OSHA REGULATION AND FREQUENTLY ASKED QUESTIONS
Table of Contents with Hyperlinks to select data
Powered Industrial Truck Operator Training; Final Rule.
Occupational Safety and Health Administration 29 CFR Parts 1910, 1915, 1917, 1918, and 1926 Powered Industrial Truck Operator Training; Final Rule |
Table of Contents
(Only underlined blue text information is presented and hyperlinked here. Blue text not underlined is presented but not linked. For all other topics click here to access the OSHA website and the actual regulation)
I.
Background
B.
Shipyards
and Marine Cargo Handling
C.
Construction
D.
Development
of the Proposal
II.
Powered Industrial Truck Characteristics
III.
Powered Industrial Truck Hazards
IV.
Studies
of Accident and Injury Data and Training Effectiveness
A.
Accident
and Injury Data
B.
Studies
Measuring the Effectiveness of Powered Industrial Truck Safety Training
Programs
VI.
Training
VII.
The Issues
VIII.
Summary and Explanation of the Final Standard
A.
General
B.
Scope
C.
Safe Operation--Paragraph (l)(1)
D.
Training Program Implementation--Paragraph (l)(2)
E.
Training Program Content--Paragraph (l)(3)
F.
Refresher Training and Evaluation--Paragraph (l)(4)
G.
Avoidance of Duplicative Training--Paragraph (l)(5)
H.
Certification--Paragraph (l)(6)
I.
Compliance Dates--Paragraph (l)(7)
J.
Appendix
IX.
Statutory
Considerations
X.
Economic
Analysis
XI.
Environmental
Impact
XII.
OMB
Review under the Paperwork Reduction Act
XIII.
State
Plan Standards
XIV.
Federalism
and Children's Executive Order
XV.
List
of Subjects
XVI.
Authority
XVII.
Regulatory
Text
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SUMMARY: The Occupational Safety and Health Administration (OSHA) is revising its existing requirements for powered industrial truck operator training (codified at 29 CFR 1910.178(l)) and issuing new requirements to improve the training of these operators. The new requirements are intended to reduce the number of injuries and deaths that occur as a result of inadequate operator training. They apply to all industries (general industry, construction, shipyards, marine terminals, and longshoring operations) in which the trucks are being used, except agricultural operations. These provisions mandate a training program that bases the amount and type of training required on: the operator's prior knowledge and skill; the types of powered industrial trucks the operator will operate in the workplace; the hazards present in the workplace; and the operator's demonstrated ability to operate a powered industrial truck safely. Refresher training is required if: the operator is involved in an accident or a near-miss incident; the operator has been observed operating the vehicle in an unsafe manner; the operator has been determined during an evaluation to need additional training; there are changes in the workplace that could affect safe operation of the truck; or the operator is assigned to operate a different type of truck. Evaluations of each operator's performance are required as part of the initial and refresher training, and at least once every three years. OSHA estimates that this rule will prevent 11 deaths and 9,422 injuries per year. OSHA estimates that the annualized cost of this rule is approximately $16.9 million for all affected industries. DATES: The effective date of this correction is Compliance Dates: The dates by which powered industrial truck operators must be trained and evaluated pursuant to the new standard are shown on the following table. On ADDRESSES: Send petitions for review of the provisions of this
standard to the Associate Solicitor for Occupational Safety and Health;
Office of the Solicitor, Room S-4004; U.S. DEPARTMENT OF LABOR; For additional copies of this publication contact USDOL, OSHA, Office of Publications, Room N3101; 200 Constitution Avenue, N.W.; Washington, D.C. 20210; telephone (202) 219-4667, FAX (202) 219-9266. FOR FURTHER INFORMATION CONTACT: Direct press inquiries to: Bonnie Friedman, Director, Office of Information and Consumer Affairs; OSHA, U.S. DEPARTMENT OF LABOR, Room N3637; 200 Constitution Avenue, N.W., Washington, D.C. 20210; telephone (202) 693-1999, FAX (202) 693-1634. Direct technical inquiries to: Richard Sauger, OSHA, Directorate of Safety Standards Programs, Room N3621; telephone (202) 693-2082; FAX (202)693-1663; Larry Liberatore, OSHA, Office of Maritime Safety Standards, Room N3621; telephone (202) 693-2086; FAX (202) 693-1663; or Laurence Davey; OSHA, Office of Construction Standards and Compliance Assistance, Room N3621; telephone (202) 693-2073; FAX (202) 219-6599, all at U.S. DEPARTMENT OF LABOR, 200 Constitution Avenue, N.W.; Washington, D.C. 20210. I. Background On One of the consensus standards that was adopted under the Section 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 consensus standard was the operator training requirement subsequently codified by OSHA at 29 CFR 1910.178(l). That requirement states: "Only trained and authorized operators shall be permitted to operate a powered industrial truck. Methods 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. Vehicles that were commonly referred to as high lift trucks, counterbalanced trucks, cantilever trucks, rider trucks, forklift 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 are included. Vehicles used for earth moving or over-the-road haulage are excluded from the scope of the consensus standard, and consequently from coverage by the OSHA standard. In a companion Federal Register notice (61 FR 3092), OSHA announced
that a public hearing would be held. The hearing was to cover all industry
sectors. That notice also advised the public that the issues raised in the
construction notice should be considered for general industry and the
shipyard and marine cargo handling industries and invited public comment. The
hearing was held on April 30 through There were 109 commenters who responded to the
proposals outlined above and 22 participants at the public hearing. The
presiding Administrative Law Judge allowed 60 days for post-hearing comments
and an additional 30 days for post-hearing briefs. All comments, transcripts,
and other evidence have been placed in the rulemaking record and are
available for public inspection and copying. The rulemaking record was closed
and certified as complete and final by the Administrative Law Judge on As the following discussion demonstrates, OSHA concludes that upgrading the training requirements for powered industrial truck operators will substantially reduce the significant risk of death and injury caused by the unsafe operation of powered industrial trucks driven by untrained or inadequately trained operators. Updated Consensus Standard Since promulgation of the OSHA safety and health standards in 1971, the consensus standard (ANSI B56.1-1969) (now ASME B56.1) on which the general industry powered industrial truck standard was based has undergone four complete revisions (dated 1975, 1983, 1988, and 1993). The current edition standard, ASME B56.1-1993 (Ex. 3-1), addresses truck operator training as follows. 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 addressing operating safety rules and
practices; (2) provisions of
this Standard in Section 5.5 addressing 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. Since 1971, the national consensus committee has adopted other volumes for specific types of vehicles that fall within the broad definition of a powered industrial truck. Supplementary volumes have been developed and 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. The training provisions OSHA is adopting are performance-oriented and could be applied to operator training for all types of industrial trucks. However, this final rule covers only those types of powered industrial trucks that fall within the scope of 29 CFR 1910.178(a) for general industry, construction, and shipyards. That scope includes some types of powered industrial trucks that have supplementary ASME volumes, such as rough terrain forklift trucks, but does not include earth moving equipment or vehicles for over-the-road haulage, for which ASME has also developed specific volumes. II. Powered Industrial Truck Characteristics The term "powered industrial truck" is defined in the 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." Vehicles that are used for earth moving and over-the-road hauling are excluded. Powered industrial trucks are classified by their manufacturers according to their individual characteristics. 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 Tires). 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 Forklift Trucks (Pneumatic Tires). Each of the different types of powered industrial trucks has its own unique characteristics and some inherent hazards. To be most effective, training must address the unique characteristics of the type of vehicle(s) the employee is being trained to operate. Powered industrial trucks may operate on almost any type of surface, from smooth and level floors to rocky, uneven ground, provided they were manufactured to operate on that type of floor or ground and the surface does not have an excessive slope. For example, construction forklift trucks (most commonly, those that are classified as Class 7, rough terrain forklifts) are more often operated on uneven, ungraded terrain than is the case for trucks in other industries. Different trucks are designed and manufactured to operate in different work environments. Some powered industrial trucks are used for moving material in a particular type of workplace. For example, high lift trucks can be used to raise loads up to 30 or 40 feet above the ground, deposit the material on a rack, mezzanine, roof under construction, scaffold, or another elevated location, and subsequently retrieve and lower the material. Some vehicles are used to raise a palletized load just a few inches above the floor and move that load to another location in a warehouse or other indoor workplace. Powered industrial trucks can be equipped with, or can be modified to accept, attachments that permit the truck to move odd-shaped material or carry out tasks that may not have been envisioned when the truck was designed and manufactured. Many of these attachments are added to or installed on the vehicle by the dealer or the employer. For example, there are powered industrial truck attachments for grasping barrels or drums of material. Some of these attachments not only grasp a barrel or drum but allow the vehicle operator to rotate the barrel or drum to empty it or lay it on its side. 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: (ii) Modifications and additions which affect capacity and safe operation shall not be performed by the customer or user without manufacturer's prior written approval. Capacity, operation, and maintenance instruction plates, tags, or decals shall be changed accordingly. Note: A similar provision for construction is contained at Sec. 1926.602(c)(1)(ii). When a powered industrial truck is used with specialized attachments, or when the truck is used for hazardous operations (such as when the truck is used to lift people), operator training must include instruction on the safe conduct of those operations so that the operator knows and understands the restrictions or limitations imposed on vehicle operation in these situations. III. Powered Industrial Truck Hazards Powered industrial trucks are used in almost all industries. They can be used to move, raise, lower, or remove large objects or a number of smaller objects on pallets or in boxes, crates, or other containers. Because 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 commonly associated with powered industrial trucks vary for different vehicle types, makes, and models. Each type of truck presents different operating hazards. For example, a sit-down, counterbalanced high lift rider truck is more likely than a motorized hand truck to be involved in a falling load accident, because the sit- down rider trucks can lift a load much higher than can a hand truck. The method or means to prevent an accident and to protect employees from injury varies for different types of trucks. For example, operators of sit-down rider trucks are often injured in tipover accidents when they attempt to jump clear of the vehicle as it tips over. Because the operator's natural tendency is to jump downward, he or she lands on the floor or ground and is then crushed by the vehicle's overhead guard. Therefore, operators of sit-down trucks need to be trained to remain in the operator's position in a tipover accident and to lean away from the direction of fall to minimize the potential for injury. On the other hand, when a stand-up rider truck tips over, the truck operator can exit the vehicle by simply stepping backward, perpendicular to the direction of the vehicle's fall, to avoid being crushed. In this situation, the operator usually should attempt to jump clear of the vehicle, and should be trained accordingly. Driving a powered industrial truck at excessive speed can result in loss of control, causing the vehicle to skid, tip over, or fall off a loading dock or other elevated walking or working surface. This condition can be made more dangerous because the load being carried sometimes partially obscures the operator's vision. A vehicle that is out of control or being operated by a driver whose view in the direction of travel is restricted can strike an employee, run into a column or other part of the building, or strike stored material, causing the material to topple and injure employees in the area. Effective driver training teaches operators to act properly to minimize these hazards to themselves and other employees. Other characteristics of a powered industrial truck that affect safe truck operation are: the truck's tendency to become unstable; its ability to carry loads high off the ground; and its characteristic mode of steering, i.e., with the rear wheels while being powered by the front wheels. Moving loads upward, downward, forward, and backward causes a shift of the center of gravity and can adversely affect the vehicle's 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. Training also is needed to avoid accidents that can be caused by these characteristics. To reduce the instability hazard caused by the shifting of the material being handled, the ANSI B56.1-1969 standard had seven provisions that addressed proper operation of a powered industrial truck. Knowledge of these principles, as well as the requirements of the OSHA standard, are essential for safe vehicle operation: 604 Q. 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. 605 A. Only stable or safely arranged loads shall be handled. Caution shall be exercised when handling off-center loads which cannot be centered. 605 B. Only loads within the rated capacity of the truck shall be handled. 605 C. The long or high (including multiple-tiered) loads which may affect capacity shall be adjusted. 605 D. Trucks equipped with attachments shall be operated as partially loaded trucks when not handling a load. 605 E. 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. 605 F. 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 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. Note: The corresponding provisions appear at Secs. 1910.178(n)(15) and (o)(1) through (o)(6) of the general industry standard and are also incorporated by reference in part 1926. The hazards addressed in this final rule are those associated with industrial trucks in general, as well as those posed by specific makes or models of truck. Each powered industrial truck has distinct characteristics that make its operation different from the operation of other trucks. Therefore, operators must know how these differences affect safe truck operation. The workplaces where these trucks are being used also present a variety of different hazards. The safety of industrial truck operations can be decreased by workplace conditions such as rough, uneven, or sloped surfaces; unusual loads; hazardous areas; narrow aisles, blind spots, or intersections; and pedestrian traffic or employees working close to the path of travel. Finally, there are hazardous work practices that relate to all trucks, including driving at excessive speed, poor loading, and carrying unauthorized passengers. In addition, poor truck maintenance can contribute to accidents. The record contains evidence of many accidents that have occurred because of unsafe truck operation, as discussed below. For example, employees have fallen from trucks while using them to change light bulbs on overhead fixtures or riding on the forks to manually retrieve items from high racks. Many accidents have occurred when an operator has attempted to drive with an obstructed view in the direction of travel and has run into another employee. Improper truck maintenance has caused death from over exposure to carbon monoxide, loss of brakes, or rupture of hydraulic lines. As the above discussion indicates, it is not possible to identify all the hazards that are encountered in all industrial truck operations. Accordingly one cannot develop a single "generic" training program that covers in detail all hazards for all powered industrial trucks and all workplaces. Four major areas of concern need to be addressed in an effective powered industrial truck training program: (1) the general hazards that apply to the operation of all or most powered industrial trucks; (2) the hazards associated with the operation of particular types of trucks; (3) the hazards of workplaces generally; and (4) the hazards of the particular workplace where the vehicle operates. The requirements that OSHA is promulgating are performance-oriented to permit employers to tailor a training program to the characteristics of their workplaces and the particular types of powered industrial trucks operated. OSHA concludes that, as the above discussion indicates, there are sufficient data and information on which to base a revision of the existing standard for powered industrial truck operator training. The data indicate that a substantial number of fatalities and injuries result from industrial truck accidents in all industries. Studies indicate that better training would substantially reduce the number of accidents that result in fatalities and serious injuries. OSHA concludes that adherence to these new powered industrial truck operator training requirements will prevent 11 fatalities and 9422 injuries annually that result from accidents involving powered industrial trucks. (See also the analysis of benefits in the Final Economic Analysis section and the analysis of substantial reduction of significant risk in the Statutory Considerations section, below.) OSHA further concludes that this improved operator training standard is needed to reduce powered industrial truck injuries and fatalities in maritime (including shipyards, marine terminals, and longshoring), construction, and general industry. As noted above, OSHA's Office of Data Analysis found that about 11.5 percent of the fatalities that occurred in marine terminals between 1975 and 1984 were attributable to the use of powered industrial trucks. Additionally, an OSHA-sponsored contractor study found that 28.1 percent of the fatalities that occurred in the marine cargo handling industries were forklift-related. This is much higher than the percentage of such fatalities occurring in general industry. Clearly, these numbers indicate the need to ensure better powered industrial truck operator training in the marine cargo handling industries covered by this final standard. OSHA has not specifically analyzed truck-related fatalities in the shipyard industry, but believes that the accident experience in shipyards is likely to be similar to that in manufacturing. In the study of the OSHA Fatality/Catastrophe reports that was previously discussed, 25 of the 208 accidents (about 12 percent) that were reported on the OSHA Form 170 occurred in the construction industry. OSHA has determined that there are approximately 46,456 powered industrial trucks in use in construction. This is less than 5 percent of the total 998,671 powered industrial trucks in use. Although the number of powered industrial trucks in use in the construction industry is less than 5 percent of the total number of such vehicles, accidents involving them account for about 12 percent of the total number of construction accidents reported on the OSHA Form 170. In addition, OSHA's Final Economic Analysis estimates that there were, on average, 16 powered industrial truck related fatalities and 2,380 injuries per year in the construction industry. This also indicates that fatality and injury rates are higher per truck user in the construction industry than in general industry. Accordingly, OSHA concludes that these high accident rates justify covering the construction industry with a better training standard. (See also the discussion of scope, below.) Many actions taken by other organizations also point to the need to address the hazards posed by unsafe operation of powered industrial trucks: the voluntary consensus standard on this subject has been updated several times since OSHA adopted 29 CFR 1910.178 in 1971; OSHA has been petitioned to improve the requirements for industrial truck training; the Advisory Committee on Construction Safety and Health has recommended improving the standard; and resolutions have been introduced in the Senate and House urging OSHA to revise its outdated powered industrial truck operator training standards. Training provides a person with the necessary specialized instruction and practice to become proficient at a particular task. Training is the means by which an employer ensures that employees have the knowledge and skills they need to do their jobs correctly and safely. The alternative to formal training is learning by trial and error, an approach that results in an inadequate knowledge base and relies on mistakes (which often involve accidents, injuries, and near- miss incidents) for learning to occur. Reliance on this approach would create a greater chance of injuries and fatalities. After employees have received initial training, acquired the basic knowledge, and perfected their operating skills, the employer may rely on refresher training to reinforce or improve the employee's knowledge of the basic training material; to impart new information; to teach material in a new manner; or simply to maintain an acceptable level of awareness of workplace conditions, operating hazards, and truck-related characteristics. There are several approaches to assembling the necessary materials and methods for an effective training program. One approach is to make use of existing literature and model programs already developed. Another approach is to look at problems that occur during ongoing operations and identify what an operator must know to avoid or otherwise minimize the potential for an accident due to those problems. A third approach to developing a training program is to analyze the accidents that have occurred and develop a training program that will minimize the potential for a recurrence of the conditions that caused the accident. A problem with this third method of program development is that it is reactive rather than proactive, i.e., tends to emphasize the problems that have caused an accident (the training is in reaction to an accident). By contrast, proactive training teaches employees to prevent accidents rather than waiting for accidents to occur before recognizing the need for the training and determining what the scope and content of the training should be. According to one hearing participant, a professional trainer (Tr. p. 129): In principle we are in support of the proposed training rule. The key issue
as we see it is that any prescribed training has to be both effective and
efficient. Our viewpoint is that the need for prevention of accidents among
lift truck operators is not arguable but we also believe that the current
rule is ineffective. Additionally, our view is that the final rule must use
what is at this time, common knowledge among the professional training
community in the Another benefit of proactive training is that the person observing the worksite and the work being conducted to develop a training program for powered industrial truck operators may identify other problems in the workplace and offer solutions to those problems. Identifying and resolving these other problems can reduce the total number and/or severity of accidents in the workplace, not only those related to powered industrial truck use but also those associated with other workplace activities. According to another hearing participant (Tr. p. 425): Our processes include an evaluation of the facility and recommendations for improvement. We do not pass a problem within a company without trying to correct that problem before the training is implemented. The training requirements in the final rule reflect all three approaches discussed above. They require training in specific topics unless a particular topic is not relevant to the types of vehicles or the employer's workplace. They require the training to address topics specific to the employer's workplace and to cover information learned from accidents or near-misses that have occurred in the employer's workplace. As discussed below, OSHA believes that this approach will result in operator training that is most effective in reducing truck- related deaths and injuries. The topics OSHA requires to be covered in the training mandated by this standard can also be used to evaluate the effectiveness of a powered industrial truck operator's training. For example, an employer can use the list of required topics to determine what should be taught and then compare that with what is being taught. In this manner, employers can ensure that the training is appropriate for the types of trucks being used and the conditions in the workplace that affect the safe operation of those trucks. Training comes in many forms. It may be as simple and informal as a supervisor discussing the correct way to operate a vehicle, correcting an error in the way an employee is doing a job, or showing an employee how to perform a particular task properly. Alternatively, training may consist of detailed, structured instruction using formal training methods (e.g., lectures, formal demonstrations, practical exercises, examinations, etc.). Formal training is usually used to provide trainees with a large amount of information. OSHA believes, and the record confirms, that a combination of training methods is most effective in training powered industrial truck operators. For the most part, employees do not start out with the knowledge and skills they need to operate a powered industrial truck safely. Although many employees selected or assigned to operate powered industrial trucks are licensed to drive automobiles, there are enough differences between these two types of vehicles and their operation to require additional knowledge and skills to operate a powered industrial truck safely. For example, industrial trucks, compared with cars, have limited forward visibility when carrying a large load, have rear wheel steering and front wheel drive, have different centers of gravity and balance, have different control configurations, and can carry heavy loads with the weight concentrated at one end of the vehicle. Employees need formal training and practice to gain the knowledge and to master the skills they need to safely operate powered industrial trucks with these characteristics. Effective employee training and supervision also can lessen the frequency with which employees perform 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. This, in turn, reduces the frequency and severity of accidents. Another case where training can prevent accidents or lessen their severity is when powered industrial trucks travel with an elevated load. Effective operator training must emphasize that the operator moves the vehicle only when the load is at its lowest practical point. In addition, even if a sit-down rider truck operator fails to follow this practice and the vehicle tips over, both the chance and severity of injury are reduced if the operator is trained to stay with the vehicle and lean away from the direction of fall. When a sit-down rider truck tips over and the operator attempts to jump off the vehicle while it is tipping over, the operator is often crushed when struck by the overhead guard. In these cases, 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 receives a crushing injury to the head, neck, or back. Training an employee to stay with this type of vehicle and lean away from the direction of fall will reduce the severity of or eliminate these injuries. On the other hand, when a stand-up rider truck tips over laterally, the operator must be trained to step off the vehicle toward the rear of the vehicle. The operator can safely do this because he/she is not moving in the direction in which the truck is falling, but rather is moving perpendicular to the direction of the vehicle's fall. The studies conducted by Cohen and Jensen, discussed under Studies of Accident and Injury Data and of Training Effectiveness earlier in this preamble, found that training reduced operator error rates by as much as 70 percent. Although a 70 percent error rate reduction does not necessarily correspond with an equivalent reduction in the number of accidents that a given group of operators will experience, improper or unsafe operation of powered industrial trucks is clearly the major cause of accidents and their resultant fatalities and injuries. Therefore, reducing the number of unsafe acts that are committed when operating these trucks will reduce the number of accidents, fatalities, and injuries. Proper employee training must take into account 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 that can adversely affect vehicle operation). Operator training must emphasize two points regarding potential accidents: (1) the employee must not engage in activities that will increase the potential for an accident to occur; and (2) the employee must take appropriate action to minimize the potential for injury to himself/ herself or to other employees if an accident occurs. OSHA's current powered industrial truck training standard (codified at 1910.178(l)), has a very general training requirement. It states: Only trained and authorized operators shall be permitted to operate a powered industrial truck. Methods shall be devised to train operators in the safe operation of powered industrial trucks. As discussed above, this provision has not been adequate to reduce the
large number of fatalities, accidents, and injuries caused by untrained or
poorly trained operators. Consequently, OSHA proposed more extensive training
requirements to improve operator training (60 FR 13782, There were 64 commenters who discussed the need for training powered industrial truck operators (Exs. 7-1, 7-5, 7-8, 7-10, 7-19, 7- 22, 7-28, 7-29, 7-31, 7-32, 7-34, 7-36, 7-38, 7-39, 7-40, 7-43, 7-45, 7-46, 7-47, 7-48, 7-49, 7-50, 7-51, 7-59, 7-66, 7-67, 7-69, 7-71, 11-1, 11-2, 11-6, 11-12, 11-13, 11-15, 11-17, 11-18, 11-19, 11-22, 11-25, 11- 27, 11-29, 11-31, 11-35, 11-36, 11-40, 11-41, 11-44, and 11-46; Tr. Pp. 22-24, 27-29, 35 and 44, 49, 62, 75, 94, 129 and 143, 172, 196, 306, 331, 340, 383, 398, 416, 443). The great majority of these commenters agreed on the need to train powered industrial truck operators. For example, one commenter (Ex. 7-66) stated: The WGMA [West Gulf Maritime Association] supports operator skill and safety training for powered industrial truck operations. We have for years had operator training and certification requirements for certain equipment. These requirements are part of our collective bargaining agreement between management and labor. A second commenter (Ex. 11-2) stated: AGC [Associated General Contractors] believes that worker training is the key to worker protection and AGC commends OSHA for its recent emphasis on powered industrial truck operator training. A third commenter (Ex. 7-34) said: In general, Dow agrees with OSHA that there are risks associated with the operation of powered industrial trucks and that those persons operating them must be knowledgeable and skilled prior to being authorized to operate the vehicle. Dow believes that the training its people receive on these vehicles has been adequate. As a result, comments will focus on retaining the performance language in this training so that we can continue the success we have had thus far. One commenter (Ex. 7-48), however, expressly disagreed that there is a need for OSHA to issue a standard for training powered industrial truck operators. It stated: Overall, UPS [United Parcel Service] questions the need for a standard regulating the training of powered industrial truck operators. UPS has never experienced a noteworthy amount of workplace accidents involving powered industrial trucks. We do not expect that implementation of this type of standard will reduce the already low number of accidents in this category. This proposed standard would substantially increase costs to employers without a corresponding reduction in injuries, providing little justification for its implementation. As such, UPS cannot support the promulgation of this standard. Many commenters generally supported OSHA's proposal to make the training requirements more explicit. For example, one commenter (Ex. 7- 29) stated: UTC [United Technologies Corporation] agrees with OSHA's stated purpose "to amend the current powered industrial truck operator training requirements for general industry and to adopt the same requirements for the maritime industries", which will eliminate redundant standards for separate industries. In addition, UTC approves of OSHA's approach in mandating "the development of a training program that would base the amount, type, degree and sufficiency of training on the knowledge and the skills and abilities that are necessary to safely operate the truck" rather than mandating specific universal training requirements that would not take into consideration the variety of truck, necessary operator knowledge and training levels, and operating situations. Overall, OSHA's proposed changes to the original 1971 powered industrial truck standard are reasonable and provide a sound basis for enhancing the safe operation of powered industrial trucks in the workplace while allowing a maximum of flexibility in the methods employers may select for implementation. A second commenter (Ex. 7-31) stated: As an association, we [American Warehouse Association] have urged our members to adopt training programs. One member reports that although one-third of the accidents in the warehouse were lift truck-related, one-half of the costs associated with accidents were lift truck related. Although this example is just a snapshot of the industry, this anecdotal information confirms that proper training is in the best interests of our industry. It is appropriate to consider revising the existing OSHA regulations. A more defined standard will be of benefit to both employers and employees. However, as our comments will suggest, the revised standard need not be overwhelming or unnecessarily complex to achieve the desired result. A third commenter (Ex. 7-36) stated: API [American Petroleum Institute] generally supports the standard proposed by OSHA, with minor revisions, to replace the existing requirements under 29 CFR 1910.178(l) and to be added as new requirements under 29 CFR 1915.120, 1917.43, and 1918.77, provided the proposed standard remains performance oriented. Powered industrial trucks vary greatly in configuration and application, making operator training requirements very site specific. Accordingly, API supports OSHA's development of a flexible, performance based standard that will allow each facility to best address the specific training needs of operators at that location. Finally, one commenter (Ex. 7-28) said: NAWGA/IFDA appreciates the concerns that have led OSHA to propose this rule, and believes that benefits can flow to companies and their workers through the dissemination of guidance on appropriate training for employees who operate powered industrial trucks. While we have comments and suggestions regarding certain aspects of the proposal's requirements, our organization believes that many of the training elements noted in the rule are appropriate topics to be covered in the instruction provided to powered industrial truck operators. Some commenters opposed changing OSHA's existing training requirement (Exs. 7-1, 7-5, 7-6, 7-8, 7-19, 7-20, 7-22, 7-27, 7-28, 7- 33, 7-34, 7-38, 7-40, 7-69, 11-7, 11-15, 11-16, 11-20, 11-23, 11-35, 11-42, Tr. pp. 121, 151, 246). One reason given for not changing the existing requirement is that it is written in general language and therefore allows employers complete freedom to tailor their powered industrial truck operator training program. These commenters generally stated that they already conduct the appropriate operator training. For example, one commenter (Ex. 7-8) stated: The proposed training requirements that 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 skills and abilities that are necessary to safely operate the truck would require quite a bit of additional time and categories of paperwork and would be, in many instances very subjective and difficult to document. The basic requirements that presently exist are quite sufficient and any safety professional worth their salt is going to look at the things you are proposing anyway. Some of these commenters also suggested that the proposed standard, if adopted, would create too structured a program and would be overly burdensome to the employer. For example, one commenter (Ex. 7-19) stated: Current regulations, 29 CFR 1910.178, have provided Mobil and other companies like Mobil sufficient direction and discretion to develop and implement effective training processes for its powered industrial truck operators. Mobil is concerned that the more detailed nature of these proposed regulations will require costly changes to currently effective training processes. Other commenters stated that OSHA's proposed training requirements were appropriate and not overly burdensome. For example, one commenter (Tr. p. 418) stated: I * * * commend your efforts and give you my profound support. Your proposed rules were well researched and, if passed into law, will assist industry leaders by providing the needed guidelines to develop, implement and follow up their operator training programs * * * From our company's conception in 1987, it was apparent that our present occupational safety at 1910.178 Code of Regulations for material handling and storage did, in fact, supply some foundation for training materials content, but did not supply enough direction to allow the meeting of the minds within a single company. Although there was a starting point, technical advances have caused tremendous pressures on our industries, manufacturers, as well as the end user. New problems were identified as a result of these advances that never had to be addressed in the past. Professionally, I believe that the proposed rules are on target and will prove to be a sufficient step forward in providing guidelines and benchmarks for industries. Another commenter (Ex. 7-17) stated: I also believe that inadequate operator training and supervision are the cause of the great majority of industrial truck accidents. Your proposed rule change therefore not only has the potential to substantially reduce the number of fatalities and serious accidents that occur each year; it also has the potential to reduce the large number of unreported accidents and near-misses that occur every day. It is a step in the right direction that should be applauded. Several representatives of the longshoring and marine terminals industries, however, opposed the proposed rule (Exs. 7-43, 7-46, 7-63, 11-7, 11-20, 11-42, Tr. p. 246). These commenters contended that they already have regulations that cover powered industrial truck operator training (Secs. 1917.27(a) and 1918.98(a) respectively) and that those regulations have served their industry well. Indeed, one commenter claimed that there were few powered industrial truck injuries or fatalities in the industry. (See Tr. p. 248.) According to this commenter: Again, there is no proof of a significant risk to injury to employees to warrant this additional training regulation in our industry. We've heard some raw data quoted yesterday. This is all dependent on the number of truck hours and the amount of exposure the employees have, personal injury and property damage. Our people are exposed to this every day and our record is not that bad. Another commenter from this industry stated (Tr. p. 248): The PMA [Pacific Maritime Association] conducts forklift training based on ASME B56.1 to provide skilled operators for employers to meet the requirements of Sec. 1917.27(a) and Sec. 1917.97(a)). This program has served the industry well. Also, on-the-job training is a tradition on the waterfront and qualification by experience and training have proved to be effective. On the other hand, several witnesses at the hearing testified about powered industrial truck accidents that resulted in deaths and serious injuries in the marine cargo-handling industry. They supported OSHA's proposal to improve training for operators in this sector. For example, one commenter (Tr. p. 437) stated: One of the port authorities in the We conducted a three-day training program and we had a 54 percent failure factor on basic knowledge. Another hearing participant (Tr. p. 393) reported: In fact, last year I investigated a death on a stevedoring area where a supervisor was driving a lift truck with no training that ran over an employee on a shipping dock. It is clear to OSHA that powered industrial truck accidents are a major cause of injuries and deaths in the marine cargo handling industry. An OSHA contractor that studied fatality reports for the period 1991-1993 collected by the National Institute for Occupational Safety and Health for the Census of Fatal Occupational Injuries Program determined the number of fatal and serious injury accidents reported during the period of study (Ex. 38). According to this study the longshoring and marine terminal industries experienced a percentage of powered industrial truck accidents that was 10 times greater then the second highest industry (28.1 percent of all fatal accidents in the maritime industries compared with 2.8 percent in the second-ranked industry). An OSHA study of fatalities in the marine cargo handling industry indicated that 19 of 165 fatalities that occurred between 1975 and 1984 were attributable to the improper operation of powered industrial trucks. (See section IV. A. 4 above.) Based on this information and other evidence discussed elsewhere in this preamble, OSHA concludes that powered industrial truck accidents are a major cause of serious injuries and deaths in the marine cargo handling industry. OSHA further concludes that the Agency's current training requirements do not sufficiently protect employees in that industry from death and serious injury from powered industrial truck accidents, and that it is necessary to issue these training requirements to protect those employees from a significant risk of injury and death. There are a number of additional responses to those commenters in all industries who recommended that OSHA retain the present, very general, training requirements. First, the statistics demonstrate a high level of accidents, injuries, and deaths resulting from improper powered industrial truck operation in all industries. (See the discussion at part IV.A. above.) The Agency's existing training requirements have not worked well enough to reduce those injury rates. However, without the existing requirements, rates would likely have been much higher. The studies demonstrate that trained operators make fewer errors. The FEA points out that a percentage of current operators are trained. Therefore, it is reasonable to conclude that the existing general training requirement has resulted in the training of a percentage of the operators and without this existing training there would be more errors and, therefore, more accidents. The new standard will increase the number of trained operators and the quality of the training, further reducing accidents. Second, the existing requirement is so general that employers may believe that they have fulfilled their obligation by providing very little effective training. Third, the existing provisions provide very little guidance on what training is necessary and effective. Fourth, as discussed above, studies are available that show that effective training will reduce accidents (Ex. 38). Finally, many commenters told OSHA that their experience demonstrates that better training will reduce fatalities and injuries, and some provided examples of how their training programs (similar to the program required by the final rule) had reduced accidents. The revised training provisions require the employer to develop a training program based on the general principles of safe truck operation, on the type of vehicle(s) being used in the workplace, the hazards of the workplace created by the use of the vehicle(s), and the general safety requirements of the OSHA standard. OSHA is not specifying the time that must be spent on the training or the exact methods that must be used to train operators. OSHA is, however, requiring that trained operators know how to do the job properly and do it safely, as demonstrated by workplace evaluations at the time of initial and refresher training and at periodic intervals (at least once every three years). This approach gives employers the flexibility to develop training programs appropriate to their workplace and avoids unnecessary specification. Thus, this final standard will be both performance-oriented and effective. In the 1. Should an employer be allowed to accept the certification of training by a third party such as a union, training institute, manufacturer, consultant, or other private or public organization? Since OSHA does not accredit certifiers, what criteria should be used to establish their credibility? OSHA specified in the proposals that all training must be conducted by a designated person. In those proposals, OSHA defined a designated person as one who has the requisite knowledge, training, and experience to train powered industrial truck operators and judge their competency. (See proposed Sec. 1910.178(l)(2)(iii) and the corresponding provisions of the other proposed standards.) (4) OSHA did not, however, specify that the training must be conducted by the employer, a supervisor, or any other particular person, but only that the training be conducted by a person who is qualified to do so. There were 50 commenters who addressed this issue. (See Exs. 7-11, 7-15, 7-29, 7-38, 7-39, 7-48, 7-50, 7-51, 7-56, 7-64, 7-65, 7-70, 11-1, 11-3, 11-5, 11-6, 11-8, 11-9, 11-10, 11-15, 11-16, 11-18, 11-19, 11-24, 11-25, 11-28, 11-29, 11-31, 11-33, 11-34, 11-36, 11-37, 11-39, 11-40, 11-43, 11-46, Tr. pp. 20, 25-27, 52, 83, 92, 94, 104, 137, 153, 324, 333, 340-341, 384-386, 422.) These participants all agreed that trainers must have basic knowledge of training methods and/or powered industrial truck operations that enables them to conduct the training of these vehicle operators. There was, however, one comment (Ex. 7-11) that suggested specific requirements for a qualified trainer. This commenter stated: * * * A competency standard for the "designated person" [should] be incorporated in the proposed rule change. Such a competency standard * * * could include, but would not be limited to: 1. Experienced and skilled in the safe and efficient operation of a powered industrial truck(s). 2. Is familiar with, comprehends, understands and employs applicable OSHA codes and all consensus standards as they apply to worker safety and economic impact on the employer. 3. Is skilled and practiced in the training of adults or has the ability, knowledge and desire to attain such skills. Some commenters recommended that trainers be accredited by OSHA or have some other professional certification (see Exs. 7-29, 7-56, 7-64, 7-73, 11-5, 11-40, Tr. p. 326). One of these commenters (Ex. 11-5) stated: The ASSE believes it is appropriate for OSHA and the ACCSH to create general qualification guidelines when establishing the criteria for lift truck trainers. However, we strongly recommend that OSHA not get into the business of "certifying" these trainers. The society believes that OSHA does not have the resources to undertake such an endeavor, and the private sector professional safety and health organizations have been certifying qualified safety and health professionals for decades. To have OSHA take on this responsibility would be equivalent to a "reinventing the wheel". Certified Safety Professionals (CSPs), as an example, could be recognized as a level of expertise appropriate to develop/ implement this type of training. OSHA has decided not to include trainer accreditation requirements in the final rule for several reasons. First, OSHA believes that the training criteria are sufficiently detailed so that employers and professional trainers who follow the criteria will provide adequate training. Second, a large number of trainers and individual employers (potentially in the tens of thousands) would need to be accredited, which would overwhelm OSHA's resources. Finally, many small businesses choose to conduct their own training, and requiring them to become accredited to do so would be unnecessarily burdensome. Since the proposal, OSHA has changed the language of the final rule to clarify that the employer does not need to administer the training but may have it provided by an outside training provider. The employer may need to provide additional training on site-specific or truck- specific matters. OSHA believes that this clarification of the language of the final rule responds to the suggestions of ACCSH and the needs of the construction industry. In addition, as a style change the term "designated" has been omitted. Instead "person" is used followed by the same qualifications that had been required of "designated person." 2. What type of testing should be conducted during initial training to judge the trainee's competency (performance testing and oral and/or written tests)? A. If tests are administered, what subjects should be tested, and what methods, if any, should be used to judge that the tests are reliable and address the subject matter adequately? B. What, if any, should be the acceptable pass/fail requirement for the tests? OSHA proposed that operators must successfully complete their training and be evaluated. OSHA believes that evaluation is an essential element of any training program. Evaluation provides a measure not only of the effectiveness of the training but also the trainees' ability to understand the need for and the important elements of the training. Evaluation also allows the trainer to reemphasize the most important points of the training. Most of the 32 participants who commented on this issue agreed that some evaluation is necessary when training is conducted. (See Exs. 11- 1, 11-3, 11-5, 11-8, 11-10, 11-18, 11-19, 11-24, 11-25, 11-28, 11-30, 11-33, 11-34, 11-36, 11-37, 11-39, 11-40, 11-41, 11-46, Tr. pp. 21, 35, 53, 77, 99, 130, 202, 254, 309, 326, 342, 385, 400.) There was general agreement on the need to conduct written as well as practical testing during the training. One commenter (Ex. 11-10), in response to the question about written and performance testing, stated: API [American Petroleum Institute] feels that the current proposed language in paragraph (5)(i) of the general industry standard adequately addresses any concerns of testing during initial training. Specific requirements for how to test operators would take away the flexibility allowed by the currently proposed language, convert the rule to a specification standard, and greatly increase the information collection burden without necessarily improving the safety performance of operators. The Advisory Committee on Construction Safety and Health (ACCSH) recommended that OSHA establish a pass/fail requirement for written tests. Some commenters stated that OSHA should specify a passing percentage (such as 70 to 85 percent correct answers)(see Exs. 7-52, 11-19). On the other hand, six commenters generally supported the need for the trainee to perform all the necessary procedures correctly during practical tests. (See Exs. 11-8 and 11-19, Tr. pp. 78, 132, 427, 434.) Their concerns were that if the trainee cannot operate the vehicle safely when that trainee knows that an evaluation is being conducted, there is no guarantee that the trainee will perform the operation correctly under less controlled circumstances. Other commenters stated that OSHA should leave the evaluation of the trainees' grasp of the classroom instruction to the trainer (Exs. 11- 34, 11-36). OSHA has concluded, as proposed, that the evaluation of the classroom part of the training should be left to the trainer. There are many ways to evaluate whether material has been learned, and this evaluation can be accomplished in a number of ways. Consequently, OSHA has retained a performance-oriented approach that allows the employer to determine that the employee has successfully completed the training, including the classroom and practical training/demonstration elements. The employer may demonstrate this for the classroom element based on evidence that the employee has successfully completed a written or oral test, or by other appropriate means, such as an evaluation by the instructor. OSHA agrees with these comments that successful completion of the practical training requires the trainee to perform all required operations safely. OSHA concurs with those commenters who recognize the need for both more formal and practical testing and evaluation. If training is conducted without the means to evaluate its effectiveness, there is no way to ensure that the material was adequately presented, that the trainee understood the material, and that the trainee will use the training when operating the vehicle. OSHA does not believe, however, that it is possible, given the variety of powered industrial trucks, workplace conditions, employee backgrounds, and types of effective training, to specify standardized tests or methods, or to specify passing grades. Although ACCSH did recommend that OSHA specify passing grades, OSHA believes that, by listing topics and requiring demonstrations of proficiency and triennial evaluations, the rule will achieve the goal envisioned by ACCSH for effective training. 3. Are some of the training areas listed not needed? In developing this final rule, OSHA took its lead from the national consensus standard, ASME B56.1-1993, which contains a listing of those subject areas that the consensus committee felt were important for the trainee to know to successfully operate a powered industrial truck. These subjects were written in general terms so that the training program could be tailored to fit the employer's particular circumstances. The OSHA rule relies on ASME B56.1 and covers essentially the same subject areas. There were 43 comments (Exs. 7-14, 7-16, |