operators is reasonably necessary to protect affected employees from
those risks. In particular, as detailed in Section IX, Preliminary
Regulatory Impact and Regulatory Flexibility Analysis and Environmental
Impact Assessment, later in this preamble, OSHA estimates that the
improper operation of powered industrial trucks causes 85 fatalities,
34,902 serious injuries, and 61,800 non-serious injuries annually, and
that revision of and compliance with the requirements of the OSHA
standard for the training of powered industrial truck operators will
reduce the risk of fatality and injury by 25 percent (preventing 17 to
22 fatalities, 10,898 to 14,118 serious injuries and 15,450 non-serious
injuries).
OSHA emphasizes that its risk assessment is based on employee
exposure to the hazards of the operation of powered industrial trucks,
hazards that exists in a large range of industries. Although Section
IX, Preliminary Regulatory Impact and Regulatory Flexibility Analysis
and Environmental Impact Assessment, later in this preamble, presents
OSHA's estimate of the costs and benefits of the revision of the
training requirement in terms of the Standard Industrial Classification
(SIC) codes for the industries regulated, OSHA does not believe that
the risk associated with these hazards vary according to what SIC code
a vehicle may be operated in. Thus, some of the industry categories
within the scope of the final rule that will have compliance costs have
had few or no documented powered industrial truck accidents or injuries
or fatalities during the period covered by the PRIA. In this case, OSHA
has considered developing a scope of the rule to cover those situations
it has determined to be hazardous. As explained more fully below, OSHA
has determined that the lack of prior documented injuries and deaths in
some SIC Codes does not indicate that the employees in those industries
are not exposed to significant risks from the unsafe operation of
powered industrial trucks. As the summary of the PRIA explains in
detail, OSHA has determined that it is appropriate to include those
industries within the scope of the standard because employees in those
industries are exposed to the same kinds of hazards as employees in
industries for which there are reported injuries and fatalities.
Even in industry sectors in which no injuries or fatalities have
been reported, the Agency believes there is sufficient information for
OSHA to determine that employees who work in areas in which powered
industrial trucks are operated or operate those vehicles face
significant risks, based on analysis of the elements of the hazards
identified and of the similarity of hazard elements between industry
sectors. Therefore, the Agency has determined that all employees who
operate those vehicles or work in areas in which those vehicles are
operated face a significant risk of material harm and that compliance
with the powered industrial truck standard is reasonably necessary to
protect affected employees from those risks, regardless of the number
of accidents and injuries reported for the SIC code to which the
employer has been assigned.
Also, because of the difficulties the Agency has experienced in
compiling a database for powered industrial truck accidents, injuries
or fatalities may have occurred in industries, including those for
which no incidents have been documented, without being recorded. In
addition, the SIC code-based organization of incident data may mask
actual or potential hazards of the operation of powered industrial
trucks because, while a business is classified for SIC purposes
according to its principal activity, the workplace may also contain
warehousing areas where materials are stored as a ``secondary''
purpose, that have necessitated the use of powered industrial trucks
with their resultant injuries or fatalities. For example, a new car
dealer would be classified under the new car dealer SIC, even though
the dealer may store a large number of auto accessories, such as tires
and batteries. In many instances, large quantities of items like
batteries are palletized for ease of handling. When these pallets of
material are delivered to the dealer, the items are either removed from
the pallet and handling manually, or the pallet and the material are
moved with some type of powered industrial truck, such as a pallet
jack. Although the workplace is a new car dealer, a powered industrial
truck is in use and an accident would have nothing to do with selling
new cars. Therefore, OSHA believes, based on the limitations of the
accident data and the circumstantial nature of many vehicle accidents,
that it is appropriate to require that employers protect affected
employees from the hazards of vehicle operations in all workplaces
where powered industrial trucks are used, rather than to characterize
workplaces according to the injury or fatality experience of the SIC
codes in which they have been classified.
The Agency also notes that many accidents that occur as a result of
powered industrial truck operations are not classified as an accident
involving a truck. For example, if a powered industrial truck is used
to lift an employee who is standing on the forks of the vehicle and the
employee falls from those forks while aloft, the accident could be
classified as a fall from height or a fall from an elevated platform.
In both instances, the fact that the employee was unsafely taken aloft
on the forks of a powered industrial truck and fell from those forks is
not transferred to the accident report because the accident was
attributed to other causes.
Finally, it is well established in the OSH Act enforcement context
that the lack of injuries or deaths to a particular employer's
employees does not establish that the employees are not exposed to a
hazard. In a frequently quoted passage, the Fifth Circuit long ago
observed that ``the goal of the Act is to prevent the first accident,
not to serve as a source of consolation for the first victim or his
survivors'' (Mineral Industries & Heavy Construction Group v. OSHRC,
639 F.2d 1289, 1294 (5th Cir. 1981)). This principle applies to
regulatory actions as well. Once the agency determines that exposure to
a particular condition constitutes a significant risk, it need not
repeat that analysis for every situation or type of workplace in which
the condition is found.
In addition, those segments with fewer trucks and, consequently
fewer accidents, will have lower costs for training and evaluation.
However, the risk to each individual operator for each year of
operation is approximately the same as in industries with more trucks
and operators. This approach was upheld in International Union, UAW, v.
OSHA, --F. 2d--, (D.C. Circ., October 21, 1994)
For all of the foregoing reasons, OSHA has determined that it is
inappropriate to exclude any of the SICs merely because they have not
recently had documented powered industrial truck injuries or
fatalities, insofar as those SICs contain workplaces where those
vehicles are operated.
D. Conclusion
OSHA has determined that the powered industrial truck standard,
like other safety standards, is subject to the constraints of section
3(8) of the OSH [[Page 13799]] Act, that the standard is ``reasonably
necessary or appropriate to provide safe or healthful employment and
places of employment.'' But the standard is not subject to the section
6(b)(5) requirement that it limit significant risk ``to the extent
feasible.''
The Agency believes that the use of powered industrial trucks in
the workplace by untrained or poorly trained employees poses
significant risks and that the need to require that only properly
trained employees operate those vehicles is reasonably necessary to
protect affected employees from those risks. OSHA also has determined
that compliance with the standard for the training of those operators
is technologically feasible because many companies offer the type
training that the standard would require. In addition, OSHA believes
that compliance is economically feasible, because, as documented by the
Preliminary Regulatory Impact Analysis (Ex. 2), all regulated sectors
can readily absorb or pass on initial compliance costs and economic
benefits will ultimately exceed compliance costs. In particular, the
Agency believes that compliance with the powered industrial truck
training requirement will result in substantial cost savings and
productivity gains at facilities that utilize powered industrial trucks
that might otherwise be disrupted by accidents and injuries.
As detailed in the Summary of the Preliminary Regulatory Impact
Analysis, the standard's costs, benefits, and compliance requirements
are consistent with those of other OSHA safety standards. For example,
the Hazardous Waste Operations and Emergency Response standard (29 CFR
1910.120) requires the use of existing technology and well accepted
safety practices to eliminate at least 32 deaths and 18,700 lost
workday injuries at a cost of about $153 million per year (54 FR 9311-
9312; March 6, 1989). The Excavations standard (29 CFR 1926, Subpart P)
also drew on existing technology and recognized safety practices to
save 74 lives and over 800 lost workday injuries annually at a cost of
about $306 million (54 FR 45,954; Oct. 31, 1989). Additionally, the
Grain Handling Facilities standard (29 CFR 1910.272) relied primarily
on simple housekeeping measures to save 18 lives and 394 injuries
annually, at a total net cost of between $5.9 million and $33.4 million
(52 FR 49,622; Dec. 31, 1987). Also, compliance with the planning, work
practice, and training provisions of the Process Safety Management
standard (29 CFR 1910.119) will reduce the risk of catastrophic fire
and explosion (330 fatalities and 1917 injuries and illnesses annually)
by 80 percent, at an annualized cost of $888.7 million in the first
five years and at an annualized cost of $470.8 million in the following
five years.
IX. Summary of the Preliminary Economic, Feasibility and Regulatory
Flexibility Analyses and Environmental Impact Assessment
A. Introduction
Executive Order 12866 and the Regulatory Flexibility Act require
Federal Agencies to analyze the costs, benefits and other consequences
and impacts of proposed standards and final rules. Consistent with
these requirements, OSHA has prepared a preliminary economic analysis
for the proposed revisions to and adoption of the powered industrial
truck operator training provisions which are proposed in this document.
This analysis includes a description of the industries that would
be affected by the regulation, an assessment of the benefits
attributable to adoption of the proposal, a determination of the
technological feasibility of the proposed revisions, estimation of the
costs of compliance, a determination of the economic feasibility of
compliance with the proposed provisions, and an analysis of the
economic and other impacts of this rulemaking. The Advisory Committee
on Construction Safety and Health is currently reviewing the proposed
rule for applicability to the construction industry and based on the
Advisory Committee's recommendations, OSHA may extend the coverage of
the proposed rule to this sector in the future.
Affected Industries
Using powered industrial truck sales data provided by the
Industrial Truck Association (ITA), OSHA estimates that there are
822,831 industrial trucks in use in industries covered by the proposed
standard. Industries with the largest number of powered industrial
trucks include wholesale trade-non-durable goods (SIC 51) with an
estimated 109,232 powered industrial trucks, and food and kindred
products (SIC 20) with an estimated 71,275 such trucks.
The proposed OSHA revisions will cover workers who operate powered
industrial trucks. This includes operators using these vehicles in the
general industry and maritime sectors. The population-at-risk in
powered industrial truck accidents consists primarily of the operators
of these trucks. Operators of powered industrial trucks include workers
employed as designated truck operators as well as those who might
operate powered industrial truck as part of another job. These
alternate users of powered industrial trucks include shipping and
receiving clerks, order pickers, maintenance personnel, and general
temporary workers. Non-driving workers such as warehousemen, materials
handlers, laborers and pedestrians who work on or are present in the
vicinity of powered industrial trucks are also injured or killed in
powered industrial truck accidents. Estimates of the number of non-
driving employees are not included in the population-at-risk numbers
presented in this economic analysis. However, non-driving employees are
included in the number of preventable fatal and non-fatal injuries
estimated to be associated with compliance with the proposed rule.
OSHA estimates that approximately 1.2 million workers are employed
as industrial truck operators in industries regulated by OSHA.
Industries with the largest number of operators include wholesale trade
(SIC 51) with 163,848 operators, and food and kindred products (SIC 20)
with 106,913 operators.
Technological Feasibility
OSHA could not identify any requirement in the proposed standard
that raises technological feasibility problems for establishments that
use industrial trucks. On the contrary, there is substantial evidence
that establishments can achieve compliance with all requirements using
existing methods and equipment. In addition, the standard introduces no
technological requirements of any type. Therefore, OSHA has
preliminarily concluded that technological feasibility is not an issue
for the proposed standard.
Costs of Compliance
The proposed OSHA industrial truck operator training standard would
expand the initial training required by the existing standard to
include information on the operating instructions and warnings
appropriate to the type of truck used, the specific hazards in the
workplace where the truck will be operated, and instructions pertaining
to the requirements of the OSHA standard. Additionally, the proposed
standard requires employers to monitor the performance of industrial
truck operators through an annual evaluation and to provide remedial
training when this evaluation suggests that such training is needed.
[[Page 13800]]
OSHA estimates that the first year cost of compliance with the
proposed standard will be $34.9 million and that the annual cost of
compliance thereafter will be $19.4 million. Table 12 outlines the
annual costs by each sector affected by the proposed standard. Industry
sectors with the highest estimated annualized compliance costs are
manufacturing, with $9.8 million, and wholesale and retail trade with
$5.6 million. Existing industry practice was taken into consideration
when calculating costs, i.e., where employers have already voluntarily
implemented practices that would be required by the proposed standard,
no cost is attributed to the standard. OSHA welcomes comments on the
preliminary costs and assumptions presented in this Preliminary
Economic Analysis.
Table 12.--Estimated Annualized Compliance Costs for the Proposed Industrial Truck Operator Training Standard
----------------------------------------------------------------------------------------------------------------
Initial Initial Remedial
Sector evaluation training Monitoring training Total
----------------------------------------------------------------------------------------------------------------
Agriculture.............................. $2,457 $28,637 $39,404 $2,251 $72,749
Mininga.................................. 1,109 12,923 17,778 1,016 32,825
Manufacturing............................ 332,222 3,872,651 5,327,726 304,441 9,837,040
Transportation and Utilities............. 91,344 1,064,777 1,464,847 83,706 2,704,674
Wholesale and Retail Trade............... 189,193 2,205,396 3,034,033 173,373 5,601,996
Finance, Insurance, & Real Estate........ 2,607 30,389 41,807 2,389 77,192
Services................................. 37,477 436,859 601,001 34,343 1,109,679
----------------------------------------------------------------------
Total.............................. 656,408 7,651,632 10,526,595 601,519 19,436,154
----------------------------------------------------------------------------------------------------------------
aOil and gas extraction.
Note: Costs are annualized over 10 years at a 7 percent interest rate (annualization factor 0.1424).
Source: US Department of Labor, OSHA, Office of Regulatory Analysis, based on ERG [1, Section 3].
Benefits
An estimated 85 fatalities and 34,902 injuries result annually from
industrial truck-related accidents. As presented in Table 13, OSHA
estimates that full compliance with the proposed standard will prevent
between 17 and 22 of these fatalities per year and between 10,898 and
14,118 lost workday injuries. These preventable fatalities and injuries
are in addition to lives saved and injuries prevented by OSHA's
existing standard.
The proposed standard will also reduce property damage and
training-related litigation. OSHA's preliminary analysis of the impacts
of improved training show reductions in property damage valued at an
estimated $8 million to $42 million annually. In addition, OSHA
estimates that approximately $770,018 will be saved annually in damages
and settlements in court cases that would have been awarded as a result
of injuries caused by deficiencies in industrial truck operator
training.
Table 13.--Number of Fatalities and Injuries Prevented by Compliance With the Proposed Powered Industrial Truck
Training Standard
----------------------------------------------------------------------------------------------------------------
Total Preventable fatalities Total Preventable injuries
number of under proposed standard number of under proposed standard
Industry group industrial -------------------------- industrial -------------------------
truck truck
fatalities Low High injuries Low High
----------------------------------------------------------------------------------------------------------------
Forestry, Fishing and Agricultural
Services......................... 0 0 0 219 68 88
Mining--oil and gas extraction.... 1 0.2 0.3 84 26 34
Manufacturing..................... 30 5.9 7.7 14,895 4,651 6,025
Transportation, communication, and
utilities........................ 20 3.9 5.1 4,265 1,332 1,725
Wholesale and retail trade........ 25 4.9 6.4 12,012 3,751 4,859
Finance, insurance, and real
estate........................... 0 0 0 212 66 86
Services.......................... 9 1.8 2.3 3,215 1,004 1,300
-----------------------------------------------------------------------------
All industries.............. 85 17 22 34,902 10,898 14,118
----------------------------------------------------------------------------------------------------------------
Source: U.S. Department of Labor, OSHA, Office of Regulatory Analysis, based on ERG Report (1, Section 4).
Economic Impacts and Regulatory Flexibility Analysis
OSHA assessed the potential economic impacts of compliance with the
proposed standard and has preliminarily determined that the standard is
economically feasible for all industry groups. Detailed information at
the three-digit SIC level is presented in OSHA's Preliminary Economic
Analysis. When an industry enjoys an inelastic demand for its products,
an increase in operating costs can ordinarily be passed on to
consumers. In this case, the maximum expected price increase is
calculated by dividing the average estimated compliance cost in each
industry by the average revenue for that industry. OSHA estimates that
the average price increase would be negligible, about 0.0002 percent.
Table 14 shows that the average price increase at the two-digit SIC
level would be extremely small. (For impacts at the three-digit SIC
level, see economic analysis, Table V-1). These estimates indicate that
even if all costs were passed on to consumers through price increases,
the proposed standard would have a negligible impact on prices overall.
Given the minuscule price increases necessary to cover the cost of
the proposed training requirements, employers should be able to pass
along compliance costs to customers. However, even if all costs were
absorbed by the affected firms, the average [[Page 13801]] reduction in
profits would be only 0.007 percent. As presented in Table 14, the
largest potential decrease in profits--0.038 percent--would occur in
SIC 51, Nondurable Goods. Because most firms will not find it necessary
to absorb all of the costs from profits and should be able to pass most
if not all of the standard's costs on to consumers, average profits are
not expected to decline to the extent calculated here. OSHA, therefore,
does not expect the revised standard to have a significant economic
impact on affected firms or industries.
Table 14.--Economic Impact of the Proposed Powered Industrial Trucks Operator Training Standard
----------------------------------------------------------------------------------------------------------------
Value of
industry Compliance
shipments, Annualized Compliance costs Pre-tax costs as a
SIC/Industry sector receipts or compliance as a percent of income ($ percent of
sales ($ costs sales millions) pre-tax
millions) income
----------------------------------------------------------------------------------------------------------------
07 Agricultural services.............. NA $72,749 ................ ........... ...........
13 Mining--oil and gas extraction..... $48,178 32,825 Negligible...... ........... ...........
20 Food and kindred products.......... 387,601 1,774,023 0.0005.......... 36,213 0.005
21 Tobacco products................... 32,032 43,951 0.0001.......... (\1\) (\1\)
22 Textile mill products.............. 65,706 384,461 0.0006.......... 5,102 0.008
23 Apparel and other textile products. 65,345 109,656 0.0002.......... 3,548 0.003
24 Lumber and wood products........... 70,569 415,093 0.0006.......... 2,881 0.014
25 Furniture and fixtures............. 40,027 194,006 0.0005.......... 1,942 0.010
26 Paper and allied products.......... 128,824 760,042 0.0006.......... 7,307 0.010
27 Printing, publishing, and allied 156,685 435,959 0.0003.......... 13,171 0.003
industries.
28 Chemicals and allied products...... 292,326 931,407 0.0003.......... 24,169 0.004
29 Petroleum refining and related 158,076 92,786 0.0001.......... 11,193 0.001
industries.
30 Rubber and miscellaneous plastics 100,668 522,973 0.0005.......... 5,366 0.010
products.
31 Leather and leather products....... 9,142 47,059 0.0005.......... (\2\) (\2\)
32 Stone, clay, glass, and concrete 59,611 396,003 0.0007.......... 2,664 0.015
products.
33 Primary metal industries........... 132,837 567,368 0.0004.......... 3,133 0.018
34 Fabricated metal products.......... 157,077 717,423 0.0005.......... 7,660 0.009
35 Industrial and commercial machinery 243,479 900,774 0.0004.......... ........... ...........
and computer equip.
36 Electric and electronic equipment.. 197,880 492,784 0.0002.......... 15,378 0.003
37 Transportation equipment........... 364,032 691,674 0.0002.......... 1,916 0.036
38 Instruments and related equipment.. 127,160 141,176 0.0001.......... 8,326 0.002
39 Miscellaneous manufacturing 37,131 218,423 0.0006.......... 2,418 0.009
industries.
40 Railroad transportation............ 44,422 69,042 0.0002.......... ........... ...........
41 Local, suburban, and interurban 8,094 51,782 0.0006.......... ........... ...........
passenger transit.
42 Trucking and warehousing........... 110,103 1,800,849 0.0016.......... ........... ...........
44 Water transportation............... 18,336 105,655 0.0006.......... ........... ...........
45 Transportation by air.............. 82,055 188,820 0.0002.......... ........... ...........
46 Pipelines, except natural gas...... 2,098 4,707 0.0002.......... ........... ...........
47 Transportation services............ 54,432 156,391 0.0003.......... ........... ...........
48 Communications..................... 232,257 60,673 Negligible...... ........... ...........
49 Electric, gas and sanitary services 292,280 266,754 0.0001.......... ........... ...........
50 Durable goods...................... 981,208 1,335,982 0.0001.......... 4,880 0.027
51 Nondurable goods................... 943,174 2,201,118 0.0002.......... 5,831 0.038
52 Building materials and garden 115,855 426,997 0.0004.......... ........... ...........
supplies.
53 General merchandise stores......... 266,991 683,253 0.0003.......... ........... ...........
54 Food stores........................ 392,400 690,815 0.0002.......... ........... ...........
55 Automatic dealers and service 587,890 67,212 Negligible...... ........... ...........
stations.
56 Apparel and accessory stores....... 106,128 39,537 Negligible...... ........... ...........
57 Furniture and home furnishings 113,673 136,581 0.0001.......... ........... ...........
stores.
58 Eating and drinking places......... 211,036 28,035 Negligible...... ........... ...........
59 Miscellaneous retails.............. 249,463 265,974 0.0001.......... ........... ...........
60 Banking............................ 48,477 15,103 Negligible...... ........... ...........
61 Credit agencies other than banks... 69,148 6,293 Negligible...... ........... ...........
62 Security and commodity brokers and 41,226 5,034 Negligible...... ........... ...........
services.
63 Insurance carriers................. 521,036 27,269 Negligible...... ........... ...........
64 Insurance agents, brokers, and 31,623 2,937 Negligible...... ........... ...........
services.
65 Real estate........................ 96,942 13,425 Negligible...... ........... ...........
67 Holding and other investment 47,301 7,132 Negligible...... ........... ...........
offices.
70 Hotels and other lodging places.... 64,630 13,486 Negligible...... ........... ...........
72 Personal services.................. 59,052 13,486 Negligible...... ........... ...........
78 Motion pictures.................... 43,838 17,164 Negligible...... ........... ...........
79 Amusement and recreation services.. 51,107 25,746 Negligible...... ........... ...........
80 Health services.................... 285,040 72,743 Negligible...... ........... ...........
81 Legal services..................... 96,179 4,495 Negligible...... ........... ...........
82 Educational services............... 4,617 64,569 0.0014.......... ........... ...........
83 Social services.................... 68,312 22,068 Negligible...... ........... ...........
84 Museums, art galleries, botanical 3,551 1,226 Negligible...... ........... ...........
and zoological gardens.
86 Membership organizations........... 39,118 7,765 Negligible...... ........... ...........
87 Engineering, accounting, research 224,238 52,309 Negligible...... ........... ...........
and management svcs.
89 Miscellaneous services, n.e.c...... 23,871 15,938 0.0001.......... ........... ...........
------------------------------------------------------------------------
[[Page 13802]]Totals............. ........... 19,436,154 0.0002.......... ........... 0.007
----------------------------------------------------------------------------------------------------------------
\1\=included under SIC 20.
\2\=included under SIC 23.
Negligible denotes less than 0.00001 percent.
Source: US Department of Labor, OSHA, Office of Regulatory Analysis, based on ERG Report (1, Chapter 6).
In accordance with the Regulatory Flexibility Act of 1980 (5 U.S.C.
601 et seq.), OSHA has also analyzed the economic impact of the
proposed standard on small establishments (19 or fewer employees),
looking particularly for evidence that the rule would have a
significant impact on a substantial number of small entities. Small
businesses will incur lower compliance costs than larger businesses
because the compliance costs depend directly on the number of
industrial truck operators in a given facility. OSHA has preliminarily
concluded that it would not have a significant impact upon a
substantial number of small entities. Assuming a 15 percent turnover
rate, compliance costs for a typical small business in public
warehousing and storage (SIC 422) will be $1,188 in the first year and
$280 annually thereafter. OSHA estimates that the average price impact
for small establishments will not exceed 0.12 percent. Similarly, OSHA
estimates that, if the average establishment could not pass any of
these costs to its customers through this very small price increase (a
highly unlikely scenario), the costs would impact average profits by
less than 1.2 percent. These impacts are judged to be relatively minor;
therefore, the proposed standard is economically feasible for small
establishments.
XI. Environmental Assessment
The proposed rules have been reviewed in accordance with the
requirements of the National Environmental Policy Act (NEPA) of 1969
(42 U.S.C. 4321 et seq.), the regulations of the Council of
Environmental Quality (CEQ) (40 CFR part 1500), and DOL NEPA procedures
(29 CFR part 11). The provision of the standard focuses on the
reduction and avoidance of incidents involving powered industrial
trucks. Consequently, no major negative impact is foreseen on air,
water or soil quality, plant or animal life, the use of land or other
aspects of the environment. Therefore, this revision is categorized as
an excluded action according to subpart B, Sec. 11.10 of the DOL NEPA
regulations.
X. International Trade
This revision of the OSHA standards on powered industrial trucks
and the promulgation of the same standard for other industries is not
likely to have a significant effect on international trade because of
the small magnitude of any price increase that would be required for
passing forward compliance costs. As shown above, the maximum price
increases generated from the proposed rule would be less that 1.0
percent for the majority of affected establishments. Further, none of
the compliance requirements affect the demand for foreign-made safety
equipment. It can be concluded, therefore, that there will be no
measurable impacts on foreign trade.
XII. Federalism
This proposed regulation has been reviewed in accordance with
Executive Order 12612 (52 FR 41685, October 30, 1987), regarding
Federalism. This Order requires that agencies, to the extent possible,
refrain from limiting state policy options, consult with states prior
to taking any actions which would restrict state policy options, and
take such actions only when there is clear constitutional authority and
the presence of a problem of national scope. The Order provides for
preemption of state law only if there is a clear Congressional intent
for the Agency to do so. Any such preemption is to be limited to the
extent possible.
Section 18 of the Occupational Safety and Health Act (OSH Act)
expresses Congress' intent to preempt state laws relating to issues on
which Federal OSHA has promulgated occupational safety and health
standards. Under the OSH Act, a state can avoid preemption in issues
covered by Federal standards only if it submits, and obtains Federal
approval of, a plan for the development of such standards and their
enforcement. Occupational safety and health standards developed by such
Plan states must, among other things, be at least as effective in
providing safe and healthful employment and places of employment as the
Federal standards. When such standards are applicable to products
distributed or used in interstate commerce they may not unduly burden
commerce and must be justified by compelling local conditions.
The Federal proposed standard on powered industrial truck operator
training addresses hazards that are not unique to any one state or
region of the country. Nonetheless, states with occupational safety and
health plans approved under section 18 of the OSH Act will be able to
develop their own state standards to deal with any special problems
which might be encountered in a particular state. Moreover, because
this standard is written in general, performance-oriented terms, there
is considerable flexibility for state plans to require, and for
affected employers to use, methods of compliance which are appropriate
to the working conditions covered by the standard.
In brief, this proposed rule addresses a clear national problem
related to occupational safety and health in general industry. Those
states which have elected to participate under section 18 of the OSH
Act are not preempted by this standard, and will be able to address any
special conditions within the framework of the Federal Act while
ensuring that the state standards are at least as effective as their
standard. State comments are invited on this proposal and will be fully
considered prior to promulgation of a final rule.
XIII. Public Participation
Interested persons are requested to submit written data, views and
arguments concerning this proposal. These comments must be postmarked
by July 12, 1995, and submitted in quadruplicate to the Docket Office;
Docket No. S-008, Room N2624; U.S. Department of Labor, Occupational
Safety and Health Administration; 200 [[Page 13803]] Constitution Ave.,
NW., Washington, DC 20210.
All written comments received within the specified comment period
will be made a part of the record and will be available for public
inspection and copying at the above Docket Office address.
Additionally, under section 6(b)(3) of the OSH Act and 29 CFR
1911.11, interested persons may file objections to the proposal and
request an informal hearing. The objections and hearing requests should
be submitted in quadruplicate to the Docket Office at the above address
and must comply with the following conditions:
1. The objection must include the name and address of the objector;
2. The objections must be postmarked by July 12, 1995;
3. The objections must specify with particularity grounds upon
which the objection is based;
4. Each objection must be separately numbered; and
5. The objections must be accompanied by a detailed summary of the
evidence proposed to be adduced at the requested hearing.
Interested persons who have objections to various provisions or
have changes to recommend may of course make those objections and their
recommendations in their comments and OSHA will fully consider them.
There is only need to file formal ``objections'' separately if the
interested person requests a public hearing.
OSHA recognizes that there may be interested persons who, through
their knowledge of safety or their experience in the operations
involved, would wish to endorse or support certain provisions in the
standard. OSHA welcomes such supportive comments, including any
pertinent accident data or cost information which may be available, in
order that the record of this rulemaking will present a balanced
picture of the public response on the issues involved.
XIV. State Plan Standards
The 25 States with their own OSHA approved occupational safety and
health plans must adopt a comparable standard within six months of the
publication date of the final standard. These States are: Alaska,
Arizona, California, Connecticut (for State and local government
employees only), Hawaii, Indiana, Iowa, Kentucky, Maryland, Michigan,
Minnesota, Nevada, New Mexico, New York (for State and local government
employees only), North Carolina, Oregon, Puerto Rico, South Carolina,
Tennessee, Utah, Vermont, Virginia, Virgin Island, Washington, and
Wyoming. Until such time as a State standard is promulgated, Federal
OSHA will provide interim enforcement assistance, as appropriate, in
those States.
List of Subjects
29 CFR Part 1910
Motor vehicle safety, Occupational safety and health,
Transportation.
29 CFR Part 1915
Motor vehicle safety, Occupational safety and health,
Transportation, Vessels.
29 CFR Part 1917
Marine terminals, Motor vehicle safety, Occupational safety and
health, Vessels.
29 CFR Part 1918
Longshoring, Motor vehicle safety, Occupational safety and health,
Vessels.
XV. Authority
This document was prepared under the direction of Joseph A. Dear,
Assistant Secretary of Labor for Occupational Safety and Health, U.S.
Department of Labor, 200 Constitution Avenue, NW., Washington, DC
20210.
Accordingly, pursuant to section 4, 6(b), 8(c) and 8(g) of the
Occupational Safety and Health Act of 1970 (29 U.S.C. 653, 655, 657),
Secretary of Labor's Order No. 1-90 (55 FR 9033), and 29 CFR part 1911,
it is proposed to amend 29 CFR parts 1910, 1915, 1917, 1918 and 1926 as
set forth below.
Signed at Washington, DC, this 24th day of February, 1995.
Joseph A. Dear,
Assistant Secretary of Labor.
PART 1910--OCCUPATIONAL SAFETY AND HEALTH STANDARDS
1. The authority citation for subpart N of part 1910 would be
revised to read as follows:
Authority: Secs. 4, 6, 8 of the Occupational Safety and Health
Act of 1970 (29 U.S.C. 653, 655, 657); Secretary of Labor's Order
No. 12-71 (36 FR 8754), 8-76 (41 FR 25059), 9-83 (48 FR 35736) or 1-
90 (55 FR 9033), as applicable.
Section 1910.177 also issued under 5 U.S.C. 553 and 29 CFR part
1911.
Sections 1910.176, 1910.178, 1910.179, 1910.183, 1910.184,
1910.189, and 1910.190 also issued under 29 CFR part 1911.
2. Section 1910.178 would be amended by revising paragraph (l) and
by adding appendices A and B at the end of the section to read as
follows:
Sec. 1910.178 Powered industrial trucks.
* * * * *
(l) Operator training.
(1) Operator qualifications. (i) The employer shall ensure that
each potential operator of a powered industrial truck is capable of
performing the duties that are required of the job.
(ii) In determining operator qualifications, the employer shall
ensure that each potential operator has received the training required
by this paragraph (l), that each potential operator has been evaluated
by a designated person while performing the required duties, and that
each potential operator performs those operations competently.
(2) Training program implementation.
(i) The employer shall implement a training program and ensure that
only trained drivers who have successfully completed the training
program are allowed to operate powered industrial trucks. Exception:
Trainees under the direct supervision of a designated person shall be
allowed to operate a powered industrial truck provided the operation of
the vehicle is conducted in an area where other employees are not near
and the operation of the truck is under controlled conditions.
(ii) Training shall consist of a combination of classroom
instruction (Lecture, discussion, video tapes, and/or conference) and
practical training (demonstrations and practical exercises by the
trainee).
(iii) All training and evaluation shall be conducted by a
designated person who has the requisite knowledge, training and
experience to train powered industrial truck operators and judge their
competency.
(3) Training program content. Powered industrial truck operator
trainees shall be trained in the following topics unless the employer
can demonstrate that some of the topics are not needed for safe
operation.
(i) Truck related topics.
(A) All operating instructions, warnings and precautions for the
types of trucks the operator will be authorized to operate;
(B) Similarities to and differences from the automobile;
(C) Controls and instrumentation: location, what they do and how
they work;
(D) Power plant operation and maintenance;
(E) Steering and maneuvering;
(F) Visibility (including restrictions due to loading);
(G) Fork and attachment adaption, operation and limitations of
their utilization;
(H) Vehicle capacity;
(I) Vehicle stability;
(J) Vehicle inspection and maintenance; [[Page 13804]]
(K) Refueling or charging, recharging batteries;
(L) Operating limitations; and
(M) Any other operating instruction, warning or precaution listed
in the operator's manual for the type vehicle which the employee is
being trained to operate.
(ii) Workplace related topics.
(A) Surface conditions where the vehicle will be operated;
(B) Composition of probable loads and load stability;
(C) Load manipulation, stacking, unstacking;
(D) Pedestrian traffic;
(E) Narrow aisles and other restricted places of operation;
(F) Operating in hazardous classified locations;
(G) Operating the truck on ramps and other sloped surfaces that
could affect the stability of the vehicle;
(H) Other unique or potentially hazardous environmental conditions
that exist or may exist in the workplace; and
(I) Operating the vehicle in closed environments and other areas
where insufficient ventilation could cause a buildup of carbon monoxide
or diesel exhaust.
(iii) The requirements of this section.
(4) Evaluation and refresher or remedial training.
(i) Sufficient evaluation and remedial training shall be conducted
so that the employee retains and uses the knowledge, skills and ability
needed to operate the powered industrial truck safely.
(ii) An evaluation of the performance of each powered industrial
truck operator shall be conducted at least annually by a designated
person.
(iii) Refresher or remedial training shall be provided when there
is reason to believe that there has been unsafe operation, when an
accident or a near-miss occurs or when an evaluation indicates that the
operator is not capable of performing the assigned duties.
(5) Certification.
(i) The employer shall certify that each operator has received the
training, has been evaluated as required by this paragraph, and has
demonstrated competency in the performance of the operator's duties.
The certification shall include the name of the trainee, the date of
training, and the signature of the person performing the training and
evaluation.
(ii) The employer shall retain the current training materials and
course outline or the name and address of the person who conducted the
training if it was conducted by an outside trainer.
(6) Avoidance of Duplicative Training.
(i) Each current truck operator who has received training in any of
the elements specified in paragraph (l)(3) of this section for the
types of trucks the employee is authorized to operate and the type
workplace that the trucks are being operated in need not be retrained
in those elements if the employer certifies in accordance with
paragraph (l)(5)(i) of this section that the operator has been
evaluated to be competent to perform those duties.
(ii) Each new truck operator who has received training in any of
the elements specified in paragraph (l)(3) of this section for the
types of trucks the employee will be authorized to operate and the type
of workplace in which the trucks will be operated need not be retrained
in those elements before initial assignment in the workplace if the
employer has written documentation of the training and if the employee
is evaluated pursuant to paragraph (l)(4) of this section to be
competent.
Note to paragraph (l): Appendices A and B at the end of this
section provide non-mandatory guidance to assist employers in
implementing this paragraph (l).
* * * * *
Appendixes to 31910.178
Appendix A--Training of Powered Industrial Truck Operators
(Non-mandatory appendix to paragraph (l) of this section)
A-1. Operator Selection
A-1.1. Prospective operators of powered industrial trucks should be
identified based upon their ability to be trained and accommodated to
perform job functions that are essential to the operation of a powered
industrial truck. Determination of the capabilities of a prospective
operator to fulfill the demands of the job should be based upon the
tasks that the job demands.
A-1.2. The employer should identify all the aspects of the job that
the employee must meet/perform when doing his or her job. These aspects
could include the level at which the employee must see and hear, the
physical demands of the job, and the environmental extremes of the job.
A-1.3. One factor to be considered is the ability of the candidate
to see and hear within reasonably acceptable limits. Included in the
vision requirements are the ability to see at distance and
peripherally. In certain instances, there also is a requirement for the
candidate to discern different colors, primarily red, yellow and green.
A-1.4. The environmental extremes that might be demanded of a
potential powered industrial truck operator include that ability of the
person to work in areas of excessive cold or heat.
A-1.5. After an employee has been trained and appropriate
accommodations have been made, the employer needs to determine whether
the employee can safely perform the job.
A-2. The Method(s) of Training
A-2.1. Among the many methods of training are the lecture,
conference, demonstration, test (written and/or oral) and the practical
exercise. In most instances, a combination of these methods have been
successfully used to train employees in the knowledge, skills and
abilities that are essential to perform the job function that the
employee is being trained to perform. To enhance the training and to
make the training more understandable to the employee, employers and
other trainers have used movies, slides, video tapes and other visual
presentations. Making the presentation more understandable has several
advantages including:
(1) The employees being trained remain more attentive during the
presentation if graphical presentation are used, thereby increasing the
effectiveness of the training;
(2) The use of visual presentations allows the trainer to ensure
that the necessary information is covered during the training;
(3) The use of graphics makes better utilization of the training
time by decreasing the need for the instructor to carry on long
discussions about the instructional material; and
(4) The use of graphics during instruction provides greater
retention by the trainees.
A-3. Training Program Content
A-3.1. Because each type (make and model) powered industrial truck
has different operating characteristics, limitations and other unique
features, an optimum employee training program for powered industrial
truck operators must be based upon the type vehicles that the employee
will be trained and authorized to operate. The training must also
emphasize the features of the workplace which will affect the manner in
which the vehicle must be operated. Finally, the training must include
the general safety rules applicable to the operation of all powered
industrial trucks.
A-3.2. Selection of the methods of training the operators has been
left to the reasonable determination of the employer. Whereas some
employees can assimilate instructional material while seated in a
classroom, other employees may learn best by observing the conduct of
operations (demonstration) and/or by [[Page 13805]] having to
personally conduct the operations (practical exercise). In some
instances, an employee can receive valuable instruction through the use
of electronic mediums, such as the use of video tapes and movies. In
most instances, a combination of the different training methods may
provide the mechanism for providing the best training in the least
amount of time. OSHA has specified at paragraph (l)(2)(ii) of this
section that the training must consist of a combination classroom
instruction and practical exercise. The use of both these modes of
instruction is the only way of assuring that the trainee has received
and comprehended the instruction and can utilize the information to
safely operate a powered industrial truck.
A-4. Initial Training
A-4.1. The following is an outline of a generalized forklift
operator training program:
(1) Characteristics of the powered industrial truck(s) the employee
will be allowed to operate:
(a) Similarities to and differences from the automobile;
(b) Controls and instrumentation: location, what they do and how
they work;
(c) Power plant operation and maintenance;
(d) Steering and maneuvering;
(e) Visibility;
(f) Fork and/or attachment adaption, operation and limitations of
their utilization;
(g) Vehicle capacity;
(h) Vehicle stability;
(i) Vehicle inspection and maintenance;
(j) Refueling or charging, recharging batteries.
(k) Operating limitations.
(l) Any other operating instruction, warning or precaution listed
in the operator's manual for the type vehicle which the employee is
being trained to operate.
(2) The operating environment:
(a) Floor surfaces and/or ground conditions where the vehicle will
be operated;
(b) Composition of probable loads and load stability;
(c) Load manipulation, stacking, unstacking;
(d) Pedestrian traffic;
(e) Narrow aisle and restricted place operation;
(f) Operating in classified hazardous locations;
(g) Operating the truck on ramps and other sloped surfaces which
would affect the stability of the vehicle;
(h) Other unique or potentially hazardous environmental conditions
which exist or may exist in the workplace.
(i) Operating the vehicle in closed environments and other areas
where insufficient ventilation could cause a buildup of carbon monoxide
or diesel exhaust.
(3) The requirements of this OSHA Standard.
A-5. Trainee Evaluation
A-5.1. The provisions of these proposed requirements specify that
an employee evaluation be conducted both as part of the training and
after completion of the training. The initial evaluation is useful for
many reasons, including:
(1) the employer can determine what methods of instruction will
produce a proficient truck operator with the minimum of time and
effort;
(2) the employer can gain insight into the previous training that
the trainee has received; and
(3) a determination can be made as to whether the trainee will be
able to successfully operate a powered industrial truck. This initial
evaluation can be completed by having the employee fill out a
questionnaire, by an oral interview, or by a combination of these
mechanisms. In many cases, answers received by the employee can be
substantiated by contact with other employees or previous employers.
A-6. Refresher or Remedial Training
A-6.1. (The type information listed at paragraph A-6.2 of this
appendix would be used when the training is more than an on-the-spot
correction being made by a supervisor or when there have been multiple
instances of on-the-spot corrections having to be made.) When an on-
the-spot correction is used, the person making the correction should
point out the incorrect manner of operation of the truck or other
unsafe act being conducted, tell the employee how to do the operation
correctly, and then ensure that the employee does the operation
correctly.
A-6.2. The following items may be used when a more general,
structured retraining program is utilized to train employees and
eliminate unsafe operation of the vehicle:
(1) Common unsafe situations encountered in the workplace;
(2) Unsafe methods of operating observed or known to be used;
(3) The need for constant attentiveness to the vehicle, the
workplace conditions and the manner in which the vehicle is operated.
A-6.3. Details about the above subject areas need to be expanded
upon so that the operator receives all the information which is
necessary for the safe operation of the vehicle. Insight into some of
the specifics of the above subject areas may be obtained from the
vehicle manufacturers' literature, the national consensus standards
[e.g. the ANSI B56 series of standards (current revisions)] and this
OSHA Standard.
Appendix B--Stability of Powered Industrial Trucks
(Non-mandatory appendix to paragraph (l) of this section)
B-1. Definitions
To understand the principle of stability, understanding definitions
of the following is necessary:
Center of gravity is that point of an object at which all of the
weight of an object can be considered to be concentrated.
Counterweight is the weight that is a part of the basic structure
of a truck that is used to offset the weight of a load and to maximize
the resistance of the vehicle to tipping over.
Fulcrum is the axis of rotation of the truck when it tips over.
Grade is the slope of any surface that is usually measured as the
number of feet of rise or fall over a hundred foot horizontal distance
(this measurement is designated as a percent).
Lateral stability is the resistance of a truck to tipping over
sideways.
Line of action is an imaginary vertical line through the center of
gravity of an object.
Load center is the horizontal distance from the edge of the load
(or the vertical face of the forks or other attachment) to the line of
action through the center of gravity of the load.
Longitudinal stability is the resistance of a truck to overturning
forward or rearward.
Moment is the product of the weight of the object times the
distance from a fixed point. In the case of a powered industrial truck,
the distance is measured from the point that the truck will tip over to
the line of action of the object. The distance is always measured
perpendicular to the line of action.
Track is the distance between wheels on the same axle of a vehicle.
Wheelbase is the distance between the centerline of the front and
rear wheels of a vehicle.
B-2. General
B-2.1. Stability determination for a powered industrial truck is
not complicated once a few basic principles are understood. There are
many factors that influence vehicle stability. Vehicle wheelbase,
track, height and weight distribution of the load, and the location
[[Page 13806]] of the counterweights of the vehicle (if the vehicle is
so equipped), all contribute to the stability of the vehicle.
B-2.2. The ``stability triangle'', used in most discussions of
stability, is not mysterious but is used to demonstrate truck stability
in rather simple fashion.
B-3. Basic Principles
B-3.1. The determination of whether an object is stable is
dependent on the moment of an object at one end of a system being
greater than, equal to or smaller than the moment of an object at the
other end of that system. This is the same principle on which a see saw
or teeter-totter works, that is, if the product of the load and
distance from the fulcrum (moment) is equal to the moment at the other
end of the device, the device is balanced and it will not move.
However, if there is a greater moment at one end of the device, the
device will try to move downward at the end with the greater moment.
B-3.2. Longitudinal stability of a counterbalanced powered
industrial truck is dependent on the moment of the vehicle and the
moment of the load. In other words, if the mathematic product of the
load moment (the distance is from the front wheels, the point about
which the vehicle would tip forward) the system is balanced and will
not tip forward. However, if the load-moment is greater than the
vehicle-moment, the greater load-moment will force the truck to tip
forward.
B-4. The Stability Triangle
B-4.1. Almost all counterbalanced powered industrial trucks have a
three point suspension system, that is, the vehicle is supported at
three points. This is true even if it has four wheels. The steer axle
of most trucks is attached to the truck by means of a pivot pin in the
center of the axle. This three point support forms a triangle called
the stability triangle when the points are connected with imaginary
lines. Figure 1 depicts the stability triangle.
BILLING CODE 4510-26-P
[[Page 13807]]
[GRAPHIC][TIFF OMITTED]TP14MR95.000
BILLING CODE 4510-26-C
[[Page 13808]]
B-4.2. When the line of action of the vehicle or load-vehicle falls
within the stability triangle, the vehicle is stable and will not tip
over. However, when the line of action of the vehicle or the vehicle/
load combination falls outside the stability triangle, the vehicle is
unstable and may tip over. (See Figure 2.)
BILLING CODE 4510-26-P
[[Page 13809]]
[GRAPHIC][TIFF OMITTED]TP14MR95.001
BILLING CODE 4510-26-C [[Page 13810]]
B-5. Longitudinal Stability
B-5.1. The axis of rotation when a truck tips forward is the point
of contact of the front wheels of the vehicle with the pavement. When a
powered industrial truck tips forward, it is this line that the truck
will rotate about. When a truck is stable the vehicle-moment must
exceed the load-moment. As long as the vehicle-moment is equal to or
exceeds the load-moment, the vehicle will not tip over. On the other
hand, if the load-moment slightly exceeds the vehicle-moment, the truck
will begin the tip forward, thereby causing loss of steering control.
If the load-moment greatly exceeds the vehicle-moment, the truck will
tip forward.
B-5.2. In order to determine the maximum safe load moment, the
truck manufacturer normally rates the truck at a maximum load at a
given distance from the front face of the forks. The specified distance
from the front face of the forks to the line of action of the load is
commonly called a load center. Because larger trucks normally handle
loads that are physically larger, these vehicles have greater load
centers. A truck with a capacity of 30,000 pounds or less capacity is
normally rated at a given load weight at a 24 inch load center. For
trucks of greater than 30,000 pound capacity, the load center is
normally rated at 36 or 48 inch load center distance. In order to
safely operate the vehicle, the operator should always check the data
plate and determine the maximum allowable weight at the rated load
center.
B-5.3. Although the true load moment distance is measured from the
front wheels, this distance is greater than the distance from the front
face of the forks. Calculation of the maximum allowable load moment
using the load center distance always provides a lower load moment than
the truck was designed to handle. When handling unusual loads, such as
those that are larger than 48 inches long (the center of gravity is
greater than 24 inches), with an offset center of gravity, etc., then
calculation of a maximum allowable load moment should be undertaken and
this value used to determine whether a load can be handled. For
example, if an operator is operating a 3,000 pound capacity truck (with
a 24 inch load center), the maximum allowable load moment is 72,000
inch-pounds (3,000 times 24). If a probable load is 60 inches long (30
inch load center), then the maximum weight that this load can weigh is
2,400 pounds (72,000 divided by 30).
B-6. Lateral Stability
B-6.1. The lateral stability of a vehicle is determined by the
position of the line of action (a vertical line that passes through the
combined center of gravity of the vehicle and the load) relative to the
stability triangle. When the vehicle is not loaded, the location of the
center of gravity of the truck is the only factor to be considered in
determining the stability of the truck. As long as the line of action
of the combined center of gravity of the vehicle and the load falls
within the stability triangle, the truck is stable and will not tip
over. However, if the line of action falls outside the stability
triangle, the truck is not stable and may tip over.
B-6.2. Factors that affect the lateral stability of a vehicle
include the placement of the load on the truck, the height of the load
above the surface on which the vehicle is operating, and the degree of
lean of the vehicle.
B-7. Dynamic Stability
B-7.1. Up to this point, we have covered stability of a powered
industrial truck without consideration of the dynamic forces that
result when the vehicle and load are put into motion. The transfer of
weight and the resultant shift in the center of gravity due to the
dynamic forces created when the machine is moving, braking, cornering,
lifting, tilting, and lowering loads, etc., are important stability
considerations.
B-7.2. When determining whether a load can be safely handled, the
operator should exercise extra caution when handling loads that cause
the vehicle to approach its maximum design characteristics. For
example, if an operator must handle a maximum load, the load should be
carried at the lowest position possible, the truck should be
accelerated slowly and evenly, and the forks should be tilted forward
cautiously. However, no precise rules can be formulated to cover all of
these eventualities.
PART 1915--OCCUPATIONAL SAFETY AND HEALTH STANDARDS FOR SHIPYARD
EMPLOYMENT
3. The authority citation for part 1915 would be revised to read as
follows:
Authority: Section 41, Longshore and Harbor Workers'
Compensation Act (33 U.S.C. 941); secs. 4, 6, 8, Occupational Safety
and Health Act of 1970 (29 U.S.C. 653, 655, 657); Secretary of
Labor's Order No. 12-71 (36 FR 8754), 8-76 (41 FR 25059), 9-83 (48
FR 35736) or 1-90 (55 FR 9033), as applicable.
Sections 1915.120 and 1915.152 also issued under 29 CFR part
1911.
4. A new Sec. 1915.120 with appendices A and B would be added to
subpart G to read as follows:
Sec. 1915.120 Powered industrial trucks.
(a) Operator training. (1) Operator qualifications. (i) The
employer shall ensure that each potential operator of a powered
industrial truck is capable of performing the duties that are required
of the job.
(ii) In determining operator qualifications, the employer shall
ensure that each potential operator has received the training required
by this paragraph, that each potential operator has been evaluated by a
designated person while performing the required duties, and that each
potential operator performs those operations competently.
(2) Training program implementation.
(i) The employer shall implement a training program and ensure that
only trained drivers who have successfully completed the training
program are allowed to operate powered industrial trucks. Exception:
Trainees under the direct supervision of a designated person shall be
allowed to operate a powered industrial truck provided the operation of
the vehicle is conducted in an area where other employees are not near
and the operation of the truck is under controlled conditions.
(ii) Training shall consist of a combination of classroom
instruction (Lecture, discussion, video tapes, and/or conference) and
practical training (demonstrations and practical exercises by the
trainee).
(iii) All training and evaluation shall be conducted by a
designated person who has the requisite knowledge, training and
experience to train powered industrial truck operators and judge their
competency.
(3) Training program content. Powered industrial truck operator
trainees shall be trained in the following topics unless the employer
can demonstrate that some of the topics are not needed for safe
operation.
(i) Truck related topics.
(A) All operating instructions, warnings and precautions for the
types of trucks the operator will be authorized to operate;
(B) Similarities to and differences from the automobile;
(C) Controls and instrumentation: location, what they do and how
they work;
(D) Power plant operation and maintenance;
(E) Steering and maneuvering;
(F) Visibility (including restrictions due to loading);
(G) Fork and attachment adaption, operation and limitations of
their utilization; [[Page 13811]]
(H) Vehicle capacity;
(I) Vehicle stability;
(J) Vehicle inspection and maintenance;
(K) Refueling or charging, recharging batteries;
(L) Operating limitations; and
(M) Any other operating instruction, warning or precaution listed
in the operator's manual for the type vehicle which the employee is
being trained to operate.
(ii) Workplace related topics.
(A) Surface conditions where the vehicle will be operated;
(B) Composition of probable loads and load stability;
(C) Load manipulation, stacking, unstacking;
(D) Pedestrian traffic;
(E) Narrow aisles and other restricted places of operation;
(F) Operating in hazardous classified locations;
(G) Operating the truck on ramps and other sloped surfaces that
could affect the stability of the vehicle;
(H) Other unique or potentially hazardous environmental conditions
that exist or may exist in the workplace; and
(I) Operating the vehicle in closed environments and other areas
where insufficient ventilation could cause a buildup of carbon monoxide
or diesel exhaust.
(iii) The requirements of this section.
(4) Evaluation and refresher or remedial training.
(i) Sufficient evaluation and remedial training shall be conducted
so that the employee retains and uses the knowledge, skills and ability
needed to operate the powered industrial truck safely.
(ii) An evaluation of the performance of each powered industrial
truck operator shall be conducted at least annually by a designated
person.
(iii) Refresher or remedial training shall be provided when there
is reason to believe that there has been unsafe operation, when an
accident or a near-miss occurs or when an evaluation indicates that the
operator is not capable of performing the assigned duties.
(5) Certification.
(i) The employer shall certify that each operator has received the
training, has been evaluated as required by this paragraph, and has
demonstrated competency in the performance of the operator's duties.
The certification shall include the name of the trainee, the date of
training, and the signature of the person performing the training and
evaluation.
(ii) The employer shall retain the current training materials and
course outline or the name and address of the person who conducted the
training if it was conducted by an outside trainer.
(6) Avoidance of duplicative training.
(i) Each current truck operator who has received training in any of
the elements specified in paragraph (a)(3) of this section for the
types of trucks the employee is authorized to operate and the type
workplace that the trucks are being operated in need not be retrained
in those elements if the employer certifies in accordance with
paragraph (a)(5)(i) of this section that the operator has been
evaluated to be competent to perform those duties.
(ii) Each new truck operator who has received training in any of
the elements specified in paragraph (a)(3) of this section for the
types of trucks the employee will be authorized to operate and the type
of workplace in which the trucks will be operated need not be retrained
in those elements before initial assignment in the workplace if the
employer has written documentation of the training and if the employee
is evaluated pursuant to paragraph (a)(4) of this section to be
competent.
(b) [Reserved]
Appendixes to Sec. 1915.120
Appendix A--Training of Powered Industrial Truck Operators
(Non-mandatory appendix to paragraph (a) of this section)
A-1. Operator Selection
A-1.1. Prospective operators of powered industrial trucks should be
identified based upon their ability to be trained and accommodated to
perform job functions that are essential to the operation of a powered
industrial truck. Determination of the capabilities of a prospective
operator to fulfill the demands of the job should be based upon the
tasks that the job demands.
A-1.2. The employer should identify all the aspects of the job that
the employee must meet/perform when doing his or her job. These aspects
could include the level at which the employee must see and hear, the
physical demands of the job, and the environmental extremes of the job.
A-1.3. One factor to be considered is the ability of the candidate
to see and hear within reasonably acceptable limits. Included in the
vision requirements are the ability to see at distance and
peripherally. In certain instances, there also is a requirement for the
candidate to discern different colors, primarily red, yellow and green.
A-1.4. The environmental extremes that might be demanded of a
potential powered industrial truck operator include that ability of the
person to work in areas of excessive cold or heat.
A-1.5. After an employee has been trained and appropriate
accommodations have been made, the employer needs to determine whether
the employee can safely perform the job.
A-2. The Method(s) of Training
A-2.1. Among the many methods of training are the lecture,
conference, demonstration, test (written and/or oral) and the practical
exercise. In most instances, a combination of these methods have been
successfully used to train employees in the knowledge, skills and
abilities that are essential to perform the job function that the
employee is being trained to perform. To enhance the training and to
make the training more understandable to the employee, employers and
other trainers have used movies, slides, video tapes and other visual
presentations. Making the presentation more understandable has several
advantages including:
(1) The employees being trained remain more attentive during the
presentation if graphical presentation are used, thereby increasing the
effectiveness of the training;
(2) The use of visual presentations allows the trainer to ensure
that the necessary information is covered during the training;
(3) The use of graphics makes better utilization of the training
time by decreasing the need for the instructor to carry on long
discussions about the instructional material; and
(4) The use of graphics during instruction provides greater
retention by the trainees.
A-3. Training Program Content
A-3.1. Because each type (make and model) powered industrial truck
has different operating characteristics, limitations and other unique
features, an optimum employee training program for powered industrial
truck operators must be based upon the type vehicles that the employee
will be trained and authorized to operate. The training must also
emphasize the features of the workplace which will affect the manner in
which the vehicle must be operated. Finally, the training must include
the general safety rules applicable to the operation of all powered
industrial trucks.
A-3.2. Selection of the methods of training the operators has been
left to the reasonable determination of the employer. Whereas some
employees can assimilate instructional material while seated in a
classroom, other employees may learn best by observing the conduct of
operations (demonstration) and/or by [[Page 13812]] having to
personally conduct the operations (practical exercise). In some
instances, an employee can receive valuable instruction through the use
of electronic mediums, such as the use of video tapes and movies. In
most instances, a combination of the different training methods may
provide the mechanism for providing the best training in the least
amount of time. OSHA has specified at paragraph (a)(2)(ii) of this
section that the training must consist of a combination classroom
instruction and practical exercise. The use of both these modes of
instruction is the only way of assuring that the trainee has received
and comprehended the instruction and can utilize the information to
safely operate a powered industrial truck.
A-4. Initial Training
A-4.1. The following is an outline of a generalized forklift
operator training program:
(1) Characteristics of the powered industrial truck(s) the employee
will be allowed to operate:
(a) Similarities to and differences from the automobile;
(b) Controls and instrumentation: location, what they do and how
they work;
(c) Power plant operation and maintenance;
(d) Steering and maneuvering;
(e) Visibility;
(f) Fork and/or attachment adaption, operation and limitations of
their utilization;
(g) Vehicle capacity;
(h) Vehicle stability;
(i) Vehicle inspection and maintenance;
(j) Refueling or charging, recharging batteries;
(k) Operating limitations;
(l) Any other operating instruction, warning or precaution listed
in the operator's manual for the type vehicle which the employee is
being trained to operate.
(2) The operating environment:
(a) Floor surfaces and/or ground conditions where the vehicle will
be operated;
(b) Composition of probable loads and load stability;
(c) Load manipulation, stacking, unstacking;
(d) Pedestrian traffic;
(e) Narrow aisle and restricted place operation;
(f) Operating in classified hazardous locations;
(g) Operating the truck on ramps and other sloped surfaces which
would affect the stability of the vehicle;
(h) Other unique or potentially hazardous environmental conditions
which exist or may exist in the workplace;
(i) Operating the vehicle in closed environments and other areas
where insufficient ventilation could cause a buildup of carbon monoxide
or diesel exhaust.
(3) The requirements of this OSHA Standard.
A-5. Trainee Evaluation
A-5.1. The provisions of these proposed requirements specify that
an employee evaluation be conducted both as part of the training and
after completion of the training. The initial evaluation is useful for
many reasons, including:
(1) the employer can determine what methods of instruction will
produce a proficient truck operator with the minimum of time and
effort;
(2) the employer can gain insight into the previous training that
the trainee has received; and
(3) a determination can be made as to whether the trainee will be
able to successfully operate a powered industrial truck. This initial
evaluation can be completed by having the employee fill out a
questionnaire, by an oral interview, or by a combination of these
mechanisms. In many cases, answers received by the employee can be
substantiated by contact with other employees or previous employers.
A-6. Refresher or Remedial Training
A-6.1. (The type information listed at paragraph A-6.2 of this
appendix would be used when the training is more than an on-the-spot
correction being made by a supervisor or when there have been multiple
instances of on-the-spot corrections having to be made.) When an on-
the-spot correction is used, the person making the correction should
point out the incorrect manner of operation of the truck or other
unsafe act being conducted, tell the employee how to do the operation
correctly, and then ensure that the employee does the operation
correctly.
A-6.2. The following items may be used when a more general,
structured retraining program is utilized to train employees and
eliminate unsafe operation of the vehicle:
(1) Common unsafe situations encountered in the workplace;
(2) Unsafe methods of operating observed or known to be used;
(3) The need for constant attentiveness to the vehicle, the
workplace conditions and the manner in which the vehicle is operated.
A-6.3. Details about the above subject areas need to be expanded
upon so that the operator receives all the information which is
necessary for the safe operation of the vehicle. Insight into some of
the specifics of the above subject areas may be obtained from the
vehicle manufacturers' literature, the national consensus standards
[e.g. the ANSI B56 series of standards (current revisions)] and this
OSHA Standard.
Appendix B--Stability of Powered Industrial Trucks
(Non-mandatory appendix to paragraph (a) of this section)
B-1. Definitions
To understand the principle of stability, understanding definitions
of the following is necessary:
Center of Gravity is that point of an object at which all of the
weight of an object can be considered to be concentrated.
Counterweight is the weight that is a part of the basic structure
of a truck that is used to offset the weight of a load and to maximize
the resistance of the vehicle to tipping over.
Fulcrum is the axis of rotation of the truck when it tips over.
Grade is the slope of any surface that is usually measured as the
number of feet or rise of fall over a hundred foot horizontal distance
(this measurement is designated as a percent).
Lateral stability is the resistance of a truck to tipping over
sideways.
Line of action is a imaginary vertical line through the center of
gravity of an object.
Load center is the horizontal distance from the edge of the load
(or the vertical face of the forks or other attachment) to the line of
action through the center of gravity of the load.
Longitudinal stability is the resistance of a truck to overturning
forward or rearward.
Moment is the product of the weight of the object times the
distance from a fixed point. In the case of a powered industrial truck,
the distance is measured from the point that the truck will tip over to
the line of action of the object. The distance is always measured
perpendicular to the line of action.
Track is the distance between wheels on the same axle of a vehicle.
Wheelbase is the distance between the centerline of the front and
rear wheels of a vehicle.
B-2. General
B-2.1. Stability determination for a powered industrial truck is
not complicated once a few basic principles are understood. There are
many factors that influence vehicle stability. Vehicle wheelbase,
track, height and weight distribution of the load, and the location
[[Page 13813]] of the counterweights of the vehicle (if the vehicle is
so equipped), all contribute to the stability of the vehicle.
B-2.2. The ``stability triangle'', used in most discussions of
stability, is not mysterious but is used to demonstrate truck stability
in rather simple fashion.
B-3. Basic Principles
B-3.1. The determination of whether an object is stable is
dependent on the moment of an object at one end of a system being
greater than, equal to or smaller than the moment of an object at the
other end of that system. This is the same principle on which a see saw
or teeter-totter works, that is, if the product of the load and
distance from the fulcrum (moment) is equal to the moment at the other
end of the device, the device is balanced and it will not move.
However, if there is a greater moment at one end of the device, the
device will try to move downward at the end with the greater moment.
B-3.2. Longitudinal stability of a counterbalanced powered
industrial truck is dependent on the moment of the vehicle and the
moment of the load. In other words, if the mathematic product of the
load moment (the distance is from the front wheels, the point about
which the vehicle would tip forward) the system is balanced and will
not tip forward. However, if the load-moment is greater than the
vehicle-moment, the greater load-moment will force the truck to tip
forward.
B-4. The Stability Triangle
B-4.1. Almost all counterbalanced powered industrial trucks have a
three point suspension system, that is, the vehicle is supported at
three points. This is true even if it has four wheels. The steer axle
of most trucks is attached to the truck by means of a pivot pin in the
center of the axle. This three point support forms a triangle called
the stability triangle when the points are connected with imaginary
lines. Figure 1 depicts the stability triangle.
BILLING CODE 4510-26-P
[[Page 13814]]
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BILLING CODE 4510-26-C [[Page 13815]]
B-4.2. When the line of action of the vehicle or load-vehicle falls
within the stability triangle, the vehicle is stable and will not tip
over. However, when the line of action of the vehicle or the vehicle/
load combination falls outside the stability triangle, the vehicle is
unstable and may tip over. (See Figure 2.)
BILLING CODE 4510-26-P
[[Page 13816]]
[GRAPHIC][TIFF OMITTED]TP14MR95.003
BILLING CODE 4510-26-P
[[Page 13817]]
B-5. Longitudinal Stability
B-5.1. The axis of rotation when a truck tips forward is the point
of contact of the front wheels of the vehicle with the pavement. When a
powered industrial truck tips forward, it is this line that the truck
will rotate about. When a truck is stable the vehicle-moment must
exceed the load-moment. As long as the vehicle-moment is equal to or
exceeds the load-moment, the vehicle will not tip over. On the other
hand, if the load-moment slightly exceeds the vehicle-moment, the truck
will begin the tip forward, thereby causing loss of steering control.
If the load-moment greatly exceeds the vehicle-moment, the truck will
tip forward.
B-5.2. In order to determine the maximum safe load moment, the
truck manufacturer normally rates the truck at a maximum load at a
given distance from the front face of the forks. The specified distance
from the front face of the forks to the line of action of the load is
commonly called a load center. Because larger trucks normally handle
loads that are physically larger, these vehicles have greater load
centers. A truck with a capacity of 30,000 pounds or less capacity is
normally rated at a given load weight at a 24 inch load center. For
trucks of greater than 30,000 pound capacity, the load center is
normally rated at 36 or 48 inch load center distance. In order to
safely operate the vehicle, the operator should always check the data
plate and determine the maximum allowable weight at the rated load
center.
B-5.3. Although the true load moment distance is measured from the
front wheels, this distance is greater than the distance from the front
face of the forks. Calculation of the maximum allowable load moment
using the load center distance always provides a lower load moment than
the truck was designed to handle. When handling unusual loads, such as
those that are larger than 48 inches long (the center of gravity is
greater than 24 inches), with an offset center of gravity, etc., then
calculation of a maximum allowable load moment should be undertaken and
this value used to determine whether a load can be handled. For
example, if an operator is operating a 3000 pound capacity truck (with
a 24 inch load center), the maximum allowable load moment is 72,000
inch-pounds (3,000 times 24). If a probable load is 60 inches long (30
inch load center), then the maximum weight that this load can weigh is
2,400 pounds (72,000 divided by 30).
B-6. Lateral Stability
B-6.1. The lateral stability of a vehicle is determined by the
position of the line of action (a vertical line that passes through the
combined center of gravity of the vehicle and the load) relative to the
stability triangle. When the vehicle is not loaded, the location of the
center of gravity of the truck is the only factor to be considered in
determining the stability of the truck. As long as the line of action
of the combined center of gravity of the vehicle and the load falls
within the stability triangle, the truck is stable and will not tip
over. However, if the line of action falls outside the stability
triangle, the truck is not stable and may tip over.
B-6.2. Factors that affect the lateral stability of a vehicle
include the placement of the load on the truck, the height of the load
above the surface on which the vehicle is operating, and the degree of
lean of the vehicle.
B-7. Dynamic Stability
B-7.1. Up to this point, we have covered stability of a powered
industrial truck without consideration of the dynamic forces that
result when the vehicle and load are put into motion. The transfer of
weight and the resultant shift in the center of gravity due to the
dynamic forces created when the machine is moving, braking, cornering,
lifting, tilting, and lowering loads, etc., are important stability
considerations.
B-7.2. When determining whether a load can be safely handled, the
operator should exercise extra caution when handling loads that cause
the vehicle to approach its maximum design characteristics. For
example, if an operator must handle a maximum load, the load should be
carried at the lowest position possible, the truck should be
accelerated slowly and evenly, and the forks should be tilted forward
cautiously. However, no precise rules can be formulated to cover all of
these eventualities.
PART 1917--MARINE TERMINALS
5. The authority citation for part 1917 would be revised to read as
follows:
Authority: Section 41, Longshore and Harbor Workers'
Compensation Act (33 U.S.C. 941); secs. 4, 6, 8, Occupational Safety
and Health Act of 1970 (29 U.S.C. 653, 655, 657); Secretary of
Labor's Order No. 12-71 (36 FR 8754), 8-76 (41 FR 25059), 9-83 (48
FR 35736) or 1-90 (55 FR 9033), as applicable.
Section 1917.43 also issued under 29 CFR part 1911.
6. Section 1917.43 would be amended by adding a new paragraph (i)
and by adding appendices A and B at the end of the section to read as
follows:
Sec. 1917.43 Powered industrial trucks.
* * * * *
(i) Operator training.
(1) Operator qualifications. (i) The employer shall ensure that
each potential operator of a powered industrial truck is capable of
performing the duties that are required of the job.
(ii) In determining operator qualifications, the employer shall
ensure that each potential operator has received the training required
by this paragraph, that each potential operator has been evaluated by a
designated person while performing the required duties, and that each
potential operator performs those operations competently.
(2) Training program implementation.
(i) The employer shall implement a training program and ensure that
only trained drivers who have successfully completed the training
program are allowed to operate powered industrial trucks. Exception:
Trainees under the direct supervision of a designated person shall be
allowed to operate a powered industrial truck provided the operation of
the vehicle is conducted in an area where other employees are not near
and the operation of the truck is under controlled conditions.
(ii) Training shall consist of a combination of classroom
instruction (Lecture, discussion, video tapes, and/or conference) and
practical training (demonstrations and practical exercises by the
trainee).
(iii) All training and evaluation shall be conducted by a
designated person who has the requisite knowledge, training and
experience to train powered industrial truck operators and judge their
competency.
(3) Training program content. Powered industrial truck operator
trainees shall be trained in the following topics unless the employer
can demonstrate that some of the topics are not needed for safe
operation.
(i) Truck related topics.
(A) All operating instructions, warnings and precautions for the
types of trucks the operator will be authorized to operate;
(B) Similarities to and differences from the automobile;
(C) Controls and instrumentation: location, what they do and how
they work;
(D) Power plant operation and maintenance;
(E) Steering and maneuvering;
(F) Visibility (including restrictions due to loading);
(G) Fork and attachment adaption, operation and limitations of
their utilization; [[Page 13818]]
(H) Vehicle capacity;
(I) Vehicle stability;
(J) Vehicle inspection and maintenance;
(K) Refueling or charging, recharging batteries;
(L) Operating limitations; and
(M) Any other operating instruction, warning or precaution listed
in the operator's manual for the type vehicle which the employee is
being trained to operate.
(ii) Workplace related topics.
(A) Surface conditions where the vehicle will be operated;
(B) Composition of probable loads and load stability;
(C) Load manipulation, stacking, unstacking;
(D) Pedestrian traffic;
(E) Narrow aisles and other restricted places of operation;
(F) Operating in hazardous classified locations;
(G) Operating the truck on ramps and other sloped surfaces that
could affect the stability of the vehicle;
(H) Other unique or potentially hazardous environmental conditions
that exist or may exist in the workplace; and
(I) Operating the vehicle in closed environments and other areas
where insufficient ventilation could cause a buildup of carbon monoxide
or diesel exhaust.
(iii) The requirements of this section.
(4) Evaluation and refresher or remedial training. (i) Sufficient
evaluation and remedial training shall be conducted so that the
employee retains and uses the knowledge, skills and ability needed to
operate the powered industrial truck safely.
(ii) An evaluation of the performance of each powered industrial
truck operator shall be conducted at least annually by a designated
person.
(iii) Refresher or remedial training shall be provided when there
is reason to believe that there has been unsafe operation, when an
accident or a near-miss occurs or when an evaluation indicates that the
operator is not capable of performing the assigned duties.
(5) Certification.
(i) The employer shall certify that each operator has received the
training, has been evaluated as required by this paragraph, and has
demonstrated competency in the performance of the operator's duties.
The certification shall include the name of the trainee, the date of
training, and the signature of the person performing the training and
evaluation.
(ii) The employer shall retain the current training materials and
course outline or the name and address of the person who conducted the
training if it was conducted by an outside trainer.
(6) Avoidance of duplicative training.
(i) Each current truck operator who has received training in any of
the elements specified in paragraph (i)(3) of this section for the
types of trucks the employee is authorized to operate and the type
workplace that the trucks are being operated in need not be retrained
in those elements if the employer certifies in accordance with
paragraph (i)(5)(i) of this section that the operator has been
evaluated to be competent to perform those duties.
(ii) Each new truck operator who has received training in any of
the elements specified in paragraph (i)(3) of this section for the
types of trucks the employee will be authorized to operate and the type
of workplace in which the trucks will be operated need not be retrained
in those elements before initial assignment in the workplace if the
employer has written documentation of the training and if the employee
is evaluated pursuant to paragraph (i)(4) of this section to be
competent.
Note to paragraph (i): Appendices A and B provide non-mandatory
guidance to assist employers in implementing this paragraph (i).
Appendices to Sec. 1917.43
Appendix A--Training of Powered Industrial Truck Operators
(Non-mandatory appendix to paragraph (i) of this section)
A-1. Operator Selection
A-1.1. Prospective operators of powered industrial trucks should be
identified based upon their ability to be trained and accommodated to
perform job functions that are essential to the operation of a powered
industrial truck. Determination of the capabilities of a prospective
operator to fulfill the demands of the job should be based upon the
tasks that the job demands.
A-1.2. The employer should identify all the aspects of the job that
the employee must meet/perform when doing his or her job. These aspects
could include the level at which the employee must see and hear, the
physical demands of the job, and the environmental extremes of the job.
A-1.3. One factor to be considered is the ability of the candidate
to see and hear within reasonably acceptable limits. Included in the
vision requirements are the ability to see at distance and
peripherally. In certain instances, there also is a requirement for the
candidate to discern different colors, primarily red, yellow and green.
A-1.4. The environmental extremes that might be demanded of a
potential powered industrial truck operator include that ability of the
person to work in areas of excessive cold or heat.
A-1.5. After an employee has been trained and appropriate
accommodations have been made, the employer needs to determine whether
the employee can safely perform the job.
A-2. The Method(s) of Training
A-2.1. Among the many methods of training are the lecture,
conference, demonstration, test (written and/or oral) and the practical
exercise. In most instances, a combination of these methods have been
successfully used to train employees in the knowledge, skills and
abilities that are essential to perform the job function that the
employee is being trained to perform. To enhance the training and to
make the training more understandable to the employee, employers and
other trainers have used movies, slides, video tapes and other visual
presentations. Making the presentation more understandable has several
advantages including:
(1) The employees being trained remain more attentive during the
presentation if graphical presentation are used, thereby increasing the
effectiveness of the training;
(2) The use of visual presentations allows the trainer to ensure
that the necessary information is covered during the training;
(3) The use of graphics makes better utilization of the training
time by decreasing the need for the instructor to carry on long
discussions about the instructional material; and
(4) The use of graphics during instruction provides greater
retention by the trainees.
A-3. Training Program Content
A-3.1. Because each type (make and model) powered industrial truck
has different operating characteristics, limitations and other unique
features, an optimum employee training program for powered industrial
truck operators must be based upon the type vehicles that the employee
will be trained and authorized to operate. The training must also
emphasize the features of the workplace which will affect the manner in
which the vehicle must be operated. Finally, the training must include
the general safety rules applicable to the operation of all powered
industrial trucks.
A-3.2. Selection of the methods of training the operators has been
left to the reasonable determination of the employer. Whereas some
employees can assimilate instructional material while seated in a
classroom, other employees may learn best by observing the conduct
[[Page 13819]] of operations (demonstration) and/or by having to
personally conduct the operations (practical exercise). In some
instances, an employee can receive valuable instruction through the use
of electronic mediums, such as the use of video tapes and movies. In
most instances, a combination of the different training methods may
provide the mechanism for providing the best training in the least
amount of time. OSHA has specified at paragraph (i)(2)(ii) of this
section that the training must consist of a combination classroom
instruction and practical exercise. The use of both these modes of
instruction is the only way of assuring that the trainee has received
and comprehended the instruction and can utilize the information to
safely operate a powered industrial truck.
A-4. Initial Training
A-4.1. The following is an outline of a generalized forklift
operator training program:
(1) Characteristics of the powered industrial truck(s) the employee
will be allowed to operate:
(a) Similarities to and differences from the automobile;
(b) Controls and instrumentation: location, what they do and how
they work;
(c) Power plant operation and maintenance;
(d) Steering and maneuvering;
(e) Visibility;
(f) Fork and/or attachment adaption, operation and limitations of
their utilization;
(g) Vehicle capacity;
(h) Vehicle stability;
(i) Vehicle inspection and maintenance;
(j) Refueling or charging, recharging batteries.
(k) Operating limitations.
(l) Any other operating instruction, warning or precaution listed
in the operator's manual for the type vehicle which the employee is
being trained to operate.
(2) The operating environment:
(a) Floor surfaces and/or ground conditions where the vehicle will
be operated;
(b) Composition of probable loads and load stability;
(c) Load manipulation, stacking, unstacking;
(d) Pedestrian traffic;
(e) Narrow aisle and restricted place operation;
(f) Operating in classified hazardous locations;
(g) Operating the truck on ramps and other sloped surfaces which
would affect the stability of the vehicle;
(h) Other unique or potentially hazardous environmental conditions
which exist or may exist in the workplace.
(i) Operating the vehicle in closed environments and other areas
where insufficient ventilation could cause a buildup of carbon monoxide
or diesel exhaust.
(3) The requirements of this OSHA Standard.
A-5. Trainee Evaluation
A-5.1. The provisions of these proposed requirements specify that
an employee evaluation be conducted both as part of the training and
after completion of the training. The initial evaluation is useful for
many reasons, including:
(1) the employer can determine what methods of instruction will
produce a proficient truck operator with the minimum of time and
effort;
(2) the employer can gain insight into the previous training that
the trainee has received; and
(3) a determination can be made as to whether the trainee will be
able to successfully operate a powered industrial truck. This initial
evaluation can be completed by having the employee fill out a
questionnaire, by an oral interview, or by a combination of these
mechanisms. In many cases, answers received by the employee can be
substantiated by contact with other employees or previous employers.
A-6. Refresher or Remedial Training
A-6.1. (The type information listed in paragraph A-6.2 of this
appendix would be used when the training is more than an on-the-spot
correction being made by a supervisor or when there have been multiple
instances of on-the-spot corrections having to be made.) When an on-
the-spot correction is used, the person making the correction should
point out the incorrect manner of operation of the truck or other
unsafe act being conducted, tell the employee how to do the operation
correctly, and then ensure that the employee does the operation
correctly.
A-6.2. The following items may be used when a more general,
structured retraining program is utilized to train employees and
eliminate unsafe operation of the vehicle:
(1) Common unsafe situations encountered in the workplace;
(2) Unsafe methods of operating observed or known to be used;
(3) The need for constant attentiveness to the vehicle, the
workplace conditions and the manner in which the vehicle is operated.
A-6.3. Details about the above subject areas need to be expanded
upon so that the operator receives all the information which is
necessary for the safe operation of the vehicle. Insight into some of
the specifics of the above subject areas may be obtained from the
vehicle manufacturers' literature, the national consensus standards
[e.g. the ANSI B56 series of standards (current revisions)] and this
OSHA Standard.
Appendix B--Stability of Powered Industrial Trucks
(Non-mandatory appendix to paragraph (i) of this section)
B-1. Definitions
To understand the principle of stability, understanding definitions
of the following is necessary:
Center of Gravity is that point of an object at which all of the
weight of an object can be considered to be concentrated.
Counterweight is the weight that is a part of the basic structure
of a truck that is used to offset the weight of a load and to maximize
the resistance of the vehicle to tipping over.
Fulcrum is the axis of rotation of the truck when it tips over.
Grade is the slope of any surface that is usually measured as the
number of feet of rise of fall over a hundred foot horizontal distance
(this measurement is designated as a percent).
Lateral stability is the resistance of a truck to tipping over
sideways.
Line of action is a imaginary vertical line through the center of
gravity of an object.
Load center is the horizontal distance from the edge of the load
(or the vertical face of the forks or other attachment) to the line of
action through the center of gravity of the load.
Longitudinal stability is the resistance of a truck to overturning
forward or rearward.
Moment is the product of the weight of the object times the
distance from a fixed point. In the case of a powered industrial truck,
the distance is measured from the point that the truck will tip over to
the line of action of the object. The distance is always measured
perpendicular to the line of action.
Track is the distance between wheels on the same axle of a vehicle.
Wheelbase is the distance between the centerline of the front and
rear wheels of a vehicle.
B-2. General
B-2.1. Stability determination for a powered industrial truck is
not complicated once a few basic principles are understood. There are
many factors [[Page 13820]] that influence vehicle stability. Vehicle
wheelbase, track, height and weight distribution of the load, and the
location of the counterweights of the vehicle (if the vehicle is so
equipped), all contribute to the stability of the vehicle.
B-2.2. The ``stability triangle'', used in most discussions of
stability, is not mysterious but is used to demonstrate truck stability
in rather simple fashion.
B-3. Basic Principles
B-3.1. The determination of whether an object is stable is
dependent on the moment of an object at one end of a system being
greater than, equal to or smaller than the moment of an object at the
other end of that system. This is the same principle on which a see saw
or teeter-totter works, that is, if the product of the load and
distance from the fulcrum (moment) is equal to the moment at the other
end of the device, the device is balanced and it will not move.
However, if there is a greater moment at one end of the device, the
device will try to move downward at the end with the greater moment.
B-3.2. Longitudinal stability of a counterbalanced powered
industrial truck is dependent on the moment of the vehicle and the
moment of the load. In other words, if the mathematic product of the
load moment (the distance is from the front wheels, the point about
which the vehicle would tip forward) the system is balanced and will
not tip forward. However, if the load-moment is greater than the
vehicle-moment, the greater load-moment will force the truck to tip
forward.
B-4. The Stability Triangle
B-4.1. Almost all counterbalanced powered industrial trucks have a
three point suspension system, that is, the vehicle is supported at
three points. This is true even if it has four wheels. The steer axle
of most trucks is attached to the truck by means of a pivot pin in the
center of the axle. This three point support forms a triangle called
the stability triangle when the points are connected with imaginary
lines. Figure 1 depicts the stability triangle.
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B-4.2. When the line of action of the vehicle or load-vehicle
falls within the stability triangle, the vehicle is stable and will not
tip over. However, when the line of action of the vehicle or the
vehicle/load combination falls outside the stability triangle, the
vehicle is unstable and may tip over. (See Figure 2.)
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B-5. Longitudinal Stability
B-5.1. The axis of rotation when a truck tips forward is the point
of contact of the front wheels of the vehicle with the pavement. When a
powered industrial truck tips forward, it is this line that the truck
will rotate about. When a truck is stable the vehicle-moment must
exceed the load-moment. As long as the vehicle-moment is equal to or
exceeds the load-moment, the vehicle will not tip over. On the other
hand, if the load-moment slightly exceeds the vehicle-moment, the truck
will begin the tip forward, thereby causing loss of steering control.
If the load-moment greatly exceeds the vehicle-moment, the truck will
tip forward.
B-5.2. In order to determine the maximum safe load moment, the
truck manufacturer normally rates the truck at a maximum load at a
given distance from the front face of the forks. The specified distance
from the front face of the forks to the line of action of the load is
commonly called a load center. Because larger trucks normally handle
loads that are physically larger, these vehicles have greater load
centers. A truck with a capacity of 30,000 pounds or less capacity is
normally rated at a given load weight at a 24 inch load center. For
trucks of greater than 30,000 pound capacity, the load center is
normally rated at 36 or 48 inch load center distance. In order to
safely operate the vehicle, the operator should always check the data
plate and determine the maximum allowable weight at the rated load
center.
B-5.3. Although the true load moment distance is measured from the
front wheels, this distance is greater than the distance from the front
face of the forks. Calculation of the maximum allowable load moment
using the load center distance always provides a lower load moment than
the truck was designed to handle. When handling unusual loads, such as
those that are larger than 48 inches long (the center of gravity is
greater than 24 inches), with an offset center of gravity, etc., then
calculation of a maximum allowable load moment should be undertaken and
this value used to determine whether a load can be handled. For
example, if an operator is operating a 3,000 pound capacity truck (with
a 24 inch load center), the maximum allowable load moment is 72,000
inch-pounds (3,000 times 24). If a probable load is 60 inches long (30
inch load center), then the maximum weight that this load can weigh is
2,400 pounds (72,000 divided by 30).
B-6. Lateral Stability
B-6.1. The lateral stability of a vehicle is determined by the
position of the line of action (a vertical line that passes through the
combined center of gravity of the vehicle and the load) relative to the
stability triangle. When the vehicle is not loaded, the location of the
center of gravity of the truck is the only factor to be considered in
determining the stability of the truck. As long as the line of action
of the combined center of gravity of the vehicle and the load falls
within the stability triangle, the truck is stable and will not tip
over. However, if the line of action falls outside the stability
triangle, the truck is not stable and may tip over.
B-6.2. Factors that affect the lateral stability of a vehicle
include the placement of the load on the truck, the height of the load
above the surface on which the vehicle is operating, and the degree of
lean of the vehicle.
B-7. Dynamic Stability
B-7.1. Up to this point, we have covered stability of a powered
industrial truck without consideration of the dynamic forces that
result when the vehicle and load are put into motion. The transfer of
weight and the resultant shift in the center of gravity due to the
dynamic forces created when the machine is moving, braking, cornering,
lifting, tilting, and lowering loads, etc., are important stability
considerations.
B-7.2. When determining whether a load can be safely handled, the
operator should exercise extra caution when handling loads that cause
the vehicle to approach its maximum design characteristics. For
example, if an operator must handle a maximum load, the load should be
carried at the lowest position possible, the truck should be
accelerated slowly and evenly, and the forks should be tilted forward
cautiously. However, no precise rules can be formulated to cover all of
these eventualities.
PART 1918--SAFETY AND HEALTH REGULATIONS FOR LONGSHORING
7. The authority citation for part 1918 would be revised to read as
follows:
Authority: Section 41, Longshore and Harbor Workers'
Compensation Act (33 U.S.C. 941); secs. 4, 6, 8, Occupational Safety
and Health Act of 1970 (29 U.S.C. 653, 655, 657); Secretary of
Labor's Order No. 12-71 (36 FR 8754), 8-76 (41 FR 25059), 9-83 (48
FR 35736) or 1-90 (55 FR 9033), as applicable. Section 1918.77 also
issued under 29 CFR part 1911.
8. A new Sec. 1918.77 with appendices A and B would be added to
subpart G to read as follows:
Sec. 1918.77 Powered Industrial Trucks.
(a) Operator training.
(1) Operator qualifications. (i) The employer shall ensure that
each potential operator of a powered industrial truck is capable of
performing the duties that are required of the job.
(ii) In determining operator qualifications, the employer shall
ensure that each potential operator has received the training required
by this paragraph, that each potential operator has been evaluated by a
designated person while performing the required duties, and that each
potential operator performs those operations competently.
(2) Training program implementation.
(i) The employer shall implement a training program and ensure that
only trained drivers who have successfully completed the training
program are allowed to operate powered industrial trucks. Exception:
Trainees under the direct supervision of a designated person shall be
allowed to operate a powered industrial truck provided the operation of
the vehicle is conducted in an area where other employees are not near
and the operation of the truck is under controlled conditions.
(ii) Training shall consist of a combination of classroom
instruction (Lecture, discussion, video tapes, and/or conference) and
practical training (demonstrations and practical exercises by the
trainee).
(iii) All training and evaluation shall be conducted by a
designated person who has the requisite knowledge, training and
experience to train powered industrial truck operators and judge their
competency.
(3) Training program content. Powered industrial truck operator
trainees shall be trained in the following topics unless the employer
can demonstrate that some of the topics are not needed for safe
operation.
(i) Truck related topics.
(A) All operating instructions, warnings and precautions for the
types of trucks the operator will be authorized to operate;
(B) Similarities to and differences from the automobile;
(C) Controls and instrumentation: location, what they do and how
they work;
(D) Power plant operation and maintenance;
(E) Steering and maneuvering;
(F) Visibility (including restrictions due to loading);
(G) Fork and attachment adaption, operation and limitations of
their utilization;
(H) Vehicle capacity;
(I) Vehicle stability;
(J) Vehicle inspection and maintenance; [[Page 13825]]
(K) Refueling or charging, recharging batteries;
(L) Operating limitations; and
(M) Any other operating instruction, warning or precaution listed
in the operator's manual for the type vehicle which the employee is
being trained to operate.
(ii) Workplace related topics.
(A) Surface conditions where the vehicle will be operated;
(B) Composition of probable loads and load stability;
(C) Load manipulation, stacking, unstacking;
(D) Pedestrian traffic;
(E) Narrow aisles and other restricted places of operation;
(F) Operating in hazardous classified locations;
(G) Operating the truck on ramps and other sloped surfaces that
could affect the stability of the vehicle;
(H) Other unique or potentially hazardous environmental conditions
that exist or may exist in the workplace; and
(I) Operating the vehicle in closed environments and other areas
where insufficient ventilation could cause a buildup of carbon monoxide
or diesel exhaust.
(iii) The requirements of this section.
(4) Evaluation and refresher or remedial training.
(i) Sufficient evaluation and remedial training shall be conducted
so that the employee retains and uses the knowledge, skills and ability
needed to operate the powered industrial truck safely.
(ii) An evaluation of the performance of each powered industrial
truck operator shall be conducted at least annually by a designated
person.
(iii) Refresher or remedial training shall be provided when there
is reason to believe that there has been unsafe operation, when an
accident or a near-miss occurs or when an evaluation indicates that the
operator is not capable of performing the assigned duties.
(5) Certification.
(i) The employer shall certify that each operator has received the
training, has been evaluated as required by this paragraph, and has
demonstrated competency in the performance of the operator's duties.
The certification shall include the name of the trainee, the date of
training, and the signature of the person performing the training and
evaluation.
(ii) The employer shall retain the current training materials and
course outline or the name and address of the person who conducted the
training if it was conducted by an outside trainer.
(6) Avoidance of Duplicative Training.
(i) Each current truck operator who has received training in any of
the elements specified in paragraph (a)(3) of this section for the
types of trucks the employee is authorized to operate and the type
workplace that the trucks are being operated in need not be retrained
in those elements if the employer certifies in accordance with
paragraph (a)(5)(i) of this section that the operator has been
evaluated to be competent to perform those duties.
(ii) Each new truck operator who has received training in any of
the elements specified in paragraph (a)(3) of this section for the
types of trucks the employee will be authorized to operate and the type
of workplace in which the trucks will be operated need not be retrained
in those elements before initial assignment in the workplace if the
employer has written documentation of the training and if the employee
is evaluated pursuant to paragraph (a)(4) of this section to be
competent.
(b) [Reserved]
Appendixes to Sec. 1918.77
Appendix A--Training of Powered Industrial Truck Operators
(Non-mandatory appendix to paragraph (a) of this section)
A-1. Operator Selection
A-1.1. Prospective operators of powered industrial trucks should be
identified based upon their ability to be trained and accommodated to
perform job functions that are essential to the operation of a powered
industrial truck. Determination of the capabilities of a prospective
operator to fulfill the demands of the job should be based upon the
tasks that the job demands.
A-1.2. The employer should identify all the aspects of the job that
the employee must meet/perform when doing his or her job. These aspects
could include the level at which the employee must see and hear, the
physical demands of the job, and the environmental extremes of the job.
A-1.3. One factor to be considered is the ability of the candidate
to see and hear within reasonably acceptable limits. Included in the
vision requirements are the ability to see at distance and
peripherally. In certain instances, there also is a requirement for the
candidate to discern different colors, primarily red, yellow and green.
A-1.4. The environmental extremes that might be demanded of a
potential powered industrial truck operator include that ability of the
person to work in areas of excessive cold or heat.
A-1.5. After an employee has been trained and appropriate
accommodations have been made, the employer needs to determine whether
the employee can safely perform the job.
A-2. The Method(s) of Training
A-2.1. Among the many methods of training are the lecture,
conference, demonstration, test (written and/or oral) and the practical
exercise. In most instances, a combination of these methods have been
successfully used to train employees in the knowledge, skills and
abilities that are essential to perform the job function that the
employee is being trained to perform. To enhance the training and to
make the training more understandable to the employee, employers and
other trainers have used movies, slides, video tapes and other visual
presentations. Making the presentation more understandable has several
advantages including:
(1) The employees being trained remain more attentive during the
presentation if graphical presentation are used, thereby increasing the
effectiveness of the training;
(2) The use of visual presentations allows the trainer to ensure
that the necessary information is covered during the training;
(3) The use of graphics makes better utilization of the training
time by decreasing the need for the instructor to carry on long
discussions about the instructional material; and
(4) The use of graphics during instruction provides greater
retention by the trainees.
A-3. Training Program Content
A-3.1. Because each type (make and model) powered industrial truck
has different operating characteristics, limitations and other unique
features, an optimum employee training program for powered industrial
truck operators must be based upon the type vehicles that the employee
will be trained and authorized to operate. The training must also
emphasize the features of the workplace which will affect the manner in
which the vehicle must be operated. Finally, the training must include
the general safety rules applicable to the operation of all powered
industrial trucks.
A-3.2. Selection of the methods of training the operators has been
left to the reasonable determination of the employer. Whereas some
employees can assimilate instructional material while seated in a
classroom, other employees may learn best by observing the conduct of
operations (demonstration) and/or by having to personally conduct the
operations (practical exercise). In some instances, an employee can
receive valuable instruction through the use of
[[Page 13826]] electronic mediums, such as the use of video tapes and
movies. In most instances, a combination of the different training
methods may provide the mechanism for providing the best training in
the least amount of time. OSHA has specified at paragraph (a)(2)(ii) of
this section that the training must consist of a combination classroom
instruction and practical exercise. The use of both these modes of
instruction is the only way of assuring that the trainee has received
and comprehended the instruction and can utilize the information to
safely operate a powered industrial truck.
A-4. Initial Training
A-4.1. The following is an outline of a generalized forklift
operator training program:
(1) Characteristics of the powered industrial truck(s) the employee
will be allowed to operate:
(a) Similarities to and differences from the automobile;
(b) Controls and instrumentation: location, what they do and how
they work;
(c) Power plant operation and maintenance;
(d) Steering and maneuvering;
(e) Visibility;
(f) Fork and/or attachment adaption, operation and limitations of
their utilization;
(g) Vehicle capacity;
(h) Vehicle stability;
(i) Vehicle inspection and maintenance;
(j) Refueling or charging, recharging batteries.
(k) Operating limitations.
(l) Any other operating instruction, warning or precaution listed
in the operator's manual for the type vehicle which the employee is
being trained to operate.
(2) The operating environment:
(a) Floor surfaces and/or ground conditions where the vehicle will
be operated;
(b) Composition of probable loads and load stability;
(c) Load manipulation, stacking, unstacking;
(d) Pedestrian traffic;
(e) Narrow aisle and restricted place operation;
(f) Operating in classified hazardous locations;
(g) Operating the truck on ramps and other sloped surfaces which
would affect the stability of the vehicle;
(h) Other unique or potentially hazardous environmental conditions
which exist or may exist in the workplace.
(i) Operating the vehicle in closed environments and other areas
where insufficient ventilation could cause a buildup of carbon monoxide
or diesel exhaust.
(3) The requirements of this OSHA Standard.
A-5. Trainee Evaluation
A-5.1. The provisions of these proposed requirements specify that
an employee evaluation be conducted both as part of the training and
after completion of the training. The initial evaluation is useful for
many reasons, including:
(1) the employer can determine what methods of instruction will
produce a proficient truck operator with the minimum of time and
effort;
(2) the employer can gain insight into the previous training that
the trainee has received; and
(3) a determination can be made as to whether the trainee will be
able to successfully operate a powered industrial truck. This initial
evaluation can be completed by having the employee fill out a
questionnaire, by an oral interview, or by a combination of these
mechanisms. In many cases, answers received by the employee can be
substantiated by contact with other employees or previous employers.
A-6. Refresher or Remedial Training
A-6.1. (The type information listed at paragraph A-6.2 of this
appendix would be used when the training is more than an on-the-spot
correction being made by a supervisor or when there have been multiple
instances of on-the-spot corrections having to be made.) When an on-
the-spot correction is used, the person making the correction should
point out the incorrect manner of operation of the truck or other
unsafe act being conducted, tell the employee how to do the operation
correctly, and then ensure that the employee does the operation
correctly.
A-6.2. The following items may be used when a more general,
structured retraining program is utilized to train employees and
eliminate unsafe operation of the vehicle:
(1) Common unsafe situations encountered in the workplace;
(2) Unsafe methods of operating observed or known to be used;
(3) The need for constant attentiveness to the vehicle, the
workplace conditions and the manner in which the vehicle is operated.
A-6.3. Details about the above subject areas need to be expanded
upon so that the operator receives all the information which is
necessary for the safe operation of the vehicle. Insight into some of
the specifics of the above subject areas may be obtained from the
vehicle manufacturers' literature, the national consensus standards
[e.g. the ANSI B56 series of standards (current revisions)] and this
OSHA Standard.
Appendix B--Stability of Powered Industrial Trucks
(Non-mandatory appendix to paragraph (a) of this section)
B-1. Definitions
To understand the principle of stability, understanding definitions
of the following is necessary:
Center of Gravity is that point of an object at which all of the
weight of an object can be considered to be concentrated.
Counterweight is the weight that is a part of the basic structure
of a truck that is used to offset the weight of a load and to maximize
the resistance of the vehicle to tipping over.
Fulcrum is the axis of rotation of the truck when it tips over.
Grade is the slope of any surface that is usually measured as the
number of feet of rise of fall over a hundred foot horizontal distance
(this measurement is designated as a percent).
Lateral stability is the resistance of a truck to tipping over
sideways.
Line of action is a imaginary vertical line through the center of
gravity of an object.
Load center is the horizontal distance from the edge of the load
(or the vertical face of the forks or other attachment) to the line of
action through the center of gravity of the load.
Longitudinal stability is the resistance of a truck to overturning
forward or rearward.
Moment is the product of the weight of the object times the
distance from a fixed point. In the case of a powered industrial truck,
the distance is measured from the point that the truck will tip over to
the line of action of the object. The distance is always measured
perpendicular to the line of action.
Track is the distance between wheels on the same axle of a vehicle.
Wheelbase is the distance between the centerline of the front and
rear wheels of a vehicle.
B-2. General
B-2.1. Stability determination for a powered industrial truck is
not complicated once a few basic principles are understood. There are
many factors that influence vehicle stability. Vehicle wheelbase,
track, height and weight distribution of the load, and the location of
the counterweights of the vehicle (if the vehicle is so equipped), all
contribute to the stability of the vehicle.
B-2.2. The ``stability triangle'', used in most discussions of
stability, is not [[Page 13827]] mysterious but is used to demonstrate
truck stability in rather simple fashion.
B-3. Basic Principles
B-3.1. The determination of whether an object is stable is
dependent on the moment of an object at one end of a system being
greater than, equal to or smaller than the moment of an object at the
other end of that system. This is the same principle on which a seesaw
or teeter-totter works, that is, if the product of the load and
distance from the fulcrum (moment) is equal to the moment at the other
end of the device, the device is balanced and it will not move.
However, if there is a greater moment at one end of the device, the
device will try to move downward at the end with the greater moment.
B-3.2. Longitudinal stability of a counterbalanced powered
industrial truck is dependent on the moment of the vehicle and the
moment of the load. In other words, if the mathematic product of the
load moment (the distance is from the front wheels, the point about
which the vehicle would tip forward) the system is balanced and will
not tip forward. However, if the load-moment is greater than the
vehicle-moment, the greater load-moment will force the truck to tip
forward.
B-4. The Stability Triangle
B-4.1. Almost all counterbalanced powered industrial trucks have a
three-point suspension system, that is, the vehicle is supported at
three points. This is true even if it has four wheels. The steer axle
of most trucks is attached to the truck by means of a pivot pin in the
center of the axle. This three-point support forms a triangle called
the stability triangle when the points are connected with imaginary
lines. Figure 1 depicts the stability triangle.
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BILLING CODE 4510-26-C [[Page 13829]]
B-4.2. When the line of action of the vehicle or load-vehicle falls
within the stability triangle, the vehicle is stable and will not tip
over. However, when the line of action of the vehicle or the vehicle/
load combination falls outside the stability triangle, the vehicle is
unstable and may tip over. (See Figure 2.)
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B-5. Longitudinal Stability
B-5.1. The axis of rotation when a truck tips forward is the point
of contact of the front wheels of the vehicle with the pavement. When a
powered industrial truck tips forward, it is this line that the truck
will rotate about. When a truck is stable the vehicle-moment must
exceed the load-moment. As long as the vehicle-moment is equal to or
exceeds the load-moment, the vehicle will not tip over. On the other
hand, if the load-moment slightly exceeds the vehicle-moment, the truck
will begin the tip forward, thereby causing loss of steering control.
If the load-moment greatly exceeds the vehicle-moment, the truck will
tip forward.
B-5.2. In order to determine the maximum safe load moment, the
truck manufacturer normally rates the truck at a maximum load at a
given distance from the front face of the forks. The specified distance
from the front face of the forks to the line of action of the load is
commonly called a load center. Because larger trucks normally handle
loads that are physically larger, these vehicles have greater load
centers. A truck with a capacity of 30,000 pounds or less capacity is
normally rated at a given load weight at a 24 inch load center. For
trucks of greater than 30,000 pound capacity, the load center is
normally rated at 36 or 48 inch load center distance. In order to
safely operate the vehicle, the operator should always check the data
plate and determine the maximum allowable weight at the rated load
center.
B-5.3. Although the true load moment distance is measured from the
front wheels, this distance is greater than the distance from the front
face of the forks. Calculation of the maximum allowable load moment
using the load center distance always provides a lower load moment than
the truck was designed to handle. When handling unusual loads, such as
those that are larger than 48 inches long (the center of gravity is
greater than 24 inches), with an offset center of gravity, etc., then
calculation of a maximum allowable load moment should be undertaken and
this value used to determine whether a load can be handled. For
example, if an operator is operating a 3000 pound capacity truck (with
a 24 inch load center), the maximum allowable load moment is 72,000
inch-pounds (3,000 times 24). If a probable load is 60 inches long (30
inch load center), then the maximum weight that this load can weigh is
2,400 pounds (72,000 divided by 30).
B-6. Lateral Stability
B-6.1. The lateral stability of a vehicle is determined by the
position of the line of action (a vertical line that passes through the
combined center of gravity of the vehicle and the load) relative to the
stability triangle. When the vehicle is not loaded, the location of the
center of gravity of the truck is the only factor to be considered in
determining the stability of the truck. As long as the line of action
of the combined center of gravity of the vehicle and the load falls
within the stability triangle, the truck is stable and will not tip
over. However, if the line of action falls outside the stability
triangle, the truck is not stable and may tip over.
B-6.2. Factors that affect the lateral stability of a vehicle
include the placement of the load on the truck, the height of the load
above the surface on which the vehicle is operating, and the degree of
lean of the vehicle.
B-7. Dynamic Stability
B-7.1. Up to this point, we have covered stability of a powered
industrial truck without consideration of the dynamic forces that
result when the vehicle and load are put into motion. The transfer of
wight and the resultant shift in the center of gravity due to the
dynamic forces created when the machine is moving, braking, cornering,
lifting, tilting, and lowering loads, etc., are important stability
considerations.
B-7.2. When determining whether a load can be safely handled, the
operator should exercise extra caution when handling loads that cause
the vehicle to approach its maximum design characteristics. For
example, if an operator must handle a maximum load, the load should be
carried at the lowest position possible, the truck should be
accelerated slowly and evenly, and the forks should be tilted forward
cautiously. However, no precise rules can be formulated to cover all of
these eventualities.
[FR Doc. 95-5826 Filed 3-13-95; 8:45 am]
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