Inspection and Citation Guidance for Cranes and Derricks in Construction

OREGON OCCUPATIONAL SAFETY AND HEALTH DIVISION

DEPARTMENT OF CONSUMER AND BUSINESS SERVICES

PROGRAM DIRECTIVE

Program Directive: A-296

Issued: April 16, 2015

Revised: October 14, 2022

SUBJECT: Inspection and Citation Guidance for Cranes and Derricks in Construction

AFFECTED STANDARDS/

DIRECTIVES: Division 3/CC, 1926.1400 through 1926.1442

Division 3/CC, 437-003-1423, Fall Protection

Division 3/CC, 437-003-0081, Crane Operator Safety Training

Requirements

PURPOSE: This program directive is intended to serve as a standard-specific reference

for Oregon OSHA compliance officers regarding the application of

Oregon Administrative Rules within Division 3, Subdivision CC,

providing supplemental compliance inspection guidance and

recommended citation policies for complex requirements.

SCOPE: This instruction applies to all Oregon OSHA.

REFERENCES:

1. Division 3, Subdivision CC, (Cranes and Derricks in Construction)

2. Division 3, Subdivision H (Materials Handling, Storage, Use and

Disposal)

3. Division 2, Subdivision N (Material Handling & Storage)

4. Oregon OSHA Field Inspection Reference Manual (FIRM).

5. CPL 02-01-063 Compliance Directive for the Cranes and Derricks in

Construction Standard.

6. CPL 02-01-047 OSHA Authority over Vessels and Facilities on or

adjacent to U.S. Navigable Waters and the Outer Continental Shelf (OCS).

ACTION: This program directive provides guidance to compliance personnel on

performing inspections where equipment covered by the Cranes and

Derricks in Construction Standard is present on a construction worksite.

Oregon OSHA safety compliance officers and safety supervisors should

use the guidelines in this instruction to ensure uniform enforcement of

Subdivision CC. The enforcement manager will provide support as

necessary in enforcing the Cranes and Derricks in Construction Standard.

BACKGROUND: Federal OSHA published a revised standard on Subpart CC Cranes and

Derricks in Construction on Aug. 9, 2010, with an effective date of Nov.

8, 2010. Oregon OSHA adopted Administrative Order 1-2011 creating

Oregon’s Cranes and Derricks in Construction Standard with an effective

date of Feb. 9, 2011. The crane standard that the rule replaced, 1926.550,

contained general safety requirements in its regulatory text and

incorporated by reference numerous equipment-specific requirements of

several consensus standards. The organization of the new crane standard is

complex because the majority of the equipment-specific requirements that

were once incorporated from other documents are now explicit

requirements in the regulatory text, minimizing the employer’s need to

reference other documents for those requirements.

KEY ELEMENTS OF AN ABBREVIATED COMPLIANCE INSPECTION OF A

CONSTRUCTION WORKSITE ON WHICH THERE IS A CRANE:

a. Overview

At a minimum, the following items should be considered for any

abbreviated compliance inspection of a worksite on which there is a crane.

This information can serve as the basis for development of related

inspection checklists. However, whenever a fatality investigation,

complaint/referral inspection is conducted, or when hazardous conditions

on the worksite warrant, the compliance officer maintains the discretion to

expand the scope of the inspection to include all other applicable

requirements of the crane standard. In addition, the Inspection Guidance

and Citation Policy section of this compliance directive must be

referenced for more requirement-specific guidance.

b. Abbreviated Inspection Checklist.

1. Determine the adequacy of ground conditions beneath the equipment

set-up area such as the support/foundation, matting, cribbing, blocking,

etc.

2. Check for visible indications of repairs of the equipment.

3. When overhead power lines are on the construction site, ask if the

utility owner/operator was contacted and if the lines are energized.

Obtain the voltage of the power lines (if known). Verify whether a

work zone around the crane was demarcated and what encroachment

prevention steps are being used.

4. When a signal person is used on the worksite, verify the individual’s

qualifications/documentation. Acceptable documents include both

physical and electronic records.

5. Verify that the communication system being used by the crane

operator and the signal person is the one specified on the signal

person’s qualification documentation.

6. If lift plans are being used, verify that they are being followed.

7. A. When equipment is used to hoist personnel, identify who

determined that it is infeasible to use another way to reach the work

area and that it is necessary to use the crane for this task. This does not

apply to steel erection activities under Subdivision R.

8. Verify whether employers are holding required meetings, such as

planning meetings necessary for working near overhead power lines,

conducting Assembly/Disassembly (A/D), or hoisting.

9. Inspect all rigging equipment that is available for workers to use

(slings, chokers, shackles, etc.) for damage, wear, safe working load

tags, capacity, and safety factor.

10. Verify that load chart and operations’ manuals are available, written in

a language that the operator understands (specified on the operator’s

certification), and that the information is applicable to the particular

crane. Ask the operator or employer where the documents are kept.

For example, see if the serial number on the load chart matches that of

the crane. Typically, the serial number is found on the nameplate in the

cab and on the front cover of the manual.

11. Verify operator qualifications and training. Observe crane operations

and interview both the employer and the operator to determine whether

the operator is competent to operate the equipment safely.

12. Verify that the equipment and wire rope inspection requirements have

been met and that the documentation is available for all inspections of

the equipment. Identify who did the inspection and verify that

inspector’s qualifications.

13. Determine, through interview and observation, if safety devices and

operational aids are functioning through interview or observation. For

example, it is possible that employees can be doing other things to

compensate for aids and devices that are not functioning properly. For

operational aids that are not functioning and have not been repaired,

determine whether parts are on order. If parts have been received,

document the date of order and/or receipt.

14. Visually inspect the hoisting equipment, components, and load line for

visible deficiencies. If needed, use binoculars to examine ropes that

cannot be inspected closely from a safe position.

15. Ask what loads have been lifted and how the operator and/or rigger are

determining the weight of the load. For example, are they using a bill

of lading or marked weight, the load moment indicator, or crane scale?

Verify that the weight of the load was within the capacity of the

equipment or below 75 % of capacity if a load moment indicator was

used.

16. Verify that qualified riggers are being used:

A. For assembly and disassembly work, as per 1926.1404(r)(1).

B. Whenever workers are within the fall zone and hooking,

unhooking, guiding a load, or making the initial connection of

a load to a component or structure, as per 1926.1425(c).

17. When A/D is being performed, ask who the A/D director is and verify

whether this person is at the worksite. This could be one person or a

competent person who is assisted by one or more qualified persons.

18. If there are mechanics and/or oilers working on or near the equipment:

A. By observation and interview, verify their qualifications

regarding the work being performed.

B. Ask how they are communicating with the operator when the

equipment is being operated.

C. Verify that they are being protected in hazard areas in accord

with 1926.1404(e) and 1926.1424(a).

19. If fall protection is being used, inspect personal fall arrest systems for

compliance with Subdivision M at 1926.502(d). Note that the

anchorage requirements at 1926.502(d)(15) do not apply; the

applicable anchorage requirements are at 1926.1423(g).

Note: 1926.1423(g)(1) was not adopted by Oregon OSHA. In Oregon,

OAR 437-003-1423 applies. The requirements for boom walkways,

handrails, steps, ladders, and railings, etc., are in 1926.1423(b) and (c).

INSPECTION GUIDANCE AND CITATION POLICIES:

Introduction: This section provides compliance inspection guidance and

discussions of citation policies for requirements and regulatory text that

sample citations provided in the Field Inspection Reference Manual (FIRM)

may not adequately address. The compliance inspection guidance often

includes recommended subject matter that should be covered during

interviews of individuals who work in construction.

Employee/Employer Interviews

This directive’s Inspection Guidance supplements information provided in the

Field Inspection Reference Manual (FIRM) regarding interviews of

individuals at the site such as the controlling employer, employer of the

operator and lift crew, operator, equipment inspector, maintenance personnel,

lift and A/D directors, crew members, riggers, and signal person.

Qualified Individuals

Often the crane standard refers to key individuals, such as an

Assembly/Disassembly (A/D) director, lift director, equipment inspector,

operator, registered professional engineer, or qualified rigger to make

determinations related to the capacity and safe use of the equipment. Such

individuals must meet the definition of qualified or competent persons, and

interviews should be conducted to document the relevant credentials and level

of experience of these individuals as support for a potential citation. For

example, the individual should be asked to describe:

▪ His or her relevant experience with the equipment at the site or

similar sites.

▪ His or her qualifications to perform the activity or make the

required determination.

▪ The extent and duration of his or her crane-related experience.

▪ Any certificates, degrees, or other supporting documents

related to the subject matter.

Tasks Required to be Performed by an Individual

In addition, several sections of the crane standard specify that safety-related

tasks be performed by particular individuals, like a signal person, A/D

director, lift director, equipment inspector, operator, registered professional

engineer, or qualified rigger. Some of these provisions work in tandem with

1926.1400(f) to mandate that the employer ensure that required tasks are

performed by these specific individuals.

Requesting Documentation

As a general practice, make note of any documentation provided by the

employer during the inspection, such as inspection records, equipment

operation manuals, employee certifications, employer-developed procedures,

and modification approvals. If possible, obtain copies of such information.

a. 1926.1400. Scope.

Subdivision CC applies to power-operated equipment used in construction

that can hoist, lower, and horizontally move a suspended load. In addition

to the general functional description of what the standard covers, the scope

section lists examples of the types of equipment covered by the standard.

This dual approach (functional description plus non-exclusive list of

examples) is designed to accommodate anticipated changes in technology

for power-operated hoisting equipment.

Compliance officers can find illustrations of different types of cranes in

the ASME B30 series available at the Oregon OSHA Resource Center.

[Reminder: “crane” in this directive refers to cranes, derricks, and all other

equipment covered by the standard.]

1. 1926.1400(a). List of Included Equipment.

Such equipment includes, but is not limited to: articulating cranes

(such as knuckle-boom cranes); crawler cranes; floating cranes; cranes

on barges; locomotive cranes; mobile cranes (such as wheel-mounted,

rough-terrain, all-terrain, commercial truck-mounted, and boom truck

cranes); multi-purpose machines when configured to hoist and lower

(by means of a winch or hook) and horizontally move a suspended

load; industrial cranes (such as carry-deck cranes); dedicated pile

drivers; service/mechanic trucks with hoisting devices; cranes on

monorails; tower cranes such as fixed-jib (e.g.,“hammerhead boom”)

cranes, luffing boom cranes, and self-erecting cranes; pedestal cranes;

portal cranes; overhead and gantry cranes; straddle cranes; sideboom

cranes; derricks; and variations of such equipment.

Inspection Guidance

Equipment covered by this standard can be generally identified

through inspection/observation of hoisting operations when they are

used at the worksite. Review of the equipment’s operations manual is

often useful in determining whether it is covered under Subdivision

CC. Of particular interest are references to design in accordance with a

consensus standard, items to be inspected, and frequency of inspection.

In addition to the records reviews and observation of hoisting

operations described above, interviews of individuals like the operator,

employer, lift director and lift crew can be conducted to confirm that

the equipment was used with attachments.

2. 1926.1400(b). Attachments.

Equipment is also covered by this standard when used with the

attachments listed in 1926.1400(b) regardless of whether they are

crane-attached or suspended. Such attachments include, but are not

limited to, hooks, magnets, grapples, clamshell buckets, orange peel

buckets, concrete buckets, drag lines, personnel platforms, augers, or

drills and pile driving equipment.

3. 1926.1400(c). Exclusions.

Equipment Excluded from Subdivision CC Based on its Configuration or End Use

Section

Equipment

Configuration and Use

Applicable standard

when Not Covered

by Subdivision CC:

1926.1400(c)(1)

Equipment

listed in

1926.1400(a)

When converted or adapted for

non hoisting or lifting use. (i.e.,

becomes a power shovel,

excavator, concrete pump, etc.)

1926.600 and OAR

437-003-3600, Motor

Vehicles, Mechanized

Equipment, and

Maritime Operations

1926.1400(c)(3)

Automotive

Wreckers and

Tow Trucks

When used to clear wrecks and

haul vehicles.

Not covered by

Division 3

1926.1400(c)(4)

Digger Derricks

When used in electric power

generation, transmission, and

distribution work.

Subdivision 2/RR,

Electric Power

Generation,

Transmission and

Distribution

1926.1400(c)(8)

Powered

Industrial

Trucks

(Forklifts)

When not equipped with a boom

and hoist. (see guidance

available on the OSHA Cranes

and Derricks page of

https://www.osha.gov/cranes-

derricks-construction/faq

1926.600, Motor

Vehicles,

Mechanized

Equipment, and

Marine Operations

1926.1400(c)(9)

Mechanic’s

truck with a

hoisting device

When used in activities related

to equipment maintenance and

repair.

Not covered by

Division 3

1926.1400(c)(12)

Gin Poles

When used for erection of

communication towers

(5)(a) [ANSI TIA-

1019-A]

1926.1400(c)(13)

Equipment

meeting the

functional

description or

equipment listed

When used in tree trimming and

removal work

Not covered by

Division 3

1926.1400(c)(14)

A vessel or

barge using an

affixed A-frame.

When used for anchor handling

or dredge-related operations

1926.600 and OAR

437-003-3600, Motor

Vehicles, Mechanized

Equipment, and

Maritime Operations

1926.1400(c)(17)

Articulating/knu

ckle-boom truck

cranes

When used to deliver building

supply sheet goods and

packaged materials, the

fork/cradle is used; and the crane

is equipped with a functioning

automatic, overload-prevention

device; to qualify for this

exclusion, the goods or materials

cannot be a prefabricated piece

or arranged in a particular

sequence

1926.600 and OAR

437-003-3600, Motor

Vehicles,

Mechanized

Equipment, and

Maritime Operations

Equipment Explicitly Excluded from Subdivision CC

Section

Equipment

Applicable standard when Not

Covered by Subdivision CC:

1926.1400(c)(2)

Power shovels, excavators, wheel

loaders, backhoes, loader

backhoes, and track loaders

1926.600 and OAR 437-003-3600,

Motor Vehicles, Mechanized

Equipment, and Maritime Operations

1926.1400(c)(5)

Machinery originally designed as

vehicle-mounted aerial devices

and self-propelled elevating work

platforms

1926.453, Aerial Lifts

1926.1400(c)(6)

Telescoping/hydraulic gantry

systems

1926.600 and OAR 437-003-3600,

Motor Vehicles, Mechanized

Equipment, and Maritime Operations

1926.1400(c)(7)

Stacker Cranes

1926.600 and OAR 437-003-3600,

Motor Vehicles, Mechanized

Equipment, and Maritime Operations

1926.1400(c)(10)

Machinery that hoists using a

chainfall or come-a-long

1926.554, Overhead Hoists

1926.1400(c)(11)

Dedicated drill rigs

1926.600 and OAR 437-003-3600,

Motor Vehicles, Mechanized

Equipment, and Maritime Operations

1926.1400(c)(15)

Roustabout

1926.554, Overhead Hoists

1926.1400(c)(16)

Helicopter Cranes

1926.551, Helicopters

OAR 437-002-2323 Helicopters,

Subdivision 2/RR

4. 1926.1400(c)(4). Digger Derricks.

A digger derrick is a type of hoisting equipment that is equipped with

both a boom and an auger. It is used primarily to install utility poles

and perform related work in the electric utility and telecommunication

industries.

In the 2010 Final Rule for Subpart CC, federal OSHA exempted

digger derricks when used for augering holes for poles carrying

electric or telecommunication lines, placing and removing the poles,

and handling associated materials to be installed or removed from the

poles. In a subsequent rulemaking, federal OSHA expanded this

exemption to also include digger derricks when used for any work

subject to Subpart V of 29 CFR Part 1926 (in Oregon, Division 2,

Subdivision RR applies). Any citations considered under these

circumstances must be issued under Subdivision 2/RR and not under

Subdivision 3/CC. [See: 78 FR 32110-32116]

5. 1926.1400(c)(8). Powered Industrial Trucks (Forklifts).

A. Partial Forklift Inclusion – Forklifts are covered by Subdivision

CC when configured with a “winch or hook” and used like a crane.

Federal OSHA also explained in the preamble to Subpart CC that

forklifts used to suspend a load below the forks were excluded

from the standard. However, federal OSHA received numerous

compliance inquiries requesting more guidance about the coverage

of forklifts configured with booms/jibs and hoists. In response,

federal OSHA intends to revise the standard to provide more

clarity regarding forklift coverage.

The proposed change would exclude forklifts from coverage under

the standard unless they are equipped with a boom and a hoist and

used like a crane. Federal OSHA believes that this amendment

would ensure that the forklift exclusion aligns with federal

OSHA’s original intent when it issued the standard. Therefore, any

forklift that lifts with a boom (including the boom of the forklift

itself) and a hoist would be covered by requirements of the cranes

and derricks standard. For example, a variable-reach forklift would

also be covered by the cranes standard if it is configured with a

hoist and used like a crane. Otherwise, this forklift would continue

to be covered by Division 3, Subdivision O, Motor Vehicles,

Mechanized Equipment, and Marine Operations.

When Subdivision O and Subdivision CC both address a particular

hazard associated with forklifts equipped with a boom and hoist, in

most cases, Subdivision O would only apply as that standard

directly addresses hazards associated with operation and design

characteristics specific to forklifts. Subdivision CC, on the other

hand, addresses hazards unique to cranes.

B. For more enforcement guidance regarding the use of forklifts with

attachments for hoisting suspended loads, review information

accessible from the federal OSHA Cranes and Derricks webpage

of www.osha.gov/cranes- derricks/faq.html or consult a Technical

Safety Specialist within Oregon OSHA’s Standards & Appeals

division.

Requirements of Subdivision O applicable to

forklifts covered by Subdivision CC

Requirements of Subdivision CC applicable to

forklifts covered by Subdivision CC

Applicable General Requirements 1926.600

and OAR 437-003-3600

*new- Working Near Power lines

Ground conditions

1926.1402

Equipment capacity and configuration

1926.602(c)(1)(i)

Use of wire rope as load lines

1926.1413-.1414

Equipment modifications

1926.602(c)(1)(ii)

Two-blocking prevention

1926.1416(d)(3)

Multiple Forklift Lifts

1926.602(c)(1)(iii)

Work Area Control

1926.1424

Design, construction, inspection and testing

1926.602(c)(1)(iv) - (vi) or (5)(a)

Keeping Clear of the Load

1926.1425

Unauthorized Riders

1926.602(c)(1)(vii)

Free fall of the boom or load line

1926.1426

Operator qualifications

1926.602(d)

Boom-attached or suspended

personnel platforms

1926.1431

6. 1926.1400(c)(11). Dedicated Pile Drivers.

As specifically indicated in 1926.1400(a), the crane standard covers

equipment when it is being used exclusively as a pile-driver. Federal

OSHA considers such equipment to include pile-drivers that are used

to drive posts/columns/beams into and/or extract them from the

ground, either with or without the use of a load line. The standard has

no limit on the size of the equipment used, the size of the posts driven

or extracted, or the action of the powered hammer.

Regarding the coverage of dedicated pile drivers by the crane standard,

the preamble from the proposed rule explains:

[Pile driver manufacturers] emphasized certain mechanical

similarities [with cranes] and the need for timely

regulation. However, they requested that the standard be

adjusted to address the equipment's unique characteristics.

The [pile driver] users on the [advisory committee] panel

were particularly concerned about the need to establish

required inspections for dedicated pile drivers in view of

the stress placed on this type of equipment…

The manufacturer representatives pointed out that while

these machines are designed to hoist within a very limited

range and capacity, it is inappropriate to use them for

hoisting beyond those restricted limits.

As a result, proposed Sec. 1439, Dedicated pile drivers,

provides that most provisions of the standard apply to

dedicated pile drivers but excludes some that the

Committee believed were inappropriate for such

equipment. [73 FR 59726]

Thus, all equipment designed to function exclusively as a pile-driver is

covered by Subdivision CC. For example, a machine designed to drive

and extract small posts that support guardrail systems is covered by the

requirements of Subdivision CC. It is covered even though the

machine does not use a hoist, irrespective of the size of the pile or the

material of which the pile is made.

Citation Policy

A. Dedicated Pile Drivers. When equipment is being used exclusively

as a pile driver, consider citations under Subdivision CC.

B. Pile-Driving Attachments. In addition to citations under

Subdivision CC, which involve deficiencies with respect to the

crane, in cases where a pile driving attachment is used, hazards

associated with the attachment itself are covered by 1926.603, Pile

Driving Equipment. In those circumstances, CHSOs should

consider citations for violations of applicable requirements of both

Subdivision CC and 1926.603.

7. 1926.1400(c)(17). Material Delivery - Articulating/knuckle-boom

truck cranes.

A. In general, delivery of equipment from the flatbed of a truck to the

ground, not positioning or arranging in a sequence for further

hoisting, is not considered a construction activity. The partial

exclusion of articulating/knuckle-boom truck cranes from the

requirements of the crane standard is explained in detail in the

preamble to the final rule and information accessible from the

federal OSHA Cranes and Derricks webpage of

www.osha.gov/cranes-derricks/faq.html.

8. 1926.1400(e). Controlling Entities.

Controlling entity requirements were included in the scope section of

Subdivision CC to emphasize that, in addition to any other safety

obligations the controlling entity has at its worksites as the result of

other requirements of Subdivisions of Division 3, the employer has

three more under 1926.1402(c), 1926.1402(e) and 1926.1424(b).

Citation Policy

1926.1400(e). Section 1926.1400(e) must not be cited because it only

reminds the controlling entity that there are safety obligations specific

to Subdivision CC that must be met. For other multi-employer issues,

refer to Program Directive A-257, Multi-Employer Citation Policy.

9. 1926.1400(f). Work Practice Implementation.

This section requires the employer to ensure, via effective

communication and enforcement of work rules, that an operator, crew

member, or other employee performs the tasks specified for her or him

by Subdivision CC. Section 1926.1400(f) is included to emphasize that

even when other provisions of Subdivision CC do not explicitly

include language like “the employer must” or “the employer shall

ensure,” the employer is still responsible for ensuring that the

requirements of Subdivision CC are met.

Citation Policy

1926.1400(f). Consider a citation of 1926.1400(f) only when a

requirement of Subdivision CC was not met by the employee

designated by the employer to complete a task required by another part

of Subdivision CC, and the language of the violated provision did not

explicitly state that the employer must ensure that the designated

employee is required to follow a related work rule. Therefore, group

this citation with each citation of the applicable requirement of

Subdivision CC.

10. 1926.1400(g). Division 2, Subdivision RR (2/RR) Work Activity.

When an employer performs power distribution and transmission work

that is covered by Division 2, Subdivision RR, the employer may

comply with the requirements of OAR 437-002-2315 to meet the

requirements of 1926.1407 through 1926.1411.

Inspection Guidance

A. Observe the hoisting operation and document when work is being

done on power lines, transformers, or related equipment.

Subdivision 2/RR work typically involves work performed on

equipment that is owned and operated by a utility. Under these

conditions, the equipment must be operated by or under the

direction of (for operator in training) individuals who are qualified

to perform such work.

B. Through interviews, verify the following information:

• Who is the qualified person with respect to Subdivision

2/RR work?

• What is the construction activity being performed?

• Was the utility owner/operator contacted and when?

• Are there any representatives from the utility

owner/operator available on site?

• Is the work being performed on energized equipment and

for what purpose?

• Is the employer opting to comply with OAR 437-002-2315

instead of Subdivision CC?

Citation Policy

C. 1926.1400(g). 1926.1400(g) must not be cited because it only

serves as notice to the employer that compliance with OAR 437-

002-2315 is acceptable instead of 1926.1407 through 1926.1411.

When power distribution and transmission work has been

performed and the employer opted to implement the requirements

of OAR 437-002-2315 but was not in compliance with the

requirements of OAR 437-002-2315, consider a citation of

applicable provisions of 1926.1407 through 1926.1411 and

identify in the Alleged Violation Description (AVD) the provisions

of OAR 437-002-2315 with which the employer did not comply.

11. 1926.1400(h). Railroad Exclusion.

The requirements of Subdivision CC do not apply to equipment

designed for use on railroad tracks that are regulated by the Federal

Railroad Administration (FRA).

Inspection Guidance

A. When the equipment is used to perform construction activities on

or adjacent to the “means of way” of a rail system that is regulated

by the FRA, observe and document the construction activities that

are being supported by the use of the equipment and where in

proximity to the rails the activities are being performed.

B. Interview the controlling employer (if any), operator, lift director

(if any), and employer to determine if it was complying with FRA

or Oregon OSHA regulations to perform the work.

C. When there are doubts about the applicability of Oregon

Administrative Rule, Chapter 437, Division 3 to the observed work

activities, it is recommended that the field office manager be

contacted for enforcement guidance.

Citation Policy

D. 1926.1400(h). When the tracks beneath the equipment are not

regulated by the FRA, consider citations for violations of

applicable requirements of 1926.1402. (See discussion of citation

policy for 1926.1402, Ground Conditions, of this program

directive for applicable requirements).

b. 1926.1402. Ground Conditions.

Paragraph (c) requires the controlling entity to provide for ground

conditions that meet the requirements of 1926.1402(b). Paragraph (c) also

requires the controlling entity to inform the equipment operator of

potential hazards beneath the equipment set-up area if said hazards are

identified by information in the controlling entity’s possession. In the

absence of a controlling entity, under paragraph (d), the obligation to

provide adequate ground conditions falls on the employer that has

authority at the site to make or arrange for ground preparations.

1. 1926.1402(b). Establishes minimum criteria for ground conditions

that must be met prior to the assembly and use of the equipment.

Inspection Guidance

A. Visually inspect the area around the equipment and note any

conditions that could contribute to an unstable foundation, such as:

• Ground that appears soft, such as loose fill that has not

Pending Settlement Agreement

Federal OSHA promulgated the final Cranes and Derricks in

Construction standard on August 9, 2010. The Association of

American Railroads (AAR) filed a petition requesting OSHA to

clarify its intent regarding the extent to which the Cranes and

Derricks standard applies to the railroad industry. OSHA is

consulting with the Federal Railroad Administration (FRA) to

clarify the extent to which OSHA standards would be pre-empted

by those of the FRA, particularly for work in the railroad right of

way that is not “track work.” OSHA has been in settlement

discussions with AAR and may soon enter into an Agreement in

Principal with AAR that could result in settlement of the lawsuit.

been compacted.

• Signs of utilities buried beneath the equipment, which may

indicate voids underneath the equipment.

• Excessive liquid or leaking hydraulic lines that could soften

the foundation beneath outriggers/stabilizers or other

equipment supports.

• Lack of drainage from the set-up area so that rain may

compromise the equipment’s support.

B. Determine the degree of level of the equipment. The degree of

level should be measured as close to the turntable as possible. If

out of level, ground conditions may be inadequate to support the

weight of the equipment.

C. Interview the operator, lift director, or competent person who

inspected the equipment to determine:

• How the degree of level was verified.

• What method was used.

• Where on the equipment the degree of level was measured.

Use this information to determine if the equipment’s degree of

level has changed due to inadequate ground support.

D. Photograph and record the degree of level on measuring devices

and computers in the equipment cab. For example, if the degree of

level is indicated on electronic gear in the cab, photograph the

reading. If a device is used to measure the degree of level,

photograph the device and its reading.

E. Obtain the weight of the equipment and the dimensions of the

outriggers to compare the load of the equipment at the outrigger

pads to the bearing capacity of the soil, when available.

Citation Policy

F. 1926.1402(b). When the equipment has been assembled and used

before the requirements of 1926.1402(b) have been met, consider a

citation of this standard.

2. 1926.1402(c). When there is a controlling entity on the project, this

entity must arrange for preparations to ensure adequate ground

conditions beneath the A/D or set-up area underneath the equipment.

Inspection Guidance

A. Interview the controlling entity, the employer, operator, and lift

director to determine which one:

• Has the authority to make decisions and implement changes

for ground preparations before the equipment is assembled

and used;

• Has any applicable site drawings, as-built drawings, soil

analyses or compaction tests that may identify underground

hazards.

• Is responsible for informing the operator of worksite soil

conditions and known ground condition hazards.

Use this information to identify the controlling entity on the job.

B. During interviews, also determine:

• What ground condition hazards were observed on the site?

• What ground preparations have been made to provide

adequate ground support for the equipment set-up?

• What information was provided to the controlling entity?

• Who provided the information to the controlling entity?

• What information was received from the controlling entity?

• How was information about the ground conditions

communicated?

• Did the equipment user receive any information regarding

underground hazards beneath the equipment A/D or set-up

area from the controlling entity?

Citation Policy

C. 1926.1402(c). When there is a controlling entity for the project and

the requirements of 1926.1402(b) have not been met, consider

citations for violations of the applicable requirements of

1926.1402(c). If a citation is issued, it should be to the controlling

entity and grouped with a citation of 1926.1402(b).

For application of 1926.1402(c), the controlling entity only needs

to share information regarding underground hazards that it actually

possesses. The controlling entity does not need to seek out

information not in its possession to comply with this requirement.

Note that a homeowner who hires a contractor is not subject to the

information sharing requirement, but the controlling entity must

ensure adequate ground conditions regardless of any information

Controlling entity: an employer that is a prime contractor, general

contractor, construction manager, or any other legal entity which

has the overall responsibility for the construction of the project—its

planning, quality, and completion.

exchange.

3. 1926.1402(d). When there is no controlling entity on a project, the

employer that has authority to make or arrange for ground preparations

to meet the requirements of 1926.1402(b) is responsible for ensuring

that those preparations are made.

Inspection Guidance

A. Use facts from interviews to determine which employer has the

authority to arrange for ground preparations and if that employer

has made those arrangements.

Citation Policy

B. 1926.1402(d). When there is no controlling employer for the

project (such as a jobsite where all of the employers are prime

contractors of the owner) and the requirements of 1926.1402(b)

have not been met, consider a citation of 1926.1402(d) grouped

with a citation of 1926.1402(b). If a citation is issued, it must be

issued to the employer that has the authority at the site to make or

arrange for ground preparations needed to meet the requirements

of 1926.1402(b).

4. 1926.1402(e). If the A/D director or operator determines that ground

conditions are inadequate under 19216.1402(b), that person’s

employer must have a discussion with the controlling entity regarding

ensuring necessary ground preparations.

Inspection Guidance

A. Determine if the required discussion took place.

B. The inability of the operator, employer, A/D director, or the

competent person who inspected the equipment to describe how he

or she determined that the equipment was level may indicate that

determinations regarding ground conditions may not have been

made at all. It may also indicate that no discussion with the

controlling entity occurred.

Citation Policy

C. 1926.1402(e). Consider a citation of 1926.1402(e) grouped with a

citation of 1926.1402(b) when the controlling entity was not informed

of inadequate ground conditions beneath the equipment A/D or set-up

area, or

If a citation is issued, it must be issued to the company operating the

crane. Citing the operating company under 1926.1402(e) does not

preclude appropriate citations of the controlling entity or the

employer with authority to make or arrange for ground preparations

for a violation of 1926.1402(c) or 1926.1402(d).

5. 1926.1402(f). The ground condition requirements of 1926.1402 do not

apply to cranes designed for and used on railroad tracks regulated by the

Federal Railway Administration (FRA).

Inspection Guidance

A. Contact your field office manager for more enforcement guidance

when there are doubts about the applicability of Oregon

Administrative Rule, Chapter 437, Division 3 to the observed

construction work.

Citation Policy

B. 1926.1402(f). Do not cite Section 1926.1402(f). This section only

specifies an exemption from the requirements of Oregon

Administrative Rule, Chapter 437, Division 3.

c. 1926.1403-.1406. Assembly/Disassembly.

These sections of Subdivision CC set forth the requirements that must be

met when the equipment is being assembled or disassembled (A/D). A/D

work that occurs in the vicinity of power lines are discussed in the section

covering 1926.1407 in this compliance directive because it more closely

relates to the provisions that address hazards related to power lines.

Assembly/Disassembly (A/D): the assembly and/or disassembly of

equipment covered under this standard. With regard to tower cranes,

“erecting and climbing” replaces “assembly” and “dismantling”

replaces “disassembly.” Regardless of whether the crane is initially

erected to its full height or is climbed in stages, the process of

increasing the height of the crane is an erection process.

All assembly and disassembly operations must comply with either the

procedures specified by the manufacturer or procedures developed by

the employer that meet the criteria listed in Section 1406. Under either

alternative, they must comply with all manufacturer prohibitions.

1. 1926.1403(a). Manufacturer’s A/D Procedures

The employer must either comply with the manufacturer’s procedures

or procedures developed by the employer in accord with 1926.1406.

Inspection Guidance

A. If employer procedures are used, verify that a qualified person

developed them and that those procedures cover all A/D

operations. Conduct interviews to obtain and document

information including:

• The name of the qualified person who developed the

employer procedures;

• Who determined that this person was qualified; and

• What qualifications of that individual were relevant to

developing employer A/D procedures.

B. Obtain copies of any available manufacturer’s prohibitions (such

as hazardous information bulletins, make and model-specific

warnings, or any relevant prohibitions that may appear in any

operations/repair manuals), as this information may be relevant in

determining whether the employer’s procedures, prohibitions, and

specifications are consistent with those of the manufacturer.

Citation Policy

C. 1926.1403(a). When an employer implements the manufacture’s

Equipment Set-up

The provisions of 1926.1403 - 1926.1406 do not apply to equipment

set-up. Set-up consists of procedures conducted to deploy an

assembled crane. For example, if the equipment operator merely

unfolds and pins the boom of a fully assembled truck crane, it would

be inappropriate to apply A/D requirements. Another example of

typical set-up operations is the deploying of outriggers and leveling the

equipment. Note that Subdivision CC does have some requirements for

set-up, such as 1926.1402(c)(2), requiring that the user be informed of

hazards beneath the set-up area, and 1926.1431(c), requiring level

ground conditions and use of any outriggers and/or stabilizers.

Procedures: include, but are not limited to: instructions,

diagrams, recommendations, warnings, specifications,

protocols, and limitations.

procedures for A/D but not in compliance with those procedures

and all applicable manufacturer prohibitions, consider a citation for

1926.1403(a). Also, cite this requirement when the employer does

not follow the manufacturer instructions or develop instructions

under 1926.1403(b).

2. 1926.1403(b). Employer-Developed A/D Procedures.

The employer has the option to develop procedures for A/D of the

equipment only when it can demonstrate that the procedures meet the

requirements of 1926.1406.

Inspection Guidance

A. If employer-developed A/D written procedures were used, obtain

and review any available copies to verify compliance with

1926.1403(b).

B. Employer-developed A/D procedures are not required to be

written. In cases where the procedures are not documented,

interview individuals to obtain responses to questions, including:

• Are the A/D procedures implemented at the site from the

manufacturer or employer-developed?

• How did she or he learn of the procedures?

• What are the hazards addressed by the A/D procedures?

• Based on the criteria listed under 1926.1406, how are

hazards specified addressed by the employer-developed

A/D procedures?

• Are there any A/D hazards that are particular to the

equipment being assembled or disassembled?

• During the A/D operation, have there been any changes in

A/D procedures or site conditions?

• If the A/D procedures were revised, how were the changes

communicated?

The information obtained from these interviews can also be used to

verify whether employer-developed A/D procedures meet the

requirements of 1926.1406.

Citation Policy

C. 1926.1403(b). Consider a citation of 1926.1403(b) when employer-

developed procedures for A/D were implemented, but:

• The employer could not demonstrate that the procedures

were in compliance with the requirements of 1926.1406, or

• The employer was not in compliance with all applicable

manufacturer prohibitions.

The Alleged Violation Description (AVD) of the citation should

state the specific provisions of 1926.1406 violated.

3. 1926.1404(a). Supervision.

A/D must be directed by a person who meets the criteria for both a

competent person and a qualified person, or by a competent person

who is assisted by one or more qualified persons (A/D director).

Inspection Guidance

A. In addition to the facts obtained to determine application of

1926.1403, ask the employer for the following information

regarding the A/D director:

• The name or names of the A/D directors, depending on

how many people are designated to perform required A/D

tasks.

• Is this individual on site?

• If more than one individual has been assigned A/D roles,

who is the competent and/or qualified person?

• Who determined that the A/D directors were qualified

and/or competent to be the A/D directors?

• What qualifications of that individual(s) are relevant to A/D

work?

• If the A/D director is not on site, how is she or he

effectively ensuring compliance with Subdivision CC.

• If more than one individual has A/D responsibilities on the

site, verify how their duties are divided or shared to ensure

that the requirements of Subdivision CC are met?

Citation Policy

B. When A/D was not supervised by an A/D director in accord with

the requirements of 1926.1404(a), consider a citation of

1926.1404(a)(1) or 1926.1404(a)(2).

4. 1926.1404(b). The A/D Director’s Knowledge of Procedures.

The A/D director must understand the applicable

assembly/disassembly procedures.

Inspection Guidance

A. In addition to the facts obtained for the application of 1926.1403

and 1926.1404(a), verify the A/D director’s knowledge of the A/D

procedures by asking her or him to describe information such as:

• When must employees be under the boom to remove or

install pins and why?

• How is adequate support provided for all parts of the

equipment?

• How is dangerous movement of the equipment prevented?

• Are there movements of the equipment and why do they

occur?

Citation Policy

B. 1926.1404(b). When A/D was directed by an A/D director who did

not understand or did not know the applicable A/D procedures,

consider a citation for of 1926.1404(b).

Note: An A/D director may be qualified/competent but still not

meet the requirements of 1926.1404(b) for a particular piece of

equipment. Similarly, the individual may not be

qualified/competent but still may be knowledgeable of the

applicable A/D procedures. Therefore, non-compliance with

1926.1404(a) or (b) can occur independently of one another and

should be considered and cited as such.

5. 1926.1404(c). A/D Director’s Review of A/D Procedures.

The A/D director must review the applicable procedures immediately

before A/D, unless the A/D director understands the procedures and

has applied them previously to the type and configuration of

equipment (including accessories, if any).

Inspection Guidance

A. In instances when the A/D director fails to demonstrate his or her

knowledge of A/D procedures , use facts obtained from interviews

and collection of information discussed above for the application

of 1926.1403 and .1404(b) to determine when an A/D director

should have reviewed procedures and if that review was in fact

conducted. See Inspection Guidance above for the application of

1926.1404(b).

Citation Policy

B. 1926.1404(c). When it has been determined that the A/D director

did not understand the A/D procedures and a review of the

procedures was not done by the A/D director prior to the

commencement of A/D work, consider a citation of 1926.1404(c).

6. 1926.1404(d). Crew Instructions.

Before the commencement of A/D work, the A/D director must ensure

that crew members are trained to understand all of the information

specified by 1926.1404(d).

Inspection Guidance

A. When possible, observe the crew members’ performance of the

A/D operation to determine whether employees understand their

roles and perform the work safely.

B. Ask the A/D crew members to describe:

• The hazard that was addressed by the communication with

the operator and/or signal person if he or she were to move

to a hazardous location on or around the equipment that

was out of the view of the operator.

• Whether employees should be underneath the boom when

it is being moved or its pins removed.

C. The depth of the knowledge needed to perform the A/D job safely

depends upon what tasks individuals are assigned to perform. The

A/D director and employer should be interviewed to determine

when and what training was provided to the crew members.

D. Interview the A/D supervisor and ask them to describe how they

verified that the crew members understood their responsibilities

and the hazards associated with A/D work.

Citation Policy

E. 1926.1404(d). When crew members did not understand their duties

prior to commencing A/D operations, consider a citation of

1926.1404(d). Group this citation with 1926.1400(f).

7. 1926.1404(e). A/D Crew Member Out of View of Operator.

The employer must ensure that crew members comply with the

requirements of 19126.1404(e) when they are in hazardous areas on or

around the equipment that are out of view of the operator.

Inspection Guidance

A. When observing A/D operations and if exposures are mentioned

during interviews, document instances when it appears employees

have been in hazardous areas of the equipment not in the view of

the operator. Document information such as:

• What hazardous area was the crew member in?

• Did the operator know the crew member was in the

hazardous area?

• Why did the crew member have to go to the hazardous

area?

• Were the operator and the crew member in voice contact

with each other when the crew member went out of view of

the operator?

• How was communication maintained?

• Was the equipment moved while the crew member was in a

hazardous area?

• Were there any other protective measures implemented to

protect the crew member from being harmed while in

hazardous areas and out of view of the operator?

Citation Policy

B. 1926.1404(e)(1). If an employee goes to a location that is out of

view of the operator where they may be hit by the equipment,

without telling the operator, consider a citation of 1926.1404(e)(1).

Group this citation with 1926.1400(f).

C. 1926.1404(e)(2). If the operator, after being informed that an

employee was moving into a location where they could be hit by

the equipment, subsequently moved the equipment, consider a

citation of 1926.1404(e)(2). Group this citation with 1926.1400(f).

8. 1926.1404(f). Working Under the Boom Jib or Other Components.

The employer must ensure that crew members comply with the

requirements of 19126.1404(f) when they work under the boom, jib, or

other components of the equipment.

Inspection Guidance

A. Visually observe the A/D operation and document/photograph any

instances when A/D crew members were in/under the boom when

assembly pins were being placed or removed. Note that if the pins

were installed incorrectly, crew members may have to be in/under

the boom to remove them. When A/D crew members are observed

under the boom, jib, or other components when pins are being

placed or removed:

• Ask the A/D director to describe the procedures

implemented to minimize employee exposure to unintended

dangerous movement of the equipment.

• Document why and when employees are required to be

under the boom while pins are being placed or removed.

Use this information to determine the employer’s compliance with

the requirements of 1926.1404(f) (working under the boom, jib or

other components).

Citation Policy

B. 1926.1404(f). When the requirements for the exception in

1926.1404(f)(2) have not been met, consider a citation of

1926.1404(f)(1). Note: Section 1926.1404(f)(2) must not be cited

as it only specifies the exception to the requirements of

1926.1404(f).

9. 1926.1404(g) through (q). Capacity of the Equipment/Assist Crane

and Stability of the Equipment/Assist Crane and the Load.

During the performance of A/D work, the employer must ensure that

the requirements of 1926.1404(g) through (q) are met.

These paragraphs include requirements for: stability of the equipment,

capacity limits (including assist crane), blocking materials and

location, boom pick points, center of gravity of the load, pin

installation/removal, boom stability and cantilevering, unintended

movement of counterweights, snagging of suspension ropes and

pendants, the use of outriggers, and components and configuration.

Inspection Guidance

A. In many cases, indications that the maximum capacity of the

equipment or rigging could have been exceeded can be established

from:

• Information obtained from interviews,

• The observed hoisting of unusually heavy loads where it is

obvious that the load exceeds the rated capacity of the

equipment or rigging,

• Damage to the equipment and rigging, such as cracks,

elongations of chain links, holes, and eyes of latches,

twists, irregular bends, or

• Failure of the equipment or rigging.

B. If there are questions regarding whether or not the rated capacity of

the equipment or rigging was exceeded, ask the operator, rigger,

A/D director, and employer to describe how the weight of the load

was determined, and whether the load exceeded the rated capacity

of the equipment and rigging.

C. When stability of the equipment or safe hoisting of the load is in

question, document the rated capacities of the equipment and

rigging, the weight of the load, any determinations made regarding

the center of gravity of the equipment, and review operating

procedures to identify any manufacturer’s limitations. This

information may be obtained from any available hoisting

record/calculations and asking individuals such as the operator,

maintenance personnel, and the qualified rigger.

D. If present during A/D operation and through visual inspection of

the equipment, verify that there were no violations of the

requirements of 1926.1404(g) through (q).

E. For example, hazardous conditions like improper

blocking/supporting of the boom, use of outriggers, pin

installation/removal, and snagging of suspension ropes can be

identified through visual inspection of the equipment. This

information should be used to support citations for violations of

1926.1404(g) through (q).

F. When assist cranes are used to perform A/D jobs, verify from the

operator and rigger and document the loads imposed on those

assist cranes. For example, and document how it was determined

that the rated capacity of the assist crane, as indicated by its load

charts for its configuration, was sufficient for hoisting

counterweights.

Citation Policy

G. 1926.1404(g) through (q). Unless specified otherwise below, when

applicable requirements of 1926.1404(g) through (q) have not be

met, consider a citation of the specific provisions violated.

H. 1926.1404(h). When issuing a citation for failure to address one of

the hazards listed in 1926.1404(h)(1) through 1926.1404(h)(12),

group each item with 1926.1400(f).

I. 1926.1404(h)(4). When the loads imposed on an assist crane were

not verified in accord with 1926.1417(o)(3) before A/D work

began, consider a citation of 1926.1404(h)(4), grouped with a

citation for the specific provisions of 1926.1417(o)(3) violated.

J. 1926.1404(m)(1)(ii). Section 1926.1404(m)(1)(ii) must not be

cited because it addresses only requirements of 1926.1434 that

must be met during A/D work. When modifications of the

equipment have been identified during an Oregon OSHA

compliance inspection that occurs during the performance of A/D

work, refer to the discussion of the citation policy for 1926.1434,

Equipment Modification, of this compliance directive.

K. 1926.1404(q)(5)(i). When the requirements of 1926.1404(h)(2) and

(h)(3) have not been met, consider a citation of 1926.1404(q)(5)(i)

grouped with each citation for the specific provisions of

1926.1404(q)(h)(2) or (h)(3) violated. The citation of

1926.1404(q)(5)(i) identifies that the inadequate blocking was

particular to the support of outriggers during A/D work.

10. 1926.1404(r). Rigging.

During the performance of A/D work, employers must ensure that the

requirements of 1926.1404(r) are met regarding rigging of loads.

Inspection Guidance

A. All rigging required during the performance of A/D work must be

performed by a qualified rigger. Ask the employer to describe how

the determination was made that the rigger was qualified to

perform the rigging necessary for the particular A/D job.

B. Interview the rigger to verify her or his qualifications. Information

obtained from the rigger’s responses to the following questions

may be relevant to their qualifications and knowledge of rigging:

• How long have you been rigging the loads?

• What is the nature of your training? When and where were

you trained?

• Have you received any certifications for rigging?

• Describe your prior work experiences with the type of

rigging job being performed, as well as any related training.

• How do you calculate the weight of the load and verify that

it is within the crane’s maximum capacity in the

configuration that the crane will be used?

• How do you determine the safe working capacity of the

rigging, including all components?

• How do you determine that rigging equipment, such as

slings and shackles are compatible?

• Describe an inspection of the rigging equipment?

• How do you ensure that the load will stay in control and

that it is rigged to prevent displacement or unintended

movement?

• Describe potential hazards of the rigging methods used

under that worksite’s conditions, such as weather, and how

those hazards have been addressed?

• Were any synthetic slings used for rigging on this job and if

so, for what applications?

• When do you determine when measures must be taken to

prevent any potential damage to the rigging during the lift?

For example, when softeners are needed for nylons slings

or when padding is needed on edges of load?

C. Review any available instructions on site from the manufacturer of

any synthetic slings used, observe hoisting operations, and visually

inspect any synthetic slings on site to ensure that they are being

used properly, are in good condition, and have not been distorted,

cut, or damaged by abrasive materials during hoisting operations.

Use this information and interview evidence as described above for

1926.1403 and 1926.1404(a) through (q) to identify who the

qualified rigger is, her or his qualifications, and to verify that

synthetic slings were used in accord with the manufacturer’s

recommendations, instructions, specifications, and limitations.

Citation Policy

D. 1926.1404(r). When the requirements of 1926.1404(r) have not

been met, consider a citation for the specific provision of

1926.1404(r) violated. Multiple violations of this paragraph may

be grouped. For violations of Subdivision H, 1926.251, consider a

citation for 1926.1404(r) and referring to the specific provisions of

Employers must determine whether a person is qualified to perform

specific rigging tasks. Each qualified rigger may have different

credentials or experience. A qualified rigger is a person that:

• possesses a recognized degree, certificate, or professional

standing, or

• has extensive knowledge, training, and experience, and

• can successfully demonstrate the ability to solve problems related

to rigging loads.

The person designated as the qualified rigger must have the ability

to properly rig the load for a particular job. It does not mean that a

rigger must be qualified to do every type of rigging job. Each load

that requires rigging has unique properties that can range from the

simple to the complex. For example, a rigger may have extensive

experience in rigging structural components and other equipment to

support specific construction activities. Such experience may have

been gained over many years. However, this experience does not

automatically qualify the rigger to rig unstable, unusually heavy, or

eccentric loads that may require a tandem lift, multiple-lifts, or use

of custom rigging equipment. In essence, employers must make

sure that the person has the qualifications needed for the exact

types of loads and lifts for a particular job and with the equipment

and rigging that will be used for that job.

1926.251 violated in the AVD.

11. 1926.1405. Additional Requirements for Dismantling Booms and Jibs.

In addition to meeting the requirements of 1926.1404, the employer

must also comply with supplemental requirements for disassembly of

booms and jibs.

Inspection Guidance

A. When possible, observe the A/D operation and visually inspect the

boom and jib being assembled to verify that the requirements of

1926.1405 have been met.

Citation Policy

B. 1926.1405. (Assembly/Disassembly - Additional Requirements for

Booms and Jibs) When the requirements of 1926.1405 have not

been met, consider citations for violations of applicable provisions

of 1926.1405.

12. 1926.1406. Criteria for Employer-Developed A/D Procedures.

For the employer to develop its own A/D procedures in accordance

with 1926.1403(b), it must demonstrate that the plan developed meets

the criteria specified in 1926.1406.

Inspection Guidance

A. Use facts from interviews and collection of information discussed

above for 1926.1403(b) to verify that the employer’s A/D plan

meets the criteria in 1926.1406.

B. To determine if the employer can demonstrate that its A/D plan

meets the requirements of 1926.1406, the employer and A/D

director should be asked to describe how unintended dangerous

movement of the equipment and potential collapse of parts have

been addressed by requirements of the employer’s A/D plan. Also,

the employer should be asked to demonstrate where protective

measures have been implemented and/or what work practices are

used to address the hazards identified in 1926.1406.

Citation Policy

C. 1926.1406. A violation of 1926.1406 would essentially be a

violation of 1926.1403(b) as well. Therefore, when the A/D plan

developed by the employer does not meet the requirements of

1926.1406, consider a citation of 1926.1403(b) and the AVD of the

citation should state the specific provisions of 1926.1406 that were

violated.

d. 1926.1407-.1411. Power Line Safety.

The purpose of the power line safety provisions are to keep cranes

(including cab, boom, and wires and cables, and load) away from power

lines. Distance from the power lines is the primary source of safety, since

many lines are not insulated. Cranes must be kept farther away from

power lines with higher voltages, since the higher the voltage, the longer

the distance a power source can arc to ground (here, via the crane).

Table A in the standard, found in 1926.1408, lists safe distances across

several ranges of voltages. Most residential power lines are below 50 kV

(kilovolts); so, the closest a crane can get to a neighborhood power line is

normally 10 feet, either for assembly/disassembly (A/D) or operations.

However, operations closer than Table A distance are permitted so long as

provisions of 1926.1410 are followed. A/D closer to energized power

lines than Table A distance is never permitted.

None of the provisions of work near power lines apply to work performed

under Subdivision 2/RR, Electric Power Generation, Transmission and

Distribution, which covers work on power lines.

Each power line must be assumed to be energized. Subdivision CC gives

employers several options to address hazards associated with energized

power lines.

If a crane does contact the power line or become energized, employers

should consult any applicable manufacturer’s recommendations prior to

returning the crane to service. Such an event may require additional

inspections if the manufacturer so recommends, and such inspections

would be mandatory under 1926.1412(j).

As a reference, the picture below is from federal OSHA’s Power

Transmission and Distribution e-tool and it illustrates several types of

poles/structures and the typical voltages of the power lines they support.

1. 1926.1407-.1411. Training.

Sections 1926.1408(g), 1926.1409, and 1926.1410(m) all require that

the employer meet the operator and crew member training

requirements of 1926.1408(g). However, these training requirements

are not duplicated or referenced for the application of 1926.1407 and

1926.1411.

In accord with 1926.1407(b)(1), a planning meeting must be

conducted with the A/D director, operator, and crew members and

other workers who will be in the A/D area to review the location of

power lines and the steps that will be implemented to prevent

encroachment/electrocution. In addition, 1926.1404(d) requires the

A/D director to ensure that crew members understand the hazards

associated with their tasks. The employer’s compliance with these two

provisions would be sufficient to ensure that workers can perform their

duties safely when A/D operations must be performed closer to power

lines than required clearance distances.

The equipment operator, a dedicated spotter (if needed), and any other

competent person needed to make determinations required by

1926.1411 must be trained as required by other sections of Subdivision

CC. In addition to other applicable requirements of Subdivision CC,

the employer’s compliance with operator certification/qualification

requirements of 1926.1427, the dedicated spotter training requirements

of 1926.1430(b), and for competent persons, the definition in

1926.1401, would be sufficient when the equipment is driven under a

power line with no load.

Below is a discussion of training requirements that are common to

1926.1408(g), 1926.1409, and 1926.1410(m).

Inspection Guidance

A. Observe equipment operations for indications that employees may

not have been trained to perform their duties safely and interview

individuals including the employer, operator, and crew members to

verify that they have been trained in accordance with 1926.1408(g)

(all of the training requirements of 1926.1408(g) also apply to

1926.1409 and 1926.1410(m)).

B. To verify training through interviews, the operator and/or crew

member can be quoted elements of 1926.1408(g)’s training

requirements and asked to discuss those elements and any training

they received.

For example, the operator can be asked to describe the safest

means for evacuating equipment that has been energized from

contact with a power line. The crew members can be asked to

describe how contact with the power lines is being prevented on

the worksite. Both can be asked to describe the hazards that most

affect crew members around the equipment or those who handle

the load in the event the equipment contacts a power line. These

types of questions can help determine if the individuals

interviewed have been trained on the topics specified by

1926.1408(g).

C. Also, if available, request and review copies of training materials

and any records of training conducted by the employer.

Citation Policy

D. 1926.1407. When an operator or crew member was not trained to,

but was performing, A/D work closer to a power line than required

clearance distances allow, consider citations for violations of

applicable training provisions in other sections of Subdivision CC

based on the role performed by the employee. For example,

consider citing 1926.1404(d)(1)(ii) for crew members who were

not trained to understand the hazard of removing or not doing an

encroachment protection measure required by 1926.1407(b). In

such a case the AVD of the citation should describe the hazard and

provision of 1926.1407(b) that the person was not trained to

understand.

A citation of 1926.1430(d) could also be considered for an A/D

director (a competent person) not being trained to recognize the

hazards associated with performing A/D work closer to a power

line than required clearance distances allow. In such a case the

AVD of the citation should describe the hazard and provision of

1926.1407 that the competent person was not trained to

understand.

E. When an operator or crew member assigned to work with the

equipment was not provided training or training that included all of

the subject matter specified in 1926.1408(g):

• 1926.1408(g). If the equipment was operated in proximity

to a power line of up to 350 kV, consider a citation for the

specific provision of 1926.1408(g) on which the employee

was not properly trained.

• 1926.1409. If the equipment was operated within 50 feet of

a power line of over 350 kV, consider a citation of

1926.1409. The AVD of the citation should describe the

specific provision of 1926.1408(g) on which the employee

was not properly trained.

• 1926.1410(m). If the equipment is operated closer in

proximity to an energized power line than Table A of

1926.1408 allows and the employer met all other

requirements of 1926.1410, consider a citation of

1926.1410(m) if there is evidence demonstrating the

employees have not been adequately trained in the elements

of 1926.1408(g). The AVD for this citation should describe

the elements of 1926.1408(g) on which the employee was

not trained.

F. 1926.1411. When an operator or crew member was not provided

training that covered the hazards associated with their tasks related

to the equipment traveling underneath an energized power line

with no load, consider citations for violations of applicable training

provisions in other sections of Subdivision CC based on the role

performed by the employee.

A citation of 1926.1430(d) could also be considered for the

operator (a competent person), or (if used) another individual who

was the competent person assigned to make determinations

required by 1926.1411, not being trained to recognize the hazards

associated with the equipment traveling under or near a power line

on the construction site with no load. In such a case the AVD of

the citation should describe the hazard and provision of 1926.1411

on which the competent person was not trained.

A citation can also be considered for a violation of 1926.1430(b)

when the dedicated spotter was not trained as a signal person as the

definition of dedicated spotter specifies.

2. 1926.1407(c). Power Line Safety – assembly and disassembly (A/D)

below power lines up to 350 kV, 1926.1407.

A/D is prohibited below power lines unless the power lines have been

deenergized, visibly grounded at the work site, and the employer has

confirmed deenergization with the local utility. “At the worksite”

means that the ground lines are within view of some part of the

construction site. If it is technologically impossible for the utility to

ground the power line at the worksite, the employer may station an

employee at the grounding site with means to communicate with the

A/D director.

When deenergization and grounding are used to make crane A/D safe,

the employer is required to confirm with the electric utility that the line

continues to be deenergized and visibly grounded. Ideally, the utility

owner/operator could confirm a time frame during which the power

lines would remain deenergized and the employer should verify this

information at least at the beginning of each work shift or, if changes

in site conditions warrant, every four hours thereafter would be

sufficient.

Inspection Guidance

A. Interview employees and the employer and observe to determine

whether a crane under a power line is being assembled or

disassembled, operated, or traveling.

B. Ask the employer if the power line has been deenergized and if

there is any available documentation from the utility

operator/owner confirming that the power lines have been

deenergized and grounded. Use this interview and documentation

to determine when the utility/owner operator was contacted and, if

possible, when the utility last confirmed that the power lines

remained deenergized and grounded.

Citation Policy

C. 1926.1407(c). If an employer is performing A/D directly below an

energized power line, consider citing 1926.1407(c).

D. 1926.1407(f). Consider citing 1926.1407(f) if the employer

followed Option 1 and confirmed that the line was deenergized,

but the line subsequently become energized while A/D was

ongoing.

3. 1927.1407(a). A/D near power lines.

Before A/D begins, the employer must make a determination whether

the crane could come within 20 feet of a power line during A/D. The

employer may request the electric utility to provide voltage

information, and the electric utility has two working days to provide

the voltage of the lines. If the crane could not come within 20 feet of

the power line, the employer does not have any more obligations under

1926.1407(a) through (f), unless changes in the A/D plan would

require a reassessment.

Inspection Guidance

A. Ask the employer if he or she determined whether the crane could

come within 20 feet of any power lines.

B. Ask the employer how they determined the line voltage.

Citation Policy

C. 1926.1407(a). There is no requirement that the 20-foot

determination in 1926.1407(a) be written or kept as a record. Thus,

this provision will likely only be cited if the employer

acknowledges, in response to a question from a compliance officer,

that he or she did not make an assessment of how close the crane

or its parts could come to power lines at the work site.

D. 1926.1407(e). If the electric utility does not provide the requested

voltage of the power line within two working days, consider a

citation to the utility of 1926.1407(e). See text box below on citing

utilities in the Operations section, 1926.1408(c).

4. 1926.1407(a)(1) through 1926.1407(a)(3). Assembly/disassembly

(A/D) up to 350 kV that could come within 20 feet of power lines.

A. If A/D could bring the crane closer than 20 feet to power lines, the

employer must follow one of the following options:

• Option 1: deenergize and visibly ground the line at the

worksite; confirm conditions with the utility.

• Option 2: implement the requirements in paragraph (b) of

1926.1407 to keep the crane 20 feet away; or

• Option 3: the employer must determine the voltage and the

corresponding Table A distance. The employer must then

follow the requirements in paragraph (b) of 1926.1407 to

keep the crane Table A distance away from the line.

B. Encroachment precautions for A/D under paragraph (b).

When the employer chooses to follow Option 2 (keeping the crane

20 feet away during A/D) or Option 3 (keeping the crane at least

Table A distance away from the power line), the employer and

operator must follow the following precautions from paragraph (b)

of 1926.1407:

• Conduct a planning meeting with the A/D director,

operator, A/D crew, and other workers in the area [(b)(1)];

• Use only non-conductive tag lines [(b)(2)]; and

• At least one of following measures [(b)(3)]:

o Spotter;

o An elevated warning line.

o Range limit device

o Range control device; or

o Proximity alarm

Note: The standard requires that proximity alarms be

“NRTL approved.

Elevated Warning Line

“Elevated” means visible to the operator such that he or she can

accurately gauge whether the load and equipment is an appropriate

distance from the power line. Typically, this will mean at least 2/3

the height of the power line.

Inspection Guidance

A. See the Inspection Guidance section in Operations Near Power

Lines 1926.1408(a)(2).

Citation policy

B. 1926.1407(a)(2). If A/D work was performed closer than 20 feet

(following Option 2) to an energized power line of up to 350 kV,

or if a requirement of 1926.1407(b) was not met, consider citations

for a violation of 1926.1407(a)(2). If a particular provision of (b)

was violated, include a description of it in the AVD.

C. 1926.1407(a)(3). If a requirement of 1926.1407(b) was not met

(for Option 3), consider citations for a violation of

1926.1407(a)(3). If a particular provision of (b) was violated,

include a description of it in the AVD. Also consider citing this

paragraph if the employer did not determine the voltage of the line.

D. 1926.1407 (d). If A/D was performed closer to a power line than

table A distance, consider a citation of 1926.1407(d). Also

consider citing (d) if the crane was reported to have contacted a

power line or become energized, and evaluate whether the

provisions of (b) were followed.

Temporary Enforcement Policy for the use of Proximity Alarms

When used to meet the requirements of 1926.1407(b)(3), a

proximity alarm must have been approved by a Nationally

Recognized Testing Lab (NRTL). To date, no proximity alarm

meets the NRTL requirements. Additionally, at this time, no NRTL

is recognized by the Agency to perform the required testing to list,

label or accept either type device. Proximity alarms which do not

meet the NRTL requirements continue to be available, as they have

for decades. These versions have not been "...listed, labeled or

accepted by a Nationally Recognized Testing Laboratory." OSHA

does not anticipate proximity alarms which meet the NRTL

requirements to be available in the near future.

Because no current proximity alarms meet the NRTL requirements,

employers may not rely solely on proximity alarms to comply with

the requirements of the cranes standard. However, an employer may

use a crane/derrick in construction with a proximity alarm in

conjunction with another appropriate "measure" from

1926.1407(b)(3) such as a "dedicated spotter" or "range control

warning device." This includes situations where voltages are over

350kV as referenced in 1926.1409.

E. 1926.1407 (g). One electrocution hazard warning must be posted

inside the crane cab within view of the operator and at least two

posted on the outside of the crane (equipment). If any of these

signs are not posted, consider a citation for 1926.1407(g).

5. 1926.1408. Operations of Equipment Near Power Lines Up to 350 kV

Before beginning crane operations, the employer must define the

boundaries of the work zone. There are two alternatives to defining a

work zone: (1) with flags, a device such as a range limiting device, a

range control warning device, or other method of signaling the work

zone to the crane operator; or (2) the work zone may also be defined as

the entire maximum working radius of the crane, all around the crane

(360 degree swing).

If the work zone is defined as in the first alternative above, the

employer must prohibit the operator from operating the equipment past

the boundaries. However, if the boom is kept within the work zone at

less than its maximum radius, the employer does not have to follow

the (b) encroachment precautions (see diagram and example excerpted

from an interpretation letter to Walter B. Tucker [3/29/2012], below).

Once a work zone is defined, the employer must determine whether

any part of the equipment or load, while working within the work zone

up to the crane’s maximum working radius, could come within 20 feet

of power lines. If it could, then the employer must implement Option

1, Option 2, or Option 3 under 1926.1408(a)(2). The options are

described below.

Work zone: the entire area in which the equipment will be

operated. If the equipment is moved or its configuration changed,

the employer must re-assess the work zone and the proximity of

power lines. If the equipment will be located in more than one

location, the work zone will need to include a maximum-working-

radius circle at each location.

Maximum working radius: the maximum possible length of the

boom (and attached jib, if applicable) that can be extended (post-

assembly) during equipment operations. In other words, it is the

maximum distance the boom could be extended for a fully

assembled crane/derrick with or without a load. At a minimum,

demarcated boundaries are required if a power line is located

anywhere within 20 feet of the maximum working radius of the

crane.

In general, the working radius of the equipment is calculated based on

the boom angle and the length of the boom. However, when a load is

suspended from the boom, the distance from the load line to the edge

of the load must be included as well.

Below is an example of an ideal work zone.

Example 1: Flags demarcate work zone. Within the work zone, the

crane cannot reach within 20 feet of the power lines.

However, based on the interpretation of work zones, the following

scenario and similar scenarios are also considered to be in compliance

with the crane standard.

Work Zone Interpretation (Tucker March 29, 2012)

If the demarcated boundary line is located at least the minimum

clearance distance from the power line, the operator must be aware

that no part of the equipment or load may go past the demarcated

boundary line of flags, and can judge the position of the equipment

with respect to the demarcated boundary line, then 1408(a)(2) is

satisfied and no further precautions are needed.

Example 2: Here the crane is capable of reaching within 20 feet of the

power lines, yet the flags define a smaller work zone. Where the

operator can see the boundary and understands not to extend beyond

the work zone, the employer is in compliance with the standard and

need not implement one of the three options.

Inspection Guidance

A. The employer’s compliance with many of the power line

requirements can be confirmed by observing the operation of the

equipment during hoisting or A/D operations. Videos and/or

photos (video is recommended) should be taken of the equipment

in operation next to the power lines to confirm the boom angle,

boom length, and section extensions of a hydraulic boom. Also

document:

• How and where loads are suspended by the equipment--

both when in operation and when left unattended, and

• Where barriers, elevated warning lines, flags, warning signs

and any other markers have been erected.

B. Established demarcations, or landmarks like buildings, roadways,

trees, etc., as reference points, should be used by the compliance

officer to document how close to a power line the equipment was

operated in order to: (1) determine if work zones and

encroachment prevention methods are implemented properly, and

(2) to estimate and document the boom angle and length and the

distance from the equipment to the power line. If there are no

visible demarcations indicating otherwise, it is likely that the

employer has either defined the work zone as 360 degrees around

the equipment at the maximum working radius of the equipment or

has not defined a work zone at all. Use information collected from

interviews and review relevant, available documentation to

confirm the option chosen by the employer, if any.

Citation Policy

C. 1926.1408(a)(1). There is no requirement that the employer’s

identification of the work zone be written or kept as a record. Thus,

this provision will likely only be cited if the employer

acknowledges, in response to a question from a compliance officer,

that he or she did not identify a work zone. If that is the case,

consider citing 1926.1408(a)(1).

D. 1926.1408(a)(2). There is no requirement that the 20-foot

determination in 1926.1408(a)(2) be written or kept as a record.

Thus, this provision will likely only be cited if the crane comes

within 20 feet and the employer acknowledges, in response to a

question from a compliance officer, that he or she did not make an

assessment of how close the crane or its parts could come to power

lines at the work site. If that is the case, consider citing

1926.1408(a)(2).

6. 1926.1408(a)(2). Operations that could come within 20 feet of power

lines.

If the crane, when used at its maximum working radius in the work

zone, may come within 20 feet of a power line, then the employer

must implement Option 1, Option 2, or Option 3 under

1926.1408(a)(2).

• Option 1: deenergize and visibly ground the line at the

worksite; confirm conditions with the utility

• Option 2: follow the requirements in paragraph (b) of a

1926.1408 to keep the crane 20 feet away; or

Power lines: electric transmission and distribution lines, including

“drops,” or service lines, to houses or businesses.

Only an individual who is qualified with regard to power

distribution and transmission equipment can determine when a line

is deenergized and, especially, properly grounded.

• Option 3: the employer must determine the voltage and then

the corresponding Table A distance. Then, the employer must

follow the requirements in paragraph (b) of 1926.1407 to keep

the crane Table A distance away from the line.

Encroachment precautions for operations under paragraph (b).

When the employer chooses to follow Option 2 (keeping the crane 20

feet away during A/D) or Option 3 (when the crane could approach

near the distances in Table A), the employer or operator must comply

with the following precautions from paragraph (b) of 1926.1408:

• Conduct a planning meeting with the A/D director, operator,

A/D crew, and other workers in the area;

• Use only non-conductive tag lines;

• Put up an elevated warning line, barricade, or line of signs. If

the operator cannot see the lines, a spotter must be used.

“Elevated” means visible to the operator such that he or she

can accurately gauge whether the load and equipment is an

appropriate distance from the power line; typically, this will

mean at least 2/3 the height of the power line.; and

• At least one of following measures:

o Proximity alarm;

o Spotter;

o Range control device;

o Range limit device; or

o Insulating link.

Note: The standard requires that insulating links/devices and

Differences between paragraph (b) precautions for A/D and Operations

The encroachment precautions for A/D and operations are almost

identical. Both require a planning meeting, prohibit the use of conductive

tag lines, and require the implementation of at least one of 5 listed

precautions. They only differ in that:

▪ Employers engaged in A/D may use an elevated warning line as one of

the 5 listed precautions under 1926.1407(b)(3)(v). An elevated

warning line is always required for operations under 1926.1408(b)(3).

▪ Employers engaged in operations may use an insulating link as one of

the 5 listed precautions under 1926.1408(b)(4)(v). This option is

unavailable for employers engaged in A/D.

proximity alarms be “NRTL approved,” see following text box for

explanation of temporary enforcement policy.

Subparagraphs (b)(4)(ii)(A) to (D) list several performance criteria for

spotters. He or she must: be equipped with a visual aid; be properly

positioned; use equipment for direct communication to the operator,

when necessary; and give timely information to the operator.

Inspection Guidance [for A/D also]

A. Interview the employer, operator, and signal person (if any). Ask

the employer or operator:

• Whether Option 1, Option 2, or Option 3 was chosen.

• For Option 1, ask the employer if the power line has been

deenergized and if there is any available documentation

from the utility operator/owner confirming that the power

lines have been deenergized and grounded. Use this

interview and documentation to determine when the

utility/owner operator was contacted and, if possible, when

the utility last confirmed that the power lines remain

Temporary Enforcement Policy for the use of Insulating Links and

Proximity Alarms

Because no current insulating links/devices or proximity alarms

meet the NRTL requirements, employers may not rely solely on an

insulating link/device or proximity alarm to comply with

requirements of the cranes standard. However, an employer may use

a crane/derrick in construction with an insulating link and/or

proximity alarm in conjunction with another appropriate "measure"

from 1926.1408(b)(4), such as a "dedicated spotter" or "range

control warning device." This includes situations where voltages are

over 350kV as referenced in 1926.1409

Dedicated Spotter

To be considered a dedicated spotter, the requirements of

1926.1428 (Signal person qualifications) must be met. His/her

responsibility is to watch the separation between the power line and

the equipment, load line and load (including rigging and lifting

accessories), and ensure through communication with the operator

that the applicable minimum approach distance is not breached.

deenergized and grounded.

• For Option 1, ask the employer if the utility is operated by

a local government authority. This information may be

needed in scenarios where power line voltages were not

provided by the utility owner/operator as the employer

requested.

• Ask if there are disconnects or reclosers on the power line

and document where they are located. This information

may be important in determining if the employer is

operating the equipment closer than a required clearance

distance to an area of the power line where unintended

reenergization of the power line could occur. This

information could also be used to confirm that the

employer continued to ensure that the power line was

deenergized when conditions of the power lines are subject

to change, such as those equipped with automatic reclosers.

• For Option 3, ask when the utility/owner operator was

contacted to get the voltage of the power line and the

identity of the employee of the utility owner/operator who

provided that information. If necessary, contact the local

utility to verify. The voltage information is necessary to

determine which of the power line sections apply and will

also be useful in verifying the employer’s compliance with

minimum approach distances established in Table A.

• If possible, verify the height of the power line and T-arms

of its support structure. Obtain any available specifications

of the utility lines, T-arms, etc. This information can be

used to estimate the distance from the equipment to the

power line and to obtain any related

recommendations/prohibitions from the utility

owner/operator.

• For Option 3, ask whether any determinations were made

by the employer or a qualified person, such as the operator

or lift director, regarding the ability to keep the equipment

at Table A distances away from the power line. When

determinations were made, identify the person who made

them and ask that individual or the employer to describe

their qualifications.

• If possible, interview the person who made the

determination regarding work performed in proximity to

the power line.

• Confirm the dates, times, persons present, and content of

any meetings conducted to exchange information needed to

work safely in proximity to the power lines. Planning

meetings are required under the encroachment prevention

methods to ensure that employees understand their

assignments, the hazards of working in the vicinity of the

power lines, and the protective methods being

implemented.

• Verify that, if used, the dedicated spotter had no other

duties to distract from spotting duties.

• Obtain copies of any precautionary plans that could be used

to determine if and how the employer planned to address

the power line hazard. If the plans are not written,

individuals can be asked to describe any precautions

discussed and/or implemented on the worksite.

• Document any visible information (name of the utility

operator/owner, contact number, pole identification

number, voltage of lines, height of pole, etc.) posted on the

power line poles in case the utility must be contacted later

to get information about the power lines and support

structures.

Citation policy

B. 1926.1408(a)(2). If the work zone allows for encroachment within

20 feet and no option is implemented, consider issuing a citation

for 1926.1408(a)(2).

C. 1926.1408(a)(2). If the employer (following Option 1) does not

confirm with the electric utility that the line has been deenergized

and continues to be deenergized, consider citing 1926.1408

(a)(2)(i) and (e). See guidance provided about the phrase

“continues to be deenergized” in the discussion of 1926.1407(c).

D. 1926.1408(c). If the electric utility does not provide the requested

voltage of the power line within two working days, consider a

citation to the utility for 1926.1408(c). Note that a unit of a local

government may not be cited, however.

E. 1926.1408(a)(2)(ii). If crane operations were performed closer than

20 feet (following Option 2) to an energized power line of up to

350 kV, consider a violation of 1926.1408(a)(2)(ii). If a

requirement of 1926.1408(b) was not met, consider a citation of

1926.1407(a)(2)(ii). If a particular provision of (b) was violated,

include a description of it in the AVD.

F. 1926.1408(a)(2)(iii)(A). If the employer was following Option 3

and did not check the voltage, consider a citation for

1926.1407(a)(2)(iii)(A).

G. 1926.1408(a)(2)(iii)(B). If operations were performed closer to a

power line than table A distance (employer following Option 3),

consider a citation of 1926.1408(a)(2)(iii)(B), unless the employer

followed the greater safety precautions in 1926.1410 (discussed

below). Also consider citing (a)(2)(iii)(B) if the crane was reported

to have contacted a power line or to have become energized.

H. 1926.1408(a)(2)(iii)(B). If the employer did not implement the (b)

encroachment precautions (for Option 3), consider a citation of

1926.1407(a)(2)(iii)(B). If a particular provision of (b) was

violated, include a description of it in the AVD.

I. 1926.1408(c). If the electric utility does not provide the requested

voltage of the power line within two working days, consider a

citation of the utility for 1926.1408(c).

J. 1926.1408(e). Consider citing 1926.1408(e) if the employer

followed Option 1 and confirmed that the line was deenergized,

but the line subsequently became energized while operations were

ongoing. See guidance provided about the phrase “continues to be

deenergized” in the discussion of 1926.1407(c).

7. 1926.1408(d). Crane operations below power lines.

During crane operations, no part of the crane is permitted below a

power line unless the employer has confirmed with the electric utility

that the line is deenergized and visibly grounded, with the following

exceptions: the boom extended at maximum vertical is 20 feet (or

Table A distance) below the line or the employer demonstrates that

deenergization is infeasible and 1926.1410 is followed.

Inspection Guidance

A. Ask the employer how he or she made the determination that the

boom, when extended completely vertically below the line, could

not come within 20 feet of the power line.

Violations by a Utility

A utility maybe cited for a violation of 1926.1407(e) or .1408(c)

much like a Controlling, Creating, or Correcting Employer that has

no employees exposed on the job site. The utility has two working

days to provide voltage information to an employer working near

power lines who uses Option (3). The utility is under no obligation

to de-energize a power line for an employer pursuing Option (1). If

the utility will not de-energize the line, Option (1) is not available

to the employer.

For more procedural guidance regarding such a citation, please

refer to Program Directive A-257, Multi-Employer Citation

Guidelines.

Citation Policy

B. 1926.1408(d)(1). When the work or conditions at the site did not

meet one of the exceptions in 1926.1408(d)(2) and a part of the

equipment, load line, or load (including rigging and lifting

accessories) was below an energized power line, consider a citation

of 1926.1408(d)(1).

8. 1926.1408(f). Working near transmitters or communication towers.

When a crane is close enough to a transmitter or communication tower

for the equipment to induce a current or electrical potential in the

crane, the transmitter must be deenergized or the crane grounded and

non-conductive tag lines used.

Inspection Guidance

A. Observe the operation of the equipment and photograph and/or

video the presence of any transmitters/communications towers in

the vicinity of the equipment or jobsite. This information would be

relevant to a violation of 1926.1408(f), discussed in the citation

policy section below.

B. Observe the area around the crane and visibly determine if there is

a transmission/communication tower in sight. If there is, ask the

employer or crane operator if he or she is aware that the tower is

there. If the employer or operator is aware, document any

determinations that have been made about the potential hazard of

the crane being energized by radiation from the tower. When there

is a concern that a transmission/communication tower is too close

to the crane, do not approach the crane as there may not be any

obvious signs that the crane may be energized. Under such

conditions, verify from a reliable source, such as the

owner/operator of the tower or a qualified person, that the crane is

a safe distance from the transmission/communication tower or that

the tower is not transmitting.

C. When the employer determined that a transmission/communication

tower creates a hazard, verify and document the qualifications of

the employees who grounded the crane. Ask the employer, lift

director, or operator to indicate where the crane’s grounding points

are. In addition, if tag lines were used, verify that they were non-

conductive.

Citation policy

D. 1926.1408(f). When crane operations are proximate to a

transmitter and there may be a potential electric hazard on the

crane, and the requirements of 1926.1408(f) have not been met,

consider citations of the applicable provisions of 1926.1408(f) and

group them when appropriate.

9. 1926.1409. Power line safety for A/D and operations over 350 kV.

Over 350 to 1000 kV: For this voltage range, substitute all clearance

requirements of 20 feet (in 1926.1407 A/D and 1926.1408 Operations)

with 50 feet. This has the following implications:

• The employer must determine whether any equipment

could come within 50 feet during A/D or while working

within the work zone, thus triggering the requirement to

complete one of Option 1, Option 2, or Option 3 under

1926.1407(a) or 1926.1408(a).

• Employers pursuing Option 2 for A/D or operations must

implement precautions outlined under 1926.1407(b) or

1926.1408(b), respectively, to prevent encroachment within

50 feet.

• Operations under power lines must be 50 feet or Table A

distance away when at true vertical for non-extensible

booms, or fully extended and truly vertical for extensible

booms.

Over 1000 kV: Safe clearance distances over this range must be

established by the utility owner/operator or registered professional

engineer qualified in electrical transmission and distribution. Note that

1000 kV not only means that 20 or 50 feet is insufficient clearance, but

that the voltage is so high that Table A is inadequate as well.

Therefore, any safe distance determination under this section would

affect all distance requirements under 1926.1407 and 1926.1408, not

merely those for 20 feet.

Inspection Guidance

A. Use the Inspection Guidance provided for provisions of 1926.1407

and 1926.1408 that are referenced by this section, 1926.1409.

Citation Policy

B. 1926.1409(a). In general, consider a citation of 1926.1409 and the

AVD of this citation should describe violations of applicable

provisions of 1926.1407 or 1926.1408, when:

• The equipment was operated in proximity to power lines of

over 350 kV through 1000 kV.

• The employer did not meet applicable requirements of

1926.1407 and 1926.1408, with a minimum clearance

distance of 50 feet, rather than the 20 feet for lines of 350

kV and less.

The citation must contain language of the violated provision of

1926.1407 or 1926.1408 as amended by 1926.1409.

C. 1926.1409(b). When the equipment is being assembled or operated

in proximity to an energized power line of over 1,000 kV and the

minimum clearance distance was not determined by either the

utility owner/operator or a registered professional engineer (RPE)

who is a qualified person for electrical power transmission and

distribution work, consider a citation of 1926.1409(b).

10. 1926.1410. Power Line Safety (all voltages) equipment operations

closer than the Table A zone.

Section 1926.1410 specifies procedures that must be followed for

operations in which any part of the equipment comes closer than Table

A distance. This section does not apply to work covered by

Subdivision 2/RR, Electric Power Generation, Transmission and

Distribution. As a threshold determination for work closer than Table

A distance covered by Subdivision CC, the employer must first

establish that:

• It is infeasible to conduct the work with Table A clearance, and

• It is infeasible to deenergize and ground the power line. This

determination is made only after “consultation with the utility”.

It is always possible to deenergize and ground the power line,

but the cost of doing so and the legal or regulatory

responsibilities of the utility are factors weighing on

infeasibility.

If the employer determines that it is infeasible to work at least the

Table A distance away or to deenergize the power lines, the employer

must implement the precautions found in paragraphs 1926.1410(c)

through (m). These paragraphs are designed to ensure that a person

qualified in electrical transmission and distribution designs appropriate

encroachment precautions, and that a minimum of precautions are

included. The employer must have a minimum clearance distance

determined by the utility owner/operator or registered professional

engineer (RPE) qualified in electrical transmission and distribution.

Infeasibility

Infeasibility determinations are fact-dependent, and OSHA

generally considers compliance with a measure to be infeasible

when it is impossible or would prevent performance of the work in

question.

Inspection Guidance

A. Observe, record, video, and/or take photos of equipment

operations. Use this information to determine how close the

equipment is to the power line. For the most part, the facts

obtained from interviews and information discussed above in

sections 1 through 4 should also be considered when verifying the

employer’s compliance with 1926.1410.

B. Section 1926.1410 differs from the other power line-safety

sections in that this section requires the employer to have

discussions with a representative from the utility owner/operator or

a qualified person with respect to electrical transmission and

distribution systems. Therefore, the utility owner/operator or

registered professional engineer (with regard to Subdivision V

work) should also be interviewed regarding the employer’s

compliance with requirements of 1926.1410.

C. Interview the employer, the utility owner/operator or RPE, the lift

or A/D directors (if any), and the operator to:

Temporary Enforcement Policy for the use of Insulating

Links/Devices

When used to comply with 1926.1410(d)(4), an insulating

link/device must have been approved by a Nationally Recognized

Testing Lab (NRTL). To date, no insulating link/device meets the

NRTL requirements. Additionally, at this time, no NRTL is

recognized by the Agency to perform the required testing to list,

label or accept either type device. Insulating links/devices which do

not meet the NRTL requirements continue to be available, as they

have for decades. These versions have not been "...listed, labeled or

accepted by a Nationally Recognized Testing Laboratory." OSHA

does not anticipate insulating links/devices which meet the NRTL

requirements to be available in the near future.

Because no current insulating links/devices meet the NRTL

requirements in the 1926.1401 definition for "insulating

link/device," employers may not rely solely on an insulating

link/device to comply with requirements of the cranes standard.

However, until further notice, an employer may use an insulating

link/device manufactured on any date, as specified in

1926.1410(d)(4)(v)(A), and in conjunction with the additional

protections in 1926.1410(d)(4)(v)(B), such as insulated gloves rated

for the voltage involved.

• Verify the time and date that the utility owner/operator was

consulted.

• Identify the contact information of the utility

owner/operator that was consulted.

• Get a description of, and document, the rationale for any

claim it is infeasible to maintain Table A distances, and for

the utility to deenergize and ground, or relocate, the power

lines. If the employer contacted the utility owner/operator

and received a confirmation (with no rationale) from the

utility owner/operator that it was infeasible to deenergize

and ground or relocate the power lines, the employer has

met its obligation for compliance with 1926.1410(b).

D. In addition to the facts obtained from interviews and inspection

guidance discussed above for the application of 1926.1407-

1926.1409, interview the representative from the utility

owner/operator (if available), the employer, the RPE (if available),

lift director, and operator to discover whether a determination was

made regarding the minimum clearance distance. If the utility is

not available or is uncooperative, the compliance officer should

consult with the field office manger and should decide an

appropriate course of action. Finally, the compliance officer should

collect facts necessary to verify whether the clearance distance

determination was made by the utility/owner operator or an RPE

and whether the minimum clearance distance addresses factors

such as:

• Conditions affecting atmospheric conductivity.

• The time needed to bring the equipment, load, and load line

to a complete stop.

• Wind.

• The degree of sway in the power line;

• Lightning

• Other observed worksite conditions that could affect the

ability to prevent electrical contact.

Citation Policy

E. 1926.1410(c)(1). If the employer does not have an RPE or the

utility make the minimum clearance determination, consider a

citation for 1926.1410(c)(1).

F. The employer must conduct a planning meeting with the utility

owner/operator or RPE to determine procedures used to prevent

encroachment within the range determined under 1926.1410(c)(1).

The procedures must include the following safety measures (listed

by provision):

• 1926.1410(d)(1). If the power line has a device that

automatically reenergizes the circuit in the event of a power

line contact, it must be made inoperative if the design

permits. If its design so permits and it is not rendered

inoperative, consider citing 1926.1410(d)(1).

• 1926.1410(d)(2)(i) through (iv). A dedicated spotter with a

visual aid in a position to continually gauge the clearance

distance. The spotter must be in continuous contact with the

operator. The spotter must give timely information to the

operator and, if necessary, use equipment that allows direct

communication. If no spotter is used, consider citing

1926.1410(d)(2). If the spotter performed his duties

inadequately, consider citing 1926.1410(d)(2)(i) through

(iv).

• 1926.1410(d)(3). An elevated warning line or barricade

with high visibility markings in view of the operator. If

there is no such warning line or barricade, consider citing

1926.1410(d)(3).

• 1926.1410(d)(4). If there is no insulating link or the

insulating link was used without the additional protections

in 1926.1410(d)(4)(v)(B), such as insulated gloves rated for

the voltage involved, consider citing 1926.1410(d)(4).

• 1926.1410(d)(5). Nonconductive rigging if the rigging may

come within Table A distance. If the rigging may come

that close while operating in the work zone and conductive

rigging is used, consider citing 1926.1410(d)(5).

• 1926.1410(d)(6). If the equipment has a range-limiting

device, it must be used and set to prevent the equipment

from coming within the distance determined by the utility

or RPE as required in 1926.1410(c)(1). If it has a device

and it is not used, consider citing 1926.1410(d)(6).

• 1926.1410(d)(7). If a tag line is used, it must be of a

nonconductive type. If it is conductive, consider a citation

for 1926.1410(d)(7).

• 1926.1410(d)(8). Barricades must be erected forming a

perimeter at least 10 feet away--or as close as feasible--

from the equipment to prevent unauthorized personnel from

entering the area. If there is no such barricade, consider a

citation for 1926.1410(d)(8).

• 1926.1410(d)(9). Workers, other than the operator, must be

prohibited from touching the load line above the insulating

link and crane. If an employee who is not an operator

touches the load line above the insulating link, consider a

citation for 1926.1410(d)(9) along with 1926.1400(f).

• 1926.1410(d)(10). Operators remotely operating the

equipment from the ground must use wireless controls that

isolate the operator from the equipment or insulating mats

that insulate the operator from the ground. If a remote

operator is not so isolated or insulated, consider a citation

for 1926.1410(d)(9) along with 1926.1400(f).

• 1926.1410(d)(11). The equipment must be properly

grounded. If it is not grounded, consider a citation for

1926.1410(d)(11).

• 1926.1410(d)(12). The employer must ensure that the

utility owner/operator installs insulating line hose or cover-

up. If it is not installed, consider citing the employer for

1926.1410(d)(12).

G. 1926.1410(f). A meeting must be held with the utility

owner/operator or RPE, crane operator, and any employees who

will be in the crane’s proximity during operation, to review the

precautions that will be taken. If this meeting did not take place,

consider a citation for 1926.1410(f).

H. 1926.1410(h). The utility owner/operator or RPE, and all

employees involved in the work must identify one person

responsible for directing the implementation of procedures

designed to prevent encroachment or electrocution. If no one was

assigned to directing these procedures, or it is a shared duty,

consider a citation for 1926.1410(h).

I. 1926.1410(j). If any of the precautions required by paragraph (d),

including the standard’s minimum requirements and any created as

a consequence of the planning meeting, encounter problems during

implementation, the employer must “safely stop” operations. The

employer must subsequently either develop new precautions to

comply, or have the utility owner/operator deenergize and ground

the power lines. If the employer does not safely stop operations

and develop new precautions or deenergize and ground, consider a

citation for 1926.1410(j).

Note: None of the provisions that require the employer to consult the

utility owner/operator or a RPE are citable against the utility

owner/operator. The only mandatory requirement for a utility

owner/operator is to provide voltage information under 1926.1408(c)

or 1926.1407(e).

11. 1926.1410(k). Safety Devices and Operational Aids.

When an employer uses equipment with devices originally designed

by the manufacturer for use as a safety device, operational aid, or a

means to prevent power line contact or electrocution to comply with

1926.1410, the employer must comply with the manufacturer’s

procedures and conditions for use.

Inspection Guidance

A. Interview individuals including the representative from the utility

owner/operator, the employer, operator, crew members, and lift

director to verify that all required safety devices and operational

aids were operational and used. For example, interviews can be

used to determine:

• If warning devices or range-limiting devices are used to

maintain minimum approach distances.

• If those devices are functioning properly at the worksite

and are tested annually.

• If insulating links (and all electrical insulating equipment or

devices) are rated and tested.

• If any temporary alternative measures were implemented.

When there are concerns regarding the use of an operational aid or

safety device, to determine whether the devices were used in

accord with the manufacturer’s procedures and conditions for use,

request and review copies of any available operations manuals for

the safety devices.

Citation Policy

B. 1926.1410(k). When the equipment was used closer to a power line

than Table A clearance distances allow and the employer did not

comply with the manufacturer’s procedures for the electrocution-

or power line contact-prevention device as required by

1926.1410(k), consider a citation of 1926.1410(k). It is also

possible that citation of 1926.1415 or 1926.1416 may be

considered if the operational aid or safety device was not operating

properly or was not used during the performance of the hoisting

job. Refer to citation policy discussion in section covering Safety

Devices and Operational Aids in this directive for additional

guidance on the application of 1926.1415 or 1926.1416.

12. 1926.1411. Power Line Safety While Traveling Under or Near Power

Lines with No Load.

When traveling under or near power lines with no load, the employer

must ensure that the boom or mast (and support system) is secured so

that it will not contact the power line; maintain applicable clearance

distances based on the voltage of the power line set forth in Table T;

provide a dedicated spotter if the equipment will get closer than 20 feet

to the power line; and ensure that safety concerns are addressed

regarding visibility and the equipment’s path of travel.

Inspection Guidance

A. Observe the operation of the equipment and document (time,

location, route taken, piece of equipment used, configuration of the

equipment, part of the equipment nearest power line, etc.) when it

has traveled under or near a power line with no load.

B. Use information from this observation and any relevant facts

obtained from interviews and collection of information discussed

above for sections 1926.1407-1409 to verify the employer’s

compliance with 1926.1411.

C. When dedicated spotters are required, interview them regarding the

performance of their duties, their knowledge of power line hazards,

and the employer’s overall compliance with requirements of

1926.1411.

D. The operator and/or employer can be asked to describe the work

practices implemented to prevent contact with the power line.

Citation Policy

E. 1926.1411(a). This provision should not be cited because it only

reminds the employer that compliance with 1926.1408-1410 and/or

1926.1417(u) is required when the equipment travels with a load

under or near a power line. In that scenario, consider citations for

violations of applicable provisions of 1926.1408-1410.

F. 1926.1411(b). When the equipment traveled without a load under

or near a power line and the employer did not meet the all of the

applicable requirements of 1926.1411(b), consider citations for

violations of the specific provisions of 1926.1411(b), grouping

them when appropriate.

e. 1926.1412. Inspections.

Below is a summary table of inspections required under 1926.1412.

Type of Inspection

Who Conducts

Inspection

Documentation

Required?

Modified equipment

(1926.1412(a))

Qualified person

No (but must comply with

1926.1434)

Repaired/adjusted equipment

(1926.1412(b))

Qualified person

Post-assembly

(1926.1412(c))

Qualified person

Each Shift (1926.1412(d))

Competent person

Monthly (1926.1412(e))

Competent person

Yes; keep at least three

months

Annual (1926.1412(f))

Qualified person

Yes; keep at least 12

months

Severe service

(1926.1412(g))

Qualified person

Equipment not in regular use

(idle three months or more)

(1926.1412(h))

Competent person

Yes; keep at least three

months

Manufacturer specifications

for more thorough or

frequent inspection

(1926.1412(j))

Depends on when the

specified items must

be inspected, such as

each shift, monthly,

annually, etc.

1. 1926.1412(a). Modifications Inspection.

Equipment that has had modifications or additions affecting the

equipment's safe operation or capacity must be inspected by a

qualified person before initial use.

Inspection Guidance

A. Interview the employer and/or the operator to identify who

performed the modification and required inspection.

B. Verify compliance with the inspection requirements of

1926.1412(a) through interviews and a review of required,

available inspection and modification approval documentation.

Ask the inspector to describe what modifications were made, have

them point to where they are on the equipment and how she or he

determined that the modification was completed in accord with the

modification approval.

C. Obtain and review a copy of the modification approval and any

available inspection records to ensure that the modification was

completed and the equipment has been operating properly.

Citation Policy

D. 1926.1412(a)(1). If the equipment has been used and the required

inspection was not conducted by a qualified person or no

inspection was completed, consider a citation of 1926.1412(a)(1).

E. 1926.1412(a)(1)(i) and (a)(1)(ii). If there is a violation of a

requirement of 1926.1412(a)(1)(i) and (a)(1)(ii), consider a citation

of the specific requirement of 1926.1412(a)(1). Describe multiple

violations of 1926.1412(a)(1) in the AVD of the citation.

F. 1926.1412(a)(2). If the equipment was used even though the

results of the required inspection or functional testing indicated

that the modification was not done in accord with the modification

approval or the equipment failed the functional test, consider a

citation of 1926.1412(a)(2).

2. 1926.1412(b). Repairs and Adjustments Inspection.

Before the equipment is used, a qualified person must inspect

equipment that has undergone repairs or adjustments that are related to

its safe operation.

Inspection Guidance

A. Interview the operator, employer, and individual who conducted

the required inspection to obtain the information in support of the

citation policy for 1926.1412(a) as discussed above.

B. When conducting a visual inspection of the equipment and its

structural components, look at reasonably accessible areas of the

equipment for evidence of repairs, replacement parts, and fresh

welds. Look for apparent deficiencies in welds at sections of the

boom such as fractures in the weld, unusual discoloration from

oxidation, separation of the weld from bonding surfaces, and

humps in excessively welded areas. These may be physical

indications of an inadequate weld, or that it may fail if not assessed

by a competent person.

C. When available, obtain and review manufacturer equipment

criteria and any required inspection documentation for any

information that would be helpful in determining if the

repair/adjustment was done properly.

D. If the manufacturer equipment criteria was not available and the

employer had criteria developed by a qualified person or registered

professional engineer, request this information.

Citation Policy

E. 1926.1412(b)(1). If the equipment has been used and the required

inspection was not conducted by a qualified person or the

inspection was not done at all, consider a citation of

1926.1412(b)(1).

F. 1926.1412(b)(1)(i) and (b)(1)(iii). If there is a violation of the

requirements of both 1926.1412(b)(1)(i) and (b)(1)(ii), consider a

citation of the specific requirement of 1926.1412(b)(1). Multiple

violations of 1926.1412(b)(1) may also be grouped under one

citation of 1926.1412(b)(1).

For example, if a qualified person or registered professional

engineer did not develop equipment criteria when the criteria was

not available from the manufacturer and the inspection was

completed, but not by a qualified person, citations for violations of

1926.1412(b)(1) and (b)(1)(ii)(A) may be grouped.

G. 1926.1412(b)(2). Consider a citation of 1926.1412(b)(2) if the

equipment was used even though:

• The results of the required inspection or functional testing

indicated that the repair/adjustment was not done in accord

with available equipment criteria;

• The equipment criteria was not developed under the

conditions specified in 1926.1412(b)(1)((ii); or

• The equipment failed the functional test.

3. 1926.1412(c). Post-Assembly Inspection.

A qualified person must inspect equipment after it is assembled to

ensure that it is configured in accordance with the manufacturer’s

equipment criteria.

Inspection Guidance

A. Interview the operator, employer, and individual who conducted

the inspection to obtain information regarding the inspector’s

qualifications.

B. When available, obtain and review any documentation from the

manufacturer that may be relevant to an apparently deficient

assembly of the equipment.

C. If information was not available from the manufacturer regarding

the assembly of the equipment, and the employer had criteria

developed by a qualified person or registered professional

engineer, obtain this information.

Citation Policy

D. 1926.1412(c)(1). If the equipment has been used and the required

inspection was not conducted by a qualified person or the

inspection was not done at all, consider a citation of

1926.1412(c)(1).

E. 1926.1412(c)(2)(i) and (c)(2)(ii). If there is a violation of a

requirement of 1926.1412(c)(2)(i) and (c)(2)(ii), consider a citation

of the specific requirement of 1926.1412(c)(2). Multiple violations

of 1926.1412(c)(2) may be grouped with a citation of

1926.1412(c)(1).

F. 1926.1412(c)(3). Consider a citation of 1926.1412(c)(3) when the

required inspection was conducted by a qualified person and the

equipment was used even though the results of inspection

concluded that:

• The assembly of the equipment was not done in accord

with available equipment criteria; or

• The assembly of the equipment did not meet the equipment

criteria developed under the conditions specified in

1926.1412(c)(2)(i) when equipment criteria was not

available from the manufacturer.

4. 1926.1412(d). Each Shift Inspection.

Before each shift, a competent person must begin an inspection of the

equipment that will be used. The inspection must be completed before

or during that shift, and must include observation for apparent

deficiencies. Taking apart equipment components and booming down

is not required unless the visual inspection or trial operation indicates

that these actions may be necessary. Determinations made during the

inspection must be reassessed based on observations made during

operation.

Inspection Guidance

A. Observe the operation of the equipment (if being operated), and

visually inspect the equipment for any apparent deficiencies, such

as signs of excessive wear, rusting, damage, misalignment,

leakage, missing components, etc., in the items specified under

1926.1412(d)(1)(i)-(xiv).

B. Since documentation of this inspection is not required by

Subdivision CC, the competent person can be asked to describe

what parts of the equipment he or she inspected. If any apparent

deficiencies are observed during the compliance officer’s visual

inspection of the equipment, interview the inspector/competent

person to determine:

• If the inspection has been completed or how much has been

done. This is relevant because the inspector or the employer

may try to argue that the inspection has not been completed

only after a deficiency is found during the compliance

inspection by the compliance officer.

• If the competent person/inspector made any determinations

regarding the safety of any apparent deficiencies.

• If an apparent deficiency found during the compliance

officer’s compliance inspection exists on an item that was

already inspected by the competent person or existed

during the shift before. This is relevant because if the

competent person/inspector did find the deficiency (that is

determined to be a hazardous condition) during his or her

inspection, this would be an indication that the compliance

officer needs to investigate why the equipment has not been

taken out of service.

• How the competent person determined that an apparent

deficiency was not a safety hazard. Especially since the

equipment may be operated while a shift inspection is in

the processes of being conducted, evidence regarding

knowledge of the hazard should be documented. Consult

the field office manager if there still are questions

regarding the safety of any apparent deficiency.

The information collected above can be compared to the 14 items

specified in 1926.1412(d)(1)(i) through (d)(xiv) and used to gauge

the level of experience of the inspector and whether the inspection

was conducted. In addition, an employer's use of equipment for

several months without retaining monthly inspection records may

indicate that inspections were not conducted during each shift.

Citation Policy

C. 1926.1412(d)(1). When a competent person did not complete the

required inspection before or during that shift, consider a citation

of 1926.1412(d)(1).

D. 1926.1412(d)(2). When a safety hazard exists in an item required

to be inspected under 1926.1412(d)(1)(i) through (d)(1)(xiv) and

the equipment has not been taken out of service after a competent

person determined that the deficiency is a safety hazard or because

the deficiency was not evaluated, consider a citation of

1926.1412(d)(2). The AVD should state the provisions of

1926.1412(d)(1)(i) through (d)(1)(xiv) that describes the

deficiencies.

E. 1926.1412(d)(3). Section 1926.1412(d)(3) must not be cited alone

because it only serves to remind the employer that compliance with

1926.1415(b) and 1926.1416(b) are required and that the

equipment must be taken out of service when safety devices and

operational aids are not functioning properly unless alternative

measures for operational aids have been implemented. If those

provisions are violated, consider grouping each violated provision

with a citation for 1926.1412(d)(3).

5. 1926.1412(e). Monthly Inspection.

A competent person must complete a monthly inspection of the

equipment in accord with the requirements of 1926.1412(d).

Inspection Guidance

A. The same information obtained from the visual inspection and

interviews with employees described above for Each Shift

Inspection can be used to verify that a monthly inspection has been

conducted.

B. Request and review the documentation from the last three months

of monthly inspections (Subdivision CC requires the documents to

be maintained for that period.) Although the unavailability of

required inspection records can be an indication that the Monthly

inspection was not conducted, the competent person can be asked

to describe what parts of the equipment he or she inspected. This

information can then be compared to the 14 items specified in

1926.1412(d)(1)(i) through (d)(1)(xiv) and used to determine

whether the inspection was conducted but not documented. Also,

the lack of monthly inspection documentation can also be an

indication that Each Shift Inspections have not been conducted.

C. Review the required monthly inspection documentation to

determine if it meets the requirements of 1926.1412(e)(3).

D. If any items requiring repair or further observation are noted on the

monthly inspection records, document any information obtained

from interviews regarding how the safety of the equipment was

ensured until the equipment could be repaired.

E. Review prior inspection records for any further information that

could be used to gauge the duration and condition of an apparent

deficiency.

Citation Policy

F. 1926.1412(e)(1). Consider a citation of 1926.1412(e)(1) if the

equipment was in service for at least a month:

• Without a monthly inspection being completed or being

completed by a competent person, or

• If the monthly inspection was completed by a competent

person but the inspections were not conducted in accord

with the requirements of 1926.1412(d). Consider grouping

the citation of 1926.1412(e)(1) with each specific

requirement of 1926.1412(d) violated. Describe multiple

citations for violations of 1926.1412(d) in the AVD of the

citation.

G. 1926.1412(e)(2). Section 1926.1412(e)(2) only serves to remind

the employer that compliance with 1926.1415(b) and 1926.1416(b)

are required for monthly inspections, and that the equipment must

be taken out of service when safety devices or operational aids are

not functioning properly unless alternative measures for

operational aids have been implemented.

Consider a citation of 1926.1412(d)(2) if the equipment was used

when the most recent monthly inspection documentation or

information from interviews (when the first monthly inspection is

being conducted) indicates that hazardous conditions were

identified in at least one of the items required to be inspected under

1926.1412(d). In this situation, 1926.1412(d)(2) would be cited

instead of 1926.1412(e)(2) because 1926.1412(d)(2) already

prohibits the equipment from being used until identified safety

hazards are corrected. Consider grouping citations for multiple

violations of 1926.1412(d). Refer to citation policy above for the

application of 1926.1412(d).

Also consider a citation of 1926.1415 or 1926.1416 if the

equipment has been operated with a safety device or operational

aid not properly functioning and the actions specified in

1926.1415(b) and 1926.1416(b) were not taken.

H. 1926.1412(e)(3). If there is violation of a requirement of

1926.1412(e)(3), consider a citation of the specific requirement of

1926.1412(e)(3)(i) and (e)(3)(ii). Consider grouping citations for

multiple violations of requirements of 1926.1412(e)(3).

6. 1926.1412(f). Annual Inspection.

At least every 12 months, a qualified person must inspect the

equipment in accord with 1926.1412(d) (each shift inspection) and the

additional inspection criteria specified under 1926.1412(f)(2)(i)

through (f)(2)(xxi).

The employer must also ensure that:

• The inspection included functional testing to determine

whether the equipment is functioning properly as configured.

In general, functional testing means that the equipment must be

operated to ensure that it can travel as necessary, brake, steer,

hoist, and move loads as configured and with the use of

properly operating safety devices and operational aids.

• Any deficiency that a qualified person has determined is not a

safety hazard is monitored in monthly inspections.

• Equipment with a safety hazard is taken out of service until the

deficiency is corrected, except when an alternative measure

allowed by Subdivision CC has been implemented.

• The employer that conducted the annual inspection

documented and retained the inspection records for a minimum

of 12 months.

Inspection Guidance

A. Observe the operation of the equipment (if being operated), and

visually inspect the equipment for any apparent deficiencies, such

as signs of excessive wear, rusting, damage, misalignment,

leakage, missing components, etc., in the items specified under

1926.1412(d)(1) and (f)(2).

B. Conduct interviews to verify whether an annual inspection has

been completed.

C. Request and review the required annual inspection documentation

to verify that the employer has met the requirements of

1926.1412(f).

Citation Policy

D. 1926.1412(f)(1). Consider a citation of 1926.1412(f)(1) if the

equipment was not inspected:

• By a qualified person,.

• In accord with 1926.1412(d) (each shift inspection).

• In over 12 months and has been kept in service.

If the annual inspection was completed by a qualified person but

the inspection was not conducted in accord with the requirements

of 1926.1412(d)(1), consider a citation of 1926.1412(f)(1). The

AVD for this citation should describe the provisions of

1926.1412(d) which the employer did not meet.

E. 1926.1412(f)(2). Consider a citation of 1926.1412(f)(2) if the

equipment was not inspected:

• By a qualified person.,

• In over 12 months and has been kept in service.

• In accordance with the additional inspection criteria

specified under 1926.1412(f)(2)(i) through (f)(2)(xxi).

If the annual inspection was completed by a qualified person but

the inspection was not conducted in accordance with the

requirements of 1926.1412(f)(2), consider a citation of

1926.1412(f)(2) grouped with each citation of the most specific

provision or provisions of 1926.1412(f)(2)(i) through (f)(2)(xxi).

F. 1926.1412(f)(3). If the annual inspection was conducted by a

qualified person but functional testing was not performed to

determine whether the equipment was functioning properly as

configured during the inspection, consider a citation of

1926.1412(f)(3).

G. 1926.1412(f)(4). If a qualified person identified an apparent

deficiency during the annual inspection but did not immediately

make a determination as to whether the deficiency was a safety

hazard, consider a citation of 1926.1412(f)(4). If an annual

inspection is in progress while the equipment is still in service, a

determination must be made regarding the safety of any new

apparent deficiencies identified by the compliance officer during

the compliance inspection. In addition, the equipment must be

taken out of service or appropriate corrective actions must be taken

to prevent the equipment from being used while an identified

safety hazard exists on the equipment.

H. 1926.1412(f)(5). If a qualified person determined that an apparent

deficiency was a safety hazard but the equipment was not taken out

of service and no temporary alternative measures allowed by

Subdivision CC were implemented, consider a citation of

1926.1412(f)(5).

I. 1926.1412(f)(6). Consider a citation of 1926.1412(f)(6) if, after a

qualified person determined that the deficiency was not yet a safety

hazard and that the deficiency still needed to be monitored, the

employer did not ensure that the deficiency was monitored in

monthly inspections.

J. 1926.1412(f)(7). If the inspection was completed but not

documented, maintained, and retained for 12 months by the

employer that conducted the inspection, consider a citation of

1926.1412(f)(7). If the inspection was maintained properly and

documented but:

• 1926.1412(f)(7)(i). If the documentation but did not include

a list of the items inspected and the results of the

inspection, consider a citation of 1926.1412(f)(7)(i).

• 1926.1412(f)(7)(ii). If the documentation did not include

the name and signature of the person who conducted the

inspection and the date, consider a citation of

1926.1412(f)(7)(ii).

Multiple citations proposed under 1926.1412(f)(7) may be grouped

under one citation.

7. 1926.1412(g). Severe Service Inspection.

A qualified person must conduct an inspection of the equipment when

the severity of the equipment's use or conditions to which it has been

subjected are such that there is a reasonable probability of equipment

damage or excessive wear.

Examples of such use or conditions include, but are not limited to

loading the equipment at or near its maximum rated capacity, shock

loading the boom, or prolonged exposure to a corrosive atmosphere

and when harsh activities like pile driving, demolition, and dredging

are performed.

Inspection Guidance

A. The same type of information obtained from the compliance

officer’s observation of equipment operation, visual inspection of

the equipment, and interviews with employees can also be used to

determine if the equipment was operated under severe conditions.

Using this information, also verify whether a severe service

inspection has been conducted when conditions of the equipment’s

use warrant.

B. Beyond documenting the monitoring of apparent deficiencies that

are not yet safety hazards, there is no documentation required for

this inspection. If possible, interview the qualified inspector to

determine:

• Why the equipment was or was not inspected in accord

with 1926.1412(g).

• The identification of any apparent deficiencies that she or

he identified during the required inspection.

• What, if any, determinations were made regarding the

safety of the apparent deficiency.

• What kind of information was used in making this

determination and how she or he came to those

conclusions.

Citation Policy

C. 1926.1412(g). If the equipment was used or exposed to severe

conditions and was used again:

• Before being inspected by a qualified person, consider a

citation of 1926.1412(g).

• 1926.1412(g)(1) through (g)(3). After the equipment was

inspected by a qualified person but at least one of the

requirements of 1926.1412(g)(1) through (g)(3) were not

met, consider a citation of the specific provision of

1926.1412(g) that was not met.

• When violations of 1926.1412(g)(2) or (g)(3) occur, the

AVD for this citation should describe the provisions of

1926.1412(f) that were not met by the employer.

8. 1926.1412(h). Inspection of Equipment not Regularly Used.

Equipment that has been idle for 3 months or more must be inspected

by a qualified person in accordance with 1926.1412(e) (monthly

inspection).

Inspection Guidance

A. Typically, equipment covered by Subdivision CC would not be

sitting idle for over three months on an active construction site.

However, there may be occasions when the use of the equipment to

perform construction is: infrequent on a site; has been interrupted

for extended periods; or occurs on the same site where general

industry activities are more frequently performed and the

equipment is also stored until needed. Visually inspect the

equipment and area around it for signs that the equipment has been

idle for an extended period of time such as:

• Severe weathering of the equipment like light, flakey rust

on the brakes, visible wire ropes, hoisting mechanisms,

exhaust manifolds, and other frequently moved or heated

parts.

• Vegetation growth around/underneath the equipment that is

inconsistently higher than on the rest of the construction

site.

• The absence of tracks to/from the equipment in loosely

compacted soil.

• The presence of expired tags or out-of-date inspection

documentation.

B. If there is equipment on the site that appears to have been idle for

an extended period of time, ask the employer, operator, lift

director, or maintenance personnel to describe:

• When was it last used and the construction activities the

equipment was used to support.

• How frequently the equipment has been used at the site.

• The equipment’s status regarding who has inspected it, and

how inspections occurred.

This information, along with the start and stop dates of the

construction activities involving the equipment, may provide

information regarding how long the equipment was idle.

Citation Policy

C. When equipment has been idle for 3 months or more and has been

used before it was inspected in accordance with 1926.1412(h), a

citation of 1926.1412(h) should be considered.

9. 1926.1412(j). Manufacturer-Recommended Inspections.

The employer must comply with any part of the equipment

manufacturer’s procedures regarding inspections that relate to safe

operation. For example, for multi-purpose machines, sideboom cranes,

and non-traditional hoisting equipment such as forklifts configured

like a crane, the manufacturer may recommend: more frequent or

extensive inspections; or the inspection of equipment parts not listed in

the requirements of Subdivision CC. This provision requires the

employer to conduct the inspections as per the manufacturer’s

recommendations when they pertain to the safe use of the equipment.

Another example would be the inspection of a safety device,

operational aid, or a critical part of a control system that is more

comprehensive or has a more frequent schedule of inspection than

required by 1926.1412.

If a manufacturer required inspection supplements any of 1926.1412’s

shift, monthly, or annual inspections, the expertise required for that

inspection applies to the manufacturer’s required inspection as well.

For example, if the manufacturer requires additional inspections each

shift, those inspections must be conducted by a competent person. If

the manufacturer requires additional inspections each year, those must

be done by a qualified person. If the manufacturer requires inspections

separate from the shift, monthly, and yearly inspections required by

1926.1412, those must be done by a competent person unless the

manufacturer requires a higher level of expertise.

Inspection Guidance

A. Review the equipment manufacturer’s procedures to verify that

there are no other safety-related inspections required by the

manufacturer. For example, some newer equipment may be made

of composite materials or designed to handle greater loads but may

have structural tolerances that are less forgiving than older model

steel cranes. Therefore, additional inspections may be required by

the manufacturer for particular configurations of the equipment,

during the use of some attachments, or under specified worksite

conditions.

B. Ask the employer, operator, maintenance personnel on site, and

any equipment inspectors that are available if they are aware of

any safety warnings or bulletins from the manufacturer that contain

information on safety-related inspections. In some cases,

information the manufacturer has acquired over years of product

use may trigger the manufacturer to recommend more frequent

inspection of the equipment.

C. If the crane comes in contact with a power line or become

energized, employers should consult any applicable manufacturer’s

recommendations prior to returning the crane to service. Such an

event may require additional inspections if the manufacturer

recommends them, the inspections would be mandatory under

1926.1412(j).

Citation Policy

D. 1926.1412(j). If an employer fails to comply with any part of the

equipment manufacturer’s procedures regarding inspections that

relate to safe operation of the equipment, consider a citation for

each violation of 1926.1412(j).

10. 1926.1412(k). Availability of Inspection Documentation.

All documents produced under 1926.1412 must be available during the

applicable document retention period to all persons who conduct

inspections required by 1926.1412.

Inspection Guidance

A. Interview the inspectors to ensure that the employer has made the

information available to them in accord with this provision.

B. Subdivision CC occasionally specifies where particular

documentation must be kept, such as on the equipment. However,

when records must only be available, it is reasonable to allow

employers time to access computers and facsimiles to retrieve

information electronically because many employers may not keep

the records at that particular jobsite.

Citation Policy

C. 1926.1412(k). When documentation required by this section is not

available to individuals who must conduct inspections required by

the crane standard, consider a citation for each violation of

1926.1412(k). For example, if the employer is not able to make the

annual and monthly inspection records available, separate citations

for these violations can be considered to reflect the gravity of the

hazardous condition of the equipment.

This provision must not be cited merely because the

documentation is not available to the compliance officer.

f. 1926.1413. Wire Rope Inspections.

Inspections of wire rope must be conducted each shift, monthly, and

annually.

Type of Inspection

Who Conducts

Inspection

Documentation

Required?

Shift (1926.1413(a))

Competent person

Monthly (1926.1413(b))

Competent person

Yes; keep at least three

months

Annual (1926.1413(c))

Qualified person

Yes; keep at least 12

months

If the compliance inspection of the wire rope is a result of a rope failure,

secure seized sections containing broken pieces of the wire rope for

subsequent forensic analysis. Seizing is a method using wire to wrap the

wire rope on both sides of an area to be cut in order to keep the wire rope

from unstranding. If the wire rope appears to be worn, calipers can be

used to measure the circumference of the rope as shown.

Table: Wire Rope Deficiencies

Deficiency Category

Wire Rope Deficiency Description

Category I

(1926.1413(a)(2)(i))

Significant distortion of the wire rope such as

kinking, crushing, unstranding, birdcaging,

signs of core failure, or steel core protrusion

The upper illustration

shows the correct method

to measure wire rope.

Note that the strands are

oriented such that the

rope’s maximum width is

measured.

between the outer strands.

Significant corrosion.

Electric arc damage or heat damage.

Improperly applied end connections.

Significantly corroded, cracked, bent, or worn

end connections.

Category II

(1926.1413(a)(2)(ii))

Visible broken wires for running wire ropes,

for running rotation-resistant ropes, and in

pendants or standing wire ropes. For the

number of broken wires for each type, see

1926.1413(a)(2)(ii)(A).

A diameter reduction of more than 5 percent

from nominal diameter.

Category III

(1926.1413(a)(2)(iii))

For rotation-resistant rope, a core protrusion

or other distortion indicating core failure.

Prior electrical contact with a power line.

A broken strand.

1. 1926.1413(a). Wire Rope--Shift Inspections.

A competent person must begin a visual inspection before each shift

the equipment is used and complete the inspection before or during

that shift. The competent person must inspect wire ropes (running and

standing) likely to be used during the shift for apparent deficiencies.

Neither untwisting (opening) of wire rope nor booming down is

required. Booming down to perform this inspection at the worksite

may not be practical for a variety of reasons; therefore, the compliance

officer should be prepared to inspect the boom at a distance in many

cases.

Inspection Guidance

A. Observe the operation of the equipment and visually inspect the

wire rope for any of the apparent deficiencies described in

1926.1413(a)(2). Wires broken from fatigue often can only be seen

at close range, at perhaps from 3 to 4 feet. Without booming down,

or if the rope is moving rapidly, the broken wires may not be seen.

For example, the wire ropes that raise and lower the boom on

mobile cranes run over sheaves that may be 20 to 30 feet at the top

of a gantry or mast. If the boom is not raised or lowered

significantly during use, the working section of rope may not

return to be visible on the winch drum where it can be more easily

seen. A significant amount of fatigue damage can occur, leading to

catastrophic failure before an annual inspection can be made.

Therefore, when necessary, binoculars should be used to facilitate

spotting signs of wire rope deficiencies like fatigue breaks, arc

strikes, and valley breaks due to shock loading.

B. Core damage in rotation resistant wire ropes, such as that which

could exist at connection and clipped termination points, is not

easily detected during a visual inspection. Therefore, if rotation-

resistant rope is used for the rigging in service, inspect the rigging

and verify that it has been assembled and used in accordance with

also the recommendations of the manufacturers of the rotation-

resistant rope. If apparent deficiencies in the rope are observed

during the compliance inspection, use calipers to measure the

rope’s diameter at the damaged area, document the measurement,

and compare it to the specifications of the manufacturer. Use the

manufacture’s recommendation to determine if the wire rope

should be replaced.

C. Since Subdivision CC does not require documentation of shift

inspections, ask the inspector/competent person to describe the

sections of the wire rope he or she inspected. Compare this

description with the deficiencies observed during the compliance

inspection to gauge the inspector’s experience level and to verify

that the inspector completed the inspection.

If there are doubts about whether the competent person completed

the inspection, or an apparent deficiency is observed during the

Oregon OSHA compliance inspection, ask the inspector/competent

person:

• To describe how he or she conducted the rope inspection.

• If he or she has completed the inspection.

• How he or she determined whether there was a deficiency.

• If he or she inspected the deficiency.

• If he or she made a determination regarding whether the

deficient equipment is a safety hazard.

Verify whether the inspection is on-going and whether an apparent

discrepancy has been identified by the inspector. This helps in

establishing employer knowledge of the hazard. If an apparent

deficiency in the wire rope was identified, the competent person

must determine if there is a safety hazard.

D. For example, if the compliance officer observes a damaged section

of the wire rope that has not been inspected, the safety of that

apparent deficiency must be evaluated by the competent person or

qualified person (if needed). Under such a scenario, if it is

determined that the wire rope deficiency is a safety hazard, the

wire rope must be taken out of service.

E. If the wire rope has been in service for several months, the

employer’s failure to produce monthly inspection records may

indicate that it was not conducting inspections each shift.

However, conduct interviews with the employer, crew members,

available inspectors, available maintenance personnel and the

operator to verify compliance with the inspection requirement for

each shift.

F. If there are apparent deficiencies in the equipment, ask and

document how the competent person determined that an identified

deficiency was not a safety hazard. Use this information to confirm

that the competent person conducted the required inspection.

Citation Policy

G. 1926.1413(a)(1). If a competent person did not conduct an

inspection during a shift during which the equipment was used,

consider a citation of 1926.1413(a)(1).

H. 1926.1413(a)(2). Description of Category I through III

Deficiencies.

This provision must not be cited because it merely provides the

employer with a description of the types of deficiencies for which

the wire rope must be inspected. When these deficiencies are

identified, the employer must comply with the requirements of

1926.1413(a)(4).

I. 1926.1413(a)(3). Types and Areas of Wire Rope that Need Closer

Inspection.

This provision must not be cited because it merely provides the

employer with a description of a type of wire rope and areas of any

wire rope that are more likely to harbor damaged rope. When

deficiencies are identified in rotation-resistant rope or in the

specified areas of any rope, the employer must comply with the

requirements of 1926.1413(a)(4).

J. 1926.1413(a)(4). Corrective Actions.

If the competent person observed a deficiency in a wire rope likely

to be used during a shift and:

• The competent person did not immediately determine

whether the deficiency was a safety hazard, consider a

citation of 1926.1413(a)(4)(i). The AVD for this citation

should state the provisions of 1926.1413(a)(2)(i) that

describe the Category I deficiencies that exist in the rope.

• The competent person determined that a Category I

deficiency was a safety hazard, but the rope was not

removed in accord with 1926.1413(a)(4)(i)(A) or repaired

in accordance with 1926.1413(a)(4)(i)(B), consider a

citation of the specific requirement of 1926.1413(a)(4)(i).

The AVD for this citation should state the provisions of

1926.1413(a)(2)(i) that describe the Category I deficiencies

that exist in the rope.

• The competent person has identified a Category II

deficiency, but the employer has not taken one of the

corrective actions specified in 1926.1413(a)(4)(ii), consider

a citation of 1926.1413(a)(4)(ii). The AVD for this citation

should state the provisions of 1926.1413(a)(2)(ii) that

describe the Category II deficiencies that exist in the rope.

• The competent person has identified a Category III

deficiency, but the employer has not taken one of the

corrective actions specified in 1926.1413(a)(4)(iii),

consider a citation of 1926.1413(a)(4)(iii). The AVD for

this citation should state the provisions of

1926.1413(a)(2)(iii) that describe the Category III

deficiencies that exist in the rope.

• 1926.1413(a)(4)(iv). The hoist or equipment was removed

in accord with an applicable requirement of 1926.1413, but

the equipment or hoist was not tagged in accord with

1926.1417(f)(1), consider a citation of 1926.1413(a)(4)(iv).

The AVD for this citation should state the provisions of

1926.1417(f)(1) with which the employer did not comply.

2. 1926.1413(b). Wire Rope--Monthly Inspections.

A competent person must complete a monthly inspection of the wire

ropes (running and standing) in accordance with the requirements of

1926.1413(a), Shift Inspection. This inspection is to identify apparent

deficiencies in the wire ropes likely to be used during the operation of

the equipment. The employer must maintain documentation from the

last three monthly inspections.

Inspection Guidance

A. Ask to review the required monthly inspection documentation.

B. Ask the inspector/competent person to describe the sections of the

wire rope he or she inspected and for the types of deficiencies he

or she was looking for. Compare this description with the

deficiencies identified in the Oregon OSHA compliance inspection

to gauge the inspector’s experience level and the thoroughness of

the inspection.

Citation Policy

C. 1926.1413(b)(1). Wire Rope Monthly Inspection.

If a competent person did not complete a monthly inspection of the

wire ropes in accord with 1926.1413(a), Shift Inspection, consider

a citation of 1926.1413(b)(1).

D. 1926.1413(b)(2). Monitoring of Wire Rope Deficiencies.

If a wire rope deficiency identified during the annual inspection

was not monitored as per instruction from the annual inspection,

consider a citation of 1926.1413(b)(2).

E. 1926.1413(b)(3). Corrective Actions for Monthly Wire Rope

Inspection.

If the competent person deemed a deficiency in a wire rope to be a

safety hazard but the employer did not take corrective actions

under 1926.1413(a)(4), consider a citation of 1926.1413(b)(3). The

AVD for this citation should state the provisions of

1926.1413(a)(4) with which the employer did not comply.

Information about a monitored deficiency obtained during review

of inspection records can be used to confirm the duration of the

deficiency and to gauge how rapidly the condition has deteriorated.

If deficiencies requiring further observation are noted on the

monthly inspection records, document any information obtained

during the compliance inspection regarding how the employer

ensured the safety of the equipment until the wire rope was

repaired or replaced.

F. 1926.1413(b)(4). Documentation for Monthly Wire Rope

Inspection.

If the employer:

• Does not document the monthly inspection, consider a

citation for a violation of 1926.1413(b)(4).

• If the employer documented the monthly inspection, but

did not meet all the requirements of 1926.1412(e)(3),

consider a citation for a violation of 1926.1413(b)(4.) The

AVD for this citation should state the provisions of

1926.1412(e)(3) with which the employer did not comply.

3. 1926.1413(c). Wire Rope--Annual Inspection.

At least every 12 months, a qualified person must inspect the entire

length of wire rope in use on the equipment, in accordance with

1926.1413(a), Shift Inspection, and the additional inspection criteria

specified under 1926.1413(c)(2)(ii).

Wire rope deficiencies that a qualified person has determined are not

safety hazards must still be monitored in monthly inspections. Wire

rope with safety hazards must be taken out of service and replaced, or

repaired in accord with applicable requirements of 1926.1413.

The employer must retain documentation of the required annual

inspection for a minimum of 12 months.

Inspection Guidance

A. Review the required documentation of the annual inspection.

B. Interview the employer, operator, lift director (if any), and

equipment inspector (if available) to verify that a qualified person

inspected the wire rope. Confirm the qualifications of the qualified

person by asking about:

• His or her experience with the equipment.

• The extent and duration of his or her crane-related

experience.

C. Ask the inspector/qualified person to describe the wire rope which

he or she inspected and the types of deficiencies for which he or

she looked. Compare this description to the deficiencies identified

in the Oregon OSHA compliance inspection to gauge the

inspector’s experience level and the thoroughness of the

inspection.

D. Use any relevant facts obtained from required documentation,

interviews, and collection of information discussed under

1926.1413(b) above, to verify the employer’s compliance with

1926.1413(c).

Citation Policy

E. 1926.1413(c)(1) to (c)(2). Annual Inspection of Wire Rope.

When wire rope in use on the equipment has not been inspected in

over 12 months by a qualified person:

• In accord with paragraph 1926.1413(a), Shift Inspection,

consider a citation of 1926.1413(c)(1). The AVD for this

citation should state the provisions of 1926.1413(a) with

which the employer did not comply.

• In accord with the additional inspection criteria specified

under 1926.1413(c)(2), consider citations for violations of

the applicable requirements of 1926.1413(c)(2).

F. 1926.1413(c)(3). When wire rope has been inspected in the last 12

months by a qualified person, but the qualified person did not

make a determination regarding the safety of an apparent wire rope

deficiency, consider a citation of 1926.1412(c)(3).

• 1926.1413(c)(3)(i). Corrective Actions. When the employer

did not take one of the corrective actions specified under

1926.1413(c)(3) after a qualified person determined that a

wire rope deficiency was a safety hazard, consider a

citation for violations of applicable requirements of

1926.1413(c)(3)(i).

• 1926.1413(c)(3)(ii). Monthly Monitoring of Wire Rope

Deficiencies. A wire rope deficiency identified during the

annual inspection was not monitored during the monthly

inspection as per instruction from the annual inspection,

consider a citation for violations of applicable requirements

of 1926.1413(c)(3)(ii).

G. 1926.1413(c)(4). Documentation for Annual Wire Rope

Inspection.

When the inspection was not documented or documentation was

not retained in accord with 1926.1412(f)(7),

Annual/Comprehensive Inspection Documentation, consider a

citation of 1926.1413(c)(4). The AVD for this citation should state

the provisions of 1926.1412(f)(7) with which the employer did not

comply.

4. 1926.1413(d). Rope Lubricants.

The employer must not use rope lubricants that may hinder visual

inspections.

Inspection Guidance

A. Visually inspect accessible areas of the wire rope for improper

lubricant.

B. When the suitability of the lubricant is in question, compliance

officer should consult the manufacturer of the wire rope or any

relevant information that is available to verify the lubricant

recommended by the manufacturer for that type of wire rope.

C. If the wire rope lubricant used by the employer differs from that

recommended by the manufacturer, through interviews, verify how

the employer determined that the lubricant used was suitable.

Citation Policy

D. 1926.1413(d). If the rope lubricant is of a type that hinders

inspection of the rope, consider a citation of 1926.1413(d).

5. 1926.1413(e). Availability of Wire Rope Inspection Documentation.

All documents produced under 1926.1413 must be available, during

the applicable document retention period, to all persons who conduct

inspections required by 1926.1413.

Inspection Guidance

A. Conduct interviews to verify that information from the annual

inspection documentation is available to inspectors who must

perform a wire rope inspection required by the crane standard.

If the employer does not keep written copies of the required

documents on site, an inference should not be drawn that they may

not have been made accessible to inspectors through other means

like computers and facsimiles. Nor does the employer’s ability to

produce the documents for the compliance officer necessarily

imply that the documents were made available to individuals who

conduct the required inspections. Although the employer is not

required by the crane standard to make the inspection documents

available to the compliance officer, if the equipment is being

operated at the time of the compliance inspection, information

from required inspections, such as about monitored equipment

deficiencies or recorded safety determinations, must be available to

the individual who conducts or conducted each shift inspection.

Citation Policy

B. 1926.1413(e). If the employer has not made required inspection

documents available to any person who conducts an inspection

required under 1926.1413, during its required documentation

retention period, consider a citation of 1926.1413(e).

g. 1926.1414. Wire Rope Selection and Installation Criteria.

This section does not apply to rigging. Unless specified in other sections

of the crane standard, rigging requirements are covered under Division 3,

Subdivision H, Materials Handling, Storage, Use, and Disposal.

1. 1926.1414(a). Wire Rope Selection.

The employer must select and install original equipment wire rope

according to the requirements of 1926.1414. Replacement wire rope

must be chosen based on recommendations of one of the following:

The wire rope manufacturer;

The equipment manufacturer; or

A qualified person.

Inspection Guidance

A. Conduct interviews to determine whether the employer used

original equipment wire rope, rotation-resistant wire rope, or some

other type of rope. If there are concerns about the rope’s type or

design, it may be necessary to contact its manufacturer using any

visible part or serial numbers on the wire rope for identification

purposes.

B. If the employer used rotation-resistant wire rope, ask those

interviewed to confirm its type. If this information is not

immediately available, it can possibly be obtained from the

equipment operations manual, wire rope certification, or a shipping

invoice. Also note from this information the standards (such as

consensus standards) to which the manufacturer designed the wire

rope, if stated.

C. Ask those interviewed to describe how the employer determined

that the wire rope used was appropriate for the equipment.

D. Use any relevant facts collected from interviews and document

reviews to help confirm how the wire rope selection was made,

who did it, and what resources were used to make the selection.

Citation Policy

E. 1926.1414(a). Consider a citation of 1926.1414(a) if the employer

does not meet the standard’s requirements for selection of wire

Types of Wire Rope

Wire rope is classified as either “standard rope” or “rotation-

resistant rope.” Rotation-resistant rope, in turn, can be constructed

in various ways, and Subdivision CC lists three “types” of rope

designs. For all three types, rotation-resistant rope’s internal design

resists twisting better than standard rope. Rotation-resistant rope

therefore enables better control of the load because it tends to keep

the load from rotating while it is being hoisted or suspended.

However, the design of rotation-resistant rope also makes it more

susceptible to internal damage than standard rope and such internal

damage can be hard to detect by visual inspection.

The verification of wire rope specifications is often a complex

analysis and the compliance officer may need to consult with a

qualified person with regard to wire rope to be able to identify the

type of wire rope that is on the hoist line. This person could be the

wire rope manufacturer, or a qualified person such as a safety

consultant, operator, mechanic, or wire rope inspector.

rope used on the equipment.

2. 1926.1414(b). Wire Rope Design Criteria (other than rotation-resistant

wire rope).

Inspection Guidance

A. Visually inspect wire rope used on the equipment or available for

service on the jobsite and use any relevant facts obtained from the

required documentation, interviews, and collection of information

discussed for the application of 1926.1413 to verify that the wire

rope is in good condition.

B. Use any relevant facts discussed above for the application of

1926.1414(a) and obtained from required documentation, such as

inspection records (1926.1413(e)), recommendations from the

manufacturer or equipment inspectors (1926.1413(c)(3)(ii)), and

modification approvals (1926.1434(a)(1)(i) and (b) and

1926.1414(e)(3)(iii)) to verify that the non-rotation-resistant wire

rope used meets the requirements of section 5-1.7.1 of ANSI

B30.5-2004 or the requirements of 1926.1414(b)(2). If necessary,

consult the wire rope manufacturer for guidance when making this

verification.

Citation Policy

C. 1926.1414(b). Consider a citation of 1926.1414(b) if the non-

rotation-resistant wire rope used on the equipment does not meet

the criteria specified in the standard.

3. 1926.1414(c). Compatibility.

Inspection Guidance

A. Visually inspect the wire ropes for apparent deficiencies as

described in 1926.1413(a)(2) and when they exist, inspect the

equipment to ensure that the damage was not caused by

misalignment, entanglement, or excessive rubbing due the rope’s

incompatibility with equipment such as reeving and hoist drums.

See Wire Rope Deficiencies chart in discussion of 1926.1413

above.

B. In addition to the prohibitions specified in 1926.1414 for particular

types of wire rope, review any requirements from the wire rope

manufacturer.

C. Ask the employer, maintenance personnel, the operator, and

inspectors (if available) if they are aware of any such prohibitions

from the manufacturer, and, if so, to describe them and the hazard

they address.

Citation Policy

D. 1926.1414(c). Consider a citation of 1926.1414(c) if the wire rope

is not compatible with the equipment or the functioning of the

equipment has been compromised.

4. 1926.1414(d). Boom Hoist Reeving.

Inspection Guidance

A. Use any relevant facts discussed above to confirm the type of rope

used on the equipment.

B. Visually inspect the boom hoist reeving of the equipment to ensure

that fiber core and rotation-resistant ropes are only used in boom

hoist reeving under the conditions specified in 1926.1414(d).

Citation Policy

C. 1926.1414(d). Consider citations for violations of the applicable

provisions of 1926.1414(d) if a particular type of wire rope is used

on the equipment under conditions prohibited by the standard.

5. 1926.1414(e). Rotation-Resistant Wire Rope Definitions and Use

Requirements.

Definitions of the Types of Rotation-Resistant Wire Rope

Type

Rotation-Resistant Wire Rope Description

Type I

Stranded rope constructed to have little or no

tendency to rotate or, if guided, transmits little

or no torque. It has at least 15 outer strands and

comprises an assembly of at least three layers of

strands laid helically coiled over a center in two

operations. The direction of lay of the outer

strands is opposite to that of the underlying

layer.

Type II

Stranded rope constructed to have significant

resistance to rotation. It has at least 10 outer

strands and comprises an assembly of two or

more layers of strands laid helically over a

center in two or three operations. The direction

of lay of the outer strands is opposite to that of

the underlying layer.

Type III

Stranded rope constructed to have limited

resistance to rotation. It has no more than nine

outer strands, and comprises an assembly of two

layers of strands laid helically over a center in

two operations. The direction of lay of the outer

strands is opposite to that of the underlying

layer.

Inspection Guidance

A. Observe and document the types of construction activities the

hoisting equipment is used to support. In particular, note when the

equipment is used to perform repetitive lifts or duty cycle work

such as pile driving, material handling such as clamshell or

dragline work or using an electromagnet to handle scrap metal.

B. Interview the employer, maintenance personnel, operator

equipment inspector (if available) to confirm the type and safety

factor of the rope when rotation-resistant wire rope is used.

C. When the safety factor is not immediately available, it can possibly

be obtained from the equipment operations manual or wire rope

certification. Also note the standards (such as consensus standards)

according to which the manufacturer designed the wire rope, if

stated.

D. When type II and III rotation-resistant wire rope of a safety factor

of less than five was used, verify that a qualified person conducted

a shift inspection in accord with 1926.1413(a). (See inspection

guidance and citation policy for 1926.1413(a).)

E. If there are concerns about the rope’s type and design, it may be

necessary to contact its manufacturer using any visible part/serial

numbers on the wire rope. If necessary, consult the wire rope

manufacturer or Regional Construction Coordinator for guidance

regarding the design and safe use of rotation-resistant wire rope.

Citation Policy

F. 1926.1414(e). When type I, II or III rotation-resistant wire rope

Rotation-Resistant Wire Rope

There is an increased risk of damaging the core of some types of

rotation-resistant ropes during the performance of repetitive lifts or

duty cycle work such as pile driving, material handling such as

clamshell or dragline work or using an electromagnet to handle

scrap metal. Damage to the internal core may not be easily

detected during prolonged operation between inspections, making

some types of rotation-resistant wire rope unacceptable for this type

of work.

was used and did not meet the applicable requirements or was used

under conditions prohibited by 1926.1414(e)(2), consider citations

for violations of applicable provision of 1926.1414(e)(2). Where

applicable, group multiple violations of the standard.

6. 1926.1414(f) through (h). General Requirements.

The requirements of 1926.1414(f) through (h) address hazards related

to the use of wire rope clips, sockets, and the seizing of wire rope that

has been cut.

Inspection Guidance

A. Visually inspect the wire rope for apparent deficiencies, paying

particular attention to areas of the rope where rope clips and

sockets are used and seizing has been done. Ensure that the devices

have been used and seizing has been done in accord with the

requirements of 1926.1414(f) through (h).

Citation Policy

B. 1926.1414(f) through (h). Consider citations for violations of

applicable provisions of 1926.1414(f) through (h) if the

requirements of those standards have not been met.

h. 1926.1415 and 1926.1416. Safety Devices and Operational Aids.

These sections list the safety devices and operational aids that are required

on all equipment covered by Subdivision CC, unless otherwise specified,

such as for tower cranes and other equipment which have specified

supplemental requirements.

What is Seizing?

Seizing is physical binding of wire rope needed to hold the wire in

the strands and the strands themselves together in place during the

cutting of wire rope. Seizing of the strands keeps intact the areas of

the rope beyond the area to be cut. Seizing must be done in accord

with the manufacturer’s recommendations to prevent further

damage to the rope. Seizing and subsequent cutting of failed

portions of rope should be conducted only by qualified individuals.

For compliance inspection purposes, it is also important that wire

rope, which has been obtained from the employer as evidence, has

also been properly seized to prevent the unraveling of the evidence

rope.

In general, proper operation of the specified safety devices and operational

aids is required. However, when an operational aid is not working

properly, the employer, while arranging to have the aid repaired or

replaced, may implement temporary alternative measures.

1. 1926.1415. Safety Devices.

Operation of the equipment is prohibited unless all of the safety

devices listed in paragraphs (a)(1) through (a)(7) of 1926.1415 are in

proper working order.

When the devices are not working properly, the equipment must be

taken out of service in accord with 1926.1417(f) until the devices are

repaired or replaced.

Inspection Guidance

A. It may or may not be evident through observation of the hoisting

operation that a safety device is not working properly.

Occasionally, there may be other visual indications of improperly

operating safety devices or operational aids. For example, when

crew members or the operator appear to be taking extraordinary

precautions during the hoisting job that may be related to the

leveling or stability of the equipment, control of the boom or load

line, or braking of the equipment. These actions, while they could

be the work practices of a safety conscious employer, may also be

an indication that there are known deficiencies in safety devices or

operational aids.

B. Interview the operator and maintenance personnel to verify that all

safety devices are present and functioning properly. Paragraphs

(a)(1) through (a)(7) of 1926.1415 can be used as a checklist. The

operator can also be asked to show where the devices are on the

equipment.

C. If any of the devices listed in paragraphs (a)(1) through (a)(7) of

1926.1415 are missing or not functioning, observe and document

operation of the equipment, interview the operator, maintenance

personnel, lift director, and employer, and review any available

maintenance/repair documentation to determine:

• If and when the equipment was operated without properly

working safety devices.

• Whether proper tag-out procedures under 1926.1417 were

followed.

• When the safety device was removed/or ceased to function.

• When repair is scheduled to occur, or replacement parts

were ordered and scheduled to arrive.

• If any safety devices were inoperable when personnel were

hoisted.

D. Note, in accord with 1926.1417(j), the operator is required to

inform, in writing at the end of the shift, the person (such as the lift

director or maintenance personnel) designated to receive such

information of needed equipment repairs and adjustments. Ask for

and make copies of any such exchanges of information as this

documentation may contain information about deficiencies

regarding safety devices.

If a device stops working properly during observation of the

hoisting job or the information about the deficient device is

obtained from an interview, verify and document whether the

operator stopped the operation safely and the worksite conditions

under which the hoisting job was stopped.

Citation Policy

E. 1926.1415(a)(1) through (a)(7). If a safety device required by this

section is missing, consider citations for violations of provisions

requiring the specific device that is missing. For example,

1926.1415(a)(2) requires a boom stop on all equipment except

hydraulic equipment and derricks. If the boom stop has been

removed or no longer functions, consider a citation under

1926.1415(a)(2).

F. 1926.1415(b). Consider a citation for violation of 1926.1415(b)

under the following circumstances:

• If a device or devices listed in paragraphs (a)(1) through

(a)(7) of 1926.1415 are not functioning and the employer

still allows the equipment to be operated, or

Safely Stop

For the application of this provision, “safely stop operations” gives

notice to the employer that the operator is not necessarily expected

to stop the equipment immediately if doing so would create a

hazardous situation. Under this provision, the operator must rely

on her or his knowledge and skills to determine when stopping the

hoisting operation would present a hazard. Operations may not

resume until such time as the aid or device has been repaired,

replaced, or a temporary alternative measure is implemented when

allowed by the standard.

For example, if stopping crane operations immediately would

jeopardize the stability or structural integrity of the crane,

operations could continue until the crane or load could be

positioned better.

For hoisting operations that would suspend the load over

employees should operations be stopped, the equipment could be

safely operated longer to allow the load to be landed or swung and

suspended in/over a place that would not be a hazard.

Another example could be when stopping the hoisting operation

would not allow a hoisted structural member of a building to be

supported and secured to stabilize the frame of the building.

For compliance inspection purposes, it is also important that wire

rope, which has been obtained from the employer as evidence, has

also been properly seized to prevent the unraveling of the evidence

rope.

• If a device ceases to function, and the operator does not

stop operations, or

• If a device ceases to function, the operator stops operations

in a safe manner, but then does not take equipment out of

service and resumes operations before the device is

working properly.

Even if multiple devices on one piece of equipment are not

functioning properly, only one citation under 1926.1415(b) may be

issued. The AVD of this citation should list the specific safety

devices in paragraphs (a)(1) through (a)(7) of 1926.1415 that are

not functioning.

For more guidance regarding what is meant by requiring the

operator to “safely stop” the equipment when a safety device stops

working during crane operation, see the Safely Stop text box

provided as inspection guidance for this provision. This provision

may be cited, when it has been determined that the employer

allowed crane operations to continue with an improperly working

safety device even though there was a way to stop the operation

without creating another hazardous condition at the worksite.

When citing the employer for the operator’s failure to safely stop,

group the citation with 1926.1400(f).

In contrast, when crane operation was stopped such that another

hazardous condition was created on the worksite, consider a

citation for a violation of a provision other than 1926.1415(b) even

though the operations where stopped “unsafely”. For example,

when the load was suspending over employees as described in the

text box, it would be more appropriate to consider citations for

violations of 1926.1424, Working Area Control, instead of

1926.1415(b) for “unsafely” stopping the load.

G. 1926.1417(f). If proper tag-out procedures were not followed when

a safety device was missing or was not functioning, consider

citations for violations of applicable requirements of 1926.1417(f).

Section 1926.1415(b) must not be cited for violations of tag-out

procedures because 1926.1415(b) serves to remind the employer

that compliance with the requirements of 1926.1417 is also

required.

2. 1926.1416. Operational Aids.

Section 1926.1416 specifies requirements for operational aids and

applies to all equipment unless otherwise specified in Subdivision CC.

See, for example, requirements for Tower Cranes, 1926.1435(e)(1).

Operations must not begin unless devices listed in 1926.1416(d) and

(e) are properly working on the equipment or a specified temporary

alternative measure has been implemented. When recommended by

the manufacturer, the employer must comply with additional measures.

If a device stops working during operations, the operator must safely

stop operations until the device is replaced or repaired so that it works

properly again or:

• The deficient operational aid is tagged out of service.

• Specified temporary alternative measures are implemented or

the device is replaced or repaired so that it works properly

again.

Repairs must be completed within 7 working days after the employer

received the repair/replacement parts.

Category I operational aids that are not working properly must be

repaired or replaced within 7 days after the deficiency occurs unless

the employer documents that the repair/replacement parts will not be

received in time.

Category II operational aids that are not working properly must be

repaired or replaced within 30 days after the deficiency occurs unless

the employer documents that the repair/replacement parts will not be

received in time.

Section 1926.1416(e)(4) clarifies that if a replacement part is no longer

available, the use of a substitute device that performs the same type of

function is permitted, and is not considered a modification under

1926.1434.

Inspection Guidance

A. Make all inquiries relevant to operational aids and use the

Inspection Guidance for 1926.1415 to help verify employer

compliance with 1926.1416.

B. Interviews with individuals such as the employer and operator,

maintenance personnel, and lift crew should be conducted to verify

that:

Categories of Operational Aids

Category I aids include: boom hoist limiting device, luffing jib

limiting device, and anti-two blocking device.

Category II aids include: boom angle or radius indicators, jib angle

indicators, boom length indicators, load weighing and similar

devices, outrigger/stabilizer position sensors/monitors, and hoist

drum rotation indicators.

• The operator and others working with the load understand

the use and purpose of temporary alternative measures

when used instead of an inoperable operational aid. Other

crew members must also know this information to be able

to recognize the hazard that exists if the alternative

measures are not effectively implemented.

• How the operator verifies, on a daily basis, that operational

aids are functioning properly.

C. If the equipment is being operated with a temporary alternative

measure implemented:

• Obtain the date that the operational aid ceased to function

properly.

• Confirm the temporary alternative measure implemented;

• Verify that the temporary alternative measure meets the

applicable requirements in 1926.1416(d) and (e), or those

of the manufacturer, if the manufacturer’s requirements are

more protective.

• Verify that the employer complied with the requirements of

1926.1417(j) regarding need for adjustments and repairs.

• Verify and document the dates of any receipts for parts

ordered to repair or replace an operational aid or safety

device and/or relevant installation dates for parts.

Citation Policy

D. 1926.1416(a). If an operational aid listed in paragraphs (d) and (e)

of 1926.1416 is missing and no temporary alternative measure has

been implemented, consider a citation for violation of

1926.1416(a).

For example, if there is not a boom hoist limiting device on the

equipment and no temporary alternative measure is in place

E. 1926.1416(b). If a device listed in (d) and (e) of 1926.1416 was not

functioning, no temporary alternative measure was implemented,

and the equipment was operated, consider a citation for violation

of 1926.1416(b).

Note to 1926.1416(a) and (b)

• The AVD of the citation should list the specific missing or

nonfunctioning operational aid noted in paragraphs (d) and

(e) of 1926.1416.

• If a temporary alternative measure has been established, but

not successfully implemented, the AVD should list the

specific temporary alternative measure that the employer

attempted to use and explain why it was inadequate.

• Even if multiple aids on one piece of equipment are not on

the equipment or not functioning, only one citation under

1926.1416(a) and one citation under 1926.1416(b) may be

issued.

F. 1926.1416(c). Consider a citation of 1926.1416(c) if an operational

aid ceases to function during operations, and the operator does not

stop operations when it is safe to do so. Group this citation with

1926.1400(f).

Consider a citation for violation of 1926.1416(b) when the

compliance inspection reveals the operator stopped operations

upon discovery of the deficiency, but then the operations resumed

without repairing the operational aid or implementing an

alternative measure.

See the discussion of “safe to stop” provided in this compliance

directive for 1926.1415, Safety Devices.

G. 1926.1416(d) or (e). When the employer was operating equipment

with a temporary alternative measure properly in place, but the

applicable time limit established by 1926.1416(d) or (e) lapsed,

consider a citation for violation of 1926.1416(a) for missing

operational aids or 1926.1416(b) for an operational aid not

working. The AVD for this citation should list the specific

provision in paragraphs (d)(1) through (d)(3) or (e)(1) through

(e)(5) of 1926.1416 requiring the missing or non-functioning

operational aid and corresponding temporary alternative measure

used.

If violations of 1926.1416(d) and (e) are applicable to multiple

operational aids required for the equipment, only one citation of

1926.1416(a) and (b) should be cited because violation of any one

provision of 1926.1416(d) and (e) would trigger a violation of

1926.1416(a) or (b).

When citing the employer for failure to implement the temporary

alternative measure specified in 1926.1416(e)(5)(i), group the

citation with 1926.1400(f).

i. 1926.1417. Operation and 1926.1418. Authority to Stop.

This section covers the general requirements for equipment operations.

The employer must comply with all manufacturer procedures, including

those for the use of attachments. These requirements address a variety of

communication and safety concerns, such as hazards related to:

• Workers being struck during unintentional movements of the

equipment and/or load, or while within the equipment’s swing

radius or blind-spot areas.

• Changing conditions of the worksite such as ice, wind, and

precipitation.

• Side-loading of the boom.

• Exceeding the capacity of the equipment.

The final rule focuses on concerns related to equipment operations that are

very common to construction activities. The standard specifies

requirements for leaving equipment unattended, that the operator’s

attention not be diverted from the operation of the equipment.

1. 1926.1417(a) through (e). Operation.

Inspection Guidance

A. The employer’s compliance with most provisions of 1926.1417

and 1926.1418 can be confirmed by observing workers operating

the equipment.

For example, during operations, note:

• How and where suspended loads are left unattended;.

• If there any employees in areas where they may be struck

by moving equipment or the load.

• Whether the job involved buildings, vehicle/pedestrian

traffic, weather, ground conditions, etc.

• The condition of the equipment — are the tires inflated, are

outriggers fully extended, are panels missing, and are there

any signs of fluid leakages?

• The time, date, and any construction activities being

Duties of Crane Operators and Other Employees

Section 1926.1417 includes several duties for the crane operator

and other employees at the worksite. Section 1926.1400(f) requires

that the employer ensure, via effective communication and

enforcement of work rules, that an operator, crew member, or other

employee performs the tasks required by Subdivision CC. Where

an employee does not meet a requirement of Subdivision CC, and

there is no language explicitly requiring the employer’s

compliance, consider grouping the citation with 1926.1400(f). See

discussion of 1926.1400(f) in the Scope section for additional

guidance.

performed when it appeared that the equipment was

undergoing repairs or was idle.

• Where barrier and warning signs have been erected;

• How the loads are handled. For example: what kinds of

loads are hoisted? Are there any lifts out of the view of the

operator? Does the crane have to travel with the load?

• Who appears to be in charge or making decisions affecting

safety. For example, who communicates with the operator?

Are there signals given to the operator? Under what

circumstances are the signals given?

• If the full attention of the operator is on operation of the

equipment. Note if an employee is using a cell phone while

operating the equipment and determine if the cell phone is

being used for signaling purposes. In accord with

Subdivision CC, a cell phone may only be used as a means

of communication with the signal person and would have to

be a hands-free system when used for that purpose.

B. Interview individuals and especially the operator regarding their

observations of hoisting activities and the employer’s compliance

with 1926.1417 and 1926.1418. In general, the provisions of this

section should be used to develop questions for employees

regarding their knowledge of any hazardous conditions observed.

For example, ask individuals to describe any scenarios when the

operation of the crane has raised safety concerns at the worksite

and the ability to perform assigned tasks safely.

C. Verify that the equipment’s operation procedures and load charts

Remote Controls

The use of equipment with remote controls is becoming more

common on construction sites, especially when materials are

hoisted onto a structure. Therefore, note when the operator uses

remote controls to position the load and also offload the equipment.

In support of any citations regarding the operator being distracted,

it is important to document what activities distracted the operator

and how it was a distraction. Keep in mind that the operator is not

operating the crane using remote controls when he or she locks out

the controls and then helps offload the crane. Under a scenario like

this, the offloading of the crane would not be considered a

diversion. (Note that the operator would still need to keep the

remote controls immediately accessible to comply with the

requirements of 1926.1417(e).)

are available to the operator in the cab and that they are applicable

to the equipment being used at the worksite.

D. If employer-developed operator’s procedures are being used,

• Determine why the manufacturer’s procedures are no

longer available or why they are not being used.

• Determine who developed the operator’s procedures.

• Verify the employer’s compliance with 1926.1417(b).

E. Consider checking cellular phone company records to verify

compliance with 1926.1417(d).

Citation Policy

F. 1926.1417(a). Consider a violation of this section where a

manufacturer recommended procedure was not followed. This

section may be grouped with each of a more specific violation of

1926.1417, if another operation requirement was not followed.

G. 1926.1417(a) through (c). Unless specified otherwise, when

applicable requirements of 1926.1417(a) through (c) have not be

met, consider citations for violations of the applicable provisions.

Citations for violations of multiple requirements under the same

paragraph may be grouped when appropriate.

H. When the manufacturer’s operation procedures are unavailable

and:

• The employer did not develop and ensure compliance with

all procedures necessary for the safe operation of the

equipment and attachments, consider a citation of

1926.1417(b)(1).

• The operation procedures for the operational controls were

not developed by a qualified person, consider a citation of

1926.1417(b)(2).

• The operation procedures related to the capacity of the

equipment were not developed and signed by a registered

professional engineer familiar with the equipment, consider

a citation of 1926.1417(b)(3).

Crane Identification

Often, the applicability of the operator’s manual and load charts to

a piece of equipment can be verified by ensuring that serial

numbers or the make and model specified on the documentation

match that of the equipment being operated (1926.1417(c)(1)).

I. 1926.1417(d). Where interviews establish that the operator was

distracted while operating the crane, consider a citation of this

section.

J. 1926.1417(e). In cases when the operator left the controls while the

load was suspended and:

• The requirements of paragraphs (e)(1)(i)-(iv) of 1926.1417

were not met, citations for violations of applicable

requirements of 1926.1417(e)(1) should be considered.

Consider grouping citations for violations of multiple

requirements of 1926.1417(e)(1) because regardless of

which requirement of this provision is violated, it results in

a violation of 1926.1417(e)(1).

• Working gear (such as slings, spreader bars, ladders, and

welding machines) was suspended over an exit or entrance

and/or where the weight of the working gear was not

negligible relative to the lifting capacity of the equipment

as positioned, consider a citation of 1926.1417(e)(2). This

exception was provided for employers who leave

lightweight items suspended overnight to avoid theft, but

should not be done in such a way that significantly strains

the equipment.

2. 1926.1417(f). Tag-out.

Inspection

A. To determine if the equipment was used while a function or the

equipment as a whole was taken out of service, use any relevant

facts from the Inspection Guidance for the application of

1926.1417(a) through (e), and ask employees:

• Have they seen a warning tag on the out-of-service

equipment and when.

• To describe what terms like tagged-out and out of service

mean to them.

• Who is authorized to place or remove a warning tag.

• To describe any instructions that were given to the operator

regarding an out-of-service function or equipment.

• Who determines when it is safe to continue operations with

the function or equipment tagged out.

Citation Policy

B. 1926.1417(f). If the employer took the equipment out of service

and:

• 1926.1417(f)(1). The equipment or a function of the

equipment was not tagged-out in accord with the

requirements of 1926.1417(f)(1), consider a citation of

1926.1417(f)(1).

• 1926.1417(f)(2). The requirements of 1926.1417(f)(2)(i)

were not met, consider citations for violations of applicable

requirements of 1926.1417(f)(2)(i). Consider grouping

citations for violations of multiple provisions under

1926.1417(f)(2)(i).

• 1926.1417(f)(2)(ii). The requirements of

1926.1417(f)(2)(ii) were not met, consider a citation of

1926.1417(f)(2)(ii). Specific requirements of

1926.1417(f)(2)(i)(A) and (f)(2)(i)(B) that were violated

should be referenced in the AVD of this citation.

3. 1926.1417(g) through (aa). Operation.

Inspection Guidance

A. To verify compliance with 1926.1417(j), use information collected

for paragraphs (a) through (f) of 1926.1417 and also ask

interviewees to describe:

• Any needed repairs or adjustments of the equipment and

when they were first aware of them.

• How the employer informed employees before each shift of

needed adjustments and repairs of the equipment or

temporary alternative measures implemented.

• Any temporary alternative measures implemented and the

hazards from which the employees were intended to be

protected. For example, in absence of operational devices

or when they are not operating properly, how are

limitations being maintained to ensure that the crane is

always operated within proper capacity, radius, etc.

• If the equipment was operated in excess of its rated

capacity and if the employer expressly required it. For

example, an employer may have directed the operator to

operate the equipment in excess of its rated capacity by

relying on the equipment’s safety factor.

Citation Policy

B. 1926.1417(g) through (aa). Unless specified otherwise under this

citation policy section, when applicable requirements of

1926.1417(g) through (aa) have not be met, consider citations for

violations of the applicable provisions. Citations for violations of

multiple requirements under the same paragraph may be grouped

when appropriate.

C. 1926.1417(j). When adjustments or repairs of the equipment were

necessary and:

• 1926.1417(j)(1). If the operator did not promptly inform, in

writing, the person designated by the employer to receive

such information or the next operator on a successive shift,

consider a citation of 1926.1417(j)(1).

• 1926.1417(j)(2). If the employer did not notify all affected

employees, at the beginning of each shift, of the necessary

adjustments or repairs and any alternative measures,

consider a citation of 1926.1417(j)(2).

D. 1926.1417(k). When safety devices and operational aids were used

as a substitute for the exercise of professional judgment by the

operator, consider a citation of 1926.1417(k).

For example, the equipment had a limiting device to help the

operator prevent the crane from tipping over when loads and boom

lengths approach limits specified on the load chart. During the

hoisting operation, the operator relied solely on the limiting device

to warn her or him or to stop the equipment prior to reaching the

tipping point of the equipment. When it can be determined, that the

operator did not use her or his skill and experience with the

equipment to not exceed the limits specified on the load charts,

Repairs and Adjustments of Equipment

Section 1926.1412(b)(1), inspection of repaired or adjusted

equipment, requires that repairs or adjustments of the equipment

that affect its safe function and capacity must be done in accord

with the manufacturer’s or qualified person’s recommendations.

The preamble for this section of the final rule explains that repairs

or adjustments are meant to restore equipment to original design

specifications and safety factors. Otherwise, OSHA could consider

the activity a modification of the equipment. In other words, repair

or adjustment of a system or component that affect safety must be

consistent with the engineering in the original equipment design.

[75 FR 47968]

consider a citation of 1926.1417(k).

E. 1926.1417(o). When the equipment was operated:

• 1926.1417(o)(1). If operated in excess of its rated capacity,

consider a citation of 1926.1417(o)(1);

• 1926.1417(o)(2). If the operator was expressly required to

operate the equipment in a manner that its rated capacity

was exceeded, consider a citation of 1926.1417(o)(2).

• 1926.1417(o)(3). If the operator did not verify the weight

of the load as being within the capacity of the equipment

using one of the methods specified in paragraphs (o)(3)(i)

and (o)(3)(ii) of 1926.1417, consider a citation of

1926.1417(o)(3). When the employer attempts to use one of

the specified methods for verifying the weight of the load

but the method was deficient, the provision of

1926.1417(o)(3) which the employer used and a description

of its deficiency should be referenced in the AVD.

F. 1926.1417(p). When the boom or other parts of the equipment

contacted an obstruction, consider a citation of 1926.1417(p). The

hazardous condition may have been triggered by violations of

other provisions of Subdivision CC. For example, a safety device

or operational aid may not have been working, the signal person

may not have been qualified to give the operator signals, and the

operator may have relied on electronic warnings instead of

exercising her or his professional judgment to avoid contacting the

object, or may have been distracted when operating the equipment.

When appropriate, consider grouping with other citations, such as

1926.1417(k). See citation policy for 1926.1417(k).

G. 1926.1417(r). When loads were lifted over the front area of wheel-

mounted equipment in a situation not permitted by the

manufacturer, consider a citation of 1926.1417(r). When

appropriate, consider grouping with a violation of 1926.1417(a).

H. 1926.1417(t). When the load or the boom was lowered below the

point where less than two full wraps of rope remained on their

respective drums and this work practice was not permitted by the

manufacturer, consider a citation of 1926.1417(t). When

appropriate, consider grouping with a violation of 1926.1417(a).

I. 1926.1417(u). When the equipment was used to travel with the

load:

• 1926.1417(u)(1). If the practice is prohibited by the

manufacturer, consider a citation of 1926.1417(u)(1).

• 1926.1417(u)(2). If the practice was allowed by the

manufacturer but the employer did not ensure that the

requirements of paragraphs (u)(2)(i) through (u)(2)(iii) of

1926.1417 were met, consider a citation of the applicable

requirement of 1926.1417(u)(2). Consider grouping

citations of multiple requirements of 1926.1417(u)(2).

When appropriate, consider grouping citations under

1926.1417(u)(2) with a violation of 1926.1417(a).

J. 1926.1417(x). When brakes are not adjusted in accord with

manufacturer procedures to prevent unintended movement,

consider a citation of 1926.1417(x). When appropriate, consider

grouping citations under 1926.1417(u)(2) with a citation of

1926.1417(a).

K. 1926.1417(y). If a safety problem occurred and an employee gave

a stop or emergency stop signal to the operator, but the operator

continued operations, consider a citation for violation of

1926.1417(y).

L. 1926.1417(aa). The equipment was not a tower crane and

• 1926.1417(aa)(1)(i). If the equipment was operated without

the counterweight or ballast in place as specified by the

manufacturer, consider a citation of 1926.1417(aa)(1)(i).

When appropriate, consider grouping citations under

1926.1417(aa) with a violation of 1926.1417(a).

• 1926.1417(aa)(1)(ii). If the maximum counterweight or

ballast specified by the manufacturer for the equipment was

exceeded, consider a citation of 1926.1417(aa)(1)(ii). When

appropriate, consider grouping citations under

1926.1417(aa) with a violation of 1926.1417(a).

• 1926.1417(aa)(2). This provision is informational and

should not be cited.

4. 1926.1418. Authority to Stop Operation.

Inspection Guidance

A. In addition to using relevant facts obtained from methods of

information collection discussed for the application of 1926.1415

and 1926.1416, interview the operator and employer to:

• Verify that the operator is aware that he or she has the

authority to stop and refuse to handle loads when there are

concerns regarding the safety of the hoisting operation.

• Determine if the operator has stopped operations due to

safety concerns of projects for this employer in the past.

This information may serve as evidence that the operator is

aware of having this authority to stop the operation and the

employer is aware that it must ensure that the operator’s

safety concerns are addressed by a qualified person.

• Obtain a description of how the employer addressed the

operator’s safety concerns, and who authorized the restart

of crane operations.

• Determine if and how the operator may have been

discouraged from exercising her or his authority to stop

operations.

Citation Policy

B. 1926.1418. When there was a concern regarding safety and the

employer did not give the operator the authority to stop and refuse

to handle loads until a qualified person determined that safety was

assured, consider a citation of 1926.1418.

j. 1926.1419. Signals. General Requirements.

1. 1926.1419(a). A signal person must be used in each of the following

circumstances:

• The point of operation is not in full view of the operator

(1926.1419(a)(1)).

• The equipment is traveling and the view in the direction of

travel is obstructed (1926.1419(a)(2)).

The operator or person handling the load determines that a signal

person is necessary (1926.1419(a)(3)).

Inspection Guidance

A. During the inspection, if operations are underway, equipment is

moving, and it appears that a signal is necessary, interview the

employer to determine why a signal person is not being used.

B. A live video system that provides a full view to the crane operator

and enables the operator to see all that is needed to operate the

equipment safely satisfies the “full view” requirement in

1926.1419(a)(1), but a mirror system generally does not. The

sufficiency of any system depends on the particular situation.

Citation Policy

C. 1926.1419(a)(1) through (3). If a signal person is not being used

and one or more of the situations noted above is present, consider a

citation for violation of the standard. The citation should be for a

violation of the most specific provision applicable to the hazards

present. For example, cite 1926.1419(a)(1) if the operator does not

have full view of the point of operation and a signal person is not

being used.

If more than one of the circumstances in 1926.1419(a)(1)-(3) are

present, only one citation for violation of 1926.1419(a) should be

considered. Instead, consider citing to the general provision

1926.1419(a), and list the specific deficiencies in compliance with

provisions in 1926.1419(a)(1)-(3).

If one or more of the circumstances listed in 1926.1419(a) is

present and a signal person is being used, request the signal

person’s qualification documentation and verify that the signal

person is qualified for the type of signal being used. If the

employer is unable to present a qualification document for a signal

person or the documentation does not include the type of signal

used, consider a citation under 1926.1428(a) or a sub-provision of

that section. See the Signal Person Qualifications section in this

directive for additional inspection guidance for 1926.1428(a).

2. 1926.1419(b). Signals to operators must be by hand, voice, audible or

new signals.

Citation Policy

A. 1926.1419(b). A violation of 1926.1419(b) should generally not be

cited. Violations associated with new signals should generally be

cited under 1926.1419(d), pursuant to the guidance noted below.

3. 1926.1419(c). Hand Signals. When hand signals are used, standard

signals described in Appendix A to Subdivision CC must be used,

unless the employer can demonstrate that standard signals are

infeasible. In that case, non-standard hand signals are permitted. When

using non-standard hand signals, the signal person, operator, and lift

director (where there is one) must meet with each other prior to the

operation and agree on the non-standard hand signals that will be used.

Inspection Guidance

A. If hand signals are being used, look for a hand signal chart posted

in the vicinity (most likely on the crane). Observe the signal person

to verify that signals given are consistent with those on the chart.

B. If the hand signals in use differ from those on the chart, determine

whether standard hand signals would be infeasible. One

consideration in making this determination is whether there was a

need to signal an action for which there is no standard hand signal

(e.g., when a particular attachment for which there is no hand

signal is used with the equipment).

C. If non-standard hand signals are observed, evaluate whether both

parties understand the signals during operator and signal person

interviews. The interviews should verify:

• That the operator, signal person, and lift director (where

there is one) met to discuss the signals before beginning the

hoisting operation.

• That all parties agreed on the signals to be used.

Citation Policy

D. 1926.1419(c)(1). If standard hand signals are not being used, but

would be feasible under the circumstances, consider a citation for

violation of 1926.1419(c)(1).

E. 1926.1419(c)(2). In cases where use of non-standard hand signals

are proper, if there was no pre-operation contact between the signal

person, operator, and lift director or there is disagreement as to the

non-standard hand signals that were used, consider a citation for

violation of 1926.1419(c)(2).

4. 1926.1419 (d). New Signals.

New signals are signals other than hand, voice or audible signals, and

they are permissible only if the employer demonstrates that:

• The new signals are at least as effective as voice, audible or

hand signals (§1926.1419(d)(1)), or

• The new signals comply with a national consensus standard

that provides at least equally effective communication as voice,

audible or hand signals.

Inspection Guidance

A. If signal persons are observed using signals other than hand, voice

or audible signals, determine through observation and interview

what system is being employed (e.g., flag signals) and whether the

system effectively conveys the necessary signals.

• Ask the signal person and operator to explain the signal

system being used and why the signal person and operator

chose to use this system to determine whether it is effective

and whether both signal person and operator have the same

understanding of the system.

• Ask the signal person and operator if there are any written

materials on site containing the employer’s policy on what

signals should be given, or if the signals are derived from a

consensus standard, a copy of the consensus standard or

other source of the signals given.

• Ask the operator if he or she could receive and understand

the signals.

Citation Policy

B. 1926.1419(d). To comply with 1926.1419(d), the burden is on the

employer to demonstrate that one of the options under

1926.1419(d) has been satisfied. If a new signal is not at least as

effective as hand, voice, or audible signals, consider a citation for

violation of 1926.1419(d).

5. 1926.1419(e) requires that signals used and means of transmitting

them must be appropriate for site conditions.

Inspection Guidance

A. Observe the site for obstructions (e.g., visual or audible

interference) which might impact the transmitting of signals.

B. Ask the operator if he or she could clearly understand the signals

given.

Citation Policy

C. 1926.1419(e). If the signals used or the means of transmitting the

signals (line of sight, video, radio, etc.) are not appropriate to the

site conditions, consider a citation for violation of 1926.1419(e).

6. 1926.1419(f). The employer must ensure that the operator safely stops

operations if the ability to transmit signals between the operator and

the signal person is compromised or interrupted, and operations must

remain stopped until the ability to transmit signals is reestablished and

a proper signal is given and understood.

Inspection Guidance

A. If it appears that the ability to transmit signals between the

operator and the signal person was interrupted due to visual or

audible disturbance, interview the operator and signal person to

determine whether the operator understood the signals that the

signal person was giving.

B. If the operator and signal person did not understand one another,

ask the operator why he or she did not stop operations.

C. If there is a halt in operations, and operations subsequently resume

without communication between the operator and signal person or

a proper signal, interview the operator and signal person to

determine why operations were halted and why they were resumed.

Citation Policy

D. 1926.1419(f). Consider a citation for violation of 1926.1419(f) if

an interruption of signals is observed and the operator fails to stop

operations, or if a halt in operations is observed, due to signal

interruption, and operations resume without a proper signal. The

AVD should specify the circumstances giving rise to the citation to

ensure that the employer has adequate notice (i.e. failure to stop or

failure to properly resume operations). If the citation is for failure

to stop operations, group the citation with 1926.1400(f).

7. 1926.1419(g). Under 1926.1419(g), if the operator becomes aware of a

safety problem and needs to communicate with the signal person, the

operator must safely stop operations until the operator and signal

person agree that the problem is resolved. In addition, under

1926.1417(y), the operator is required to obey a stop or emergency

stop signal given by another person. See the Operation and Authority

to Stop section in this directive for additional guidance regarding

citations of 1926.1417(y). If the operator does not stop, group this

citation with 1926.1400(f).

Inspection Guidance

A. If a compliance officer becomes aware of a safety problem, or an

accident has occurred, determine whether operations were stopped.

• An example of a safety problem is if the signal person

signals to the operator to lower the load, but the operator

sees that an employee has moved under the load, the

operator would have to stop and communicate the hazard to

the signal person.

• Another example is where the signal person gives a hand

signal, but it appears that the signal person is using the

wrong signal. The operator would be required to stop and

communicate with the signal person to resolve the problem.

B. If a halt in operations is observed, and then work resumes without

communication between the operator and signal person, interview

the operator and signal person to determine why operations were

halted and why they were resumed.

Citation Policy

C. 1926.1419(g). Consider a citation for violation of 1926.1419(g) (1)

if a safety problem that requires communication between the

operator and signal person occurred, but the operator fails to stop

operations, or (2) if a halt in operations due to a safety problem is

observed and then operations resume without a proper signal. The

AVD should specify the circumstances giving rise to the citation

(i.e. failure to stop or failure to properly resume operations).

8. 1926.1419(h). Only one person may give signals to a crane or derrick

at a time, unless one person is alerting the operator of a safety problem

while another person is giving a signal.

Inspection Guidance

A. Observe the operation of the equipment and interview the operator

to determine who is giving signals, and whether multiple people

are giving signals.

B. If multiple employees are observed giving signals, assess the

following:

• Which employee was designated to give signals during that

hoisting operation?

• Why did multiple people give signals?

• Was one of the signals a stop or emergency stop signal? If

so, did the operator stop?

• Did a safety problem occur during operations?

Citation Policy

C. 1926.1419(h). If more than one person at a time is observed giving

signals to the operator but none of them are alerting the operator of

a safety problem, consider a citation for violation of 1926.1419(h).

9. 1926.1419(j). Anyone who becomes aware of a safety problem must

alert the operator or signal person by giving the stop or emergency

stop signal. The operator is required to obey a stop or emergency stop

signal under 1926.1417(y). See section covering Operation and

Authority to Stop in this directive for additional guidance regarding

citations of 1926.1417(y).

Inspection Guidance

A. If a compliance officer becomes aware of a safety problem or an

accident has occurred, but the operator did not stop operations,

determine whether a stop or emergency signal was given by any

employee.

B. If no stop or emergency stop signal was given, determine whether

other employees were aware of the safety problem.

C. If persons are observed alerting the operator to stop and the

operator neglects such signals, interview the operator to determine

the reason for not stopping operations.

Citation Policy

D. 1926.1419(j). If a safety problem occurred and an employee was

aware of the safety problem but failed to give a stop or emergency

stop signal to the operator, consider a citation for violation of

1926.1419(j).

10. 1926.1419(k). All directions given to the operator by the signal person

must be given from the operator’s direction perspective. This means

that the signal person must give signals as if he or she was sitting in

the operator’s seat and facing the same direction as the operator.

Inspection Guidance

A. Observe the hoisting operation for indications of problems with

communication between the operator and signal person such as:

• The operator having to stop to verify what the signals

mean, or

• The operator appearing to question the safety of the actions

that she or he has been signaled to perform.

B. Observe signals given, or listen to voice commands if they can be

heard, to verify that the signals are being given from the operator’s

direction/perspective and interview the operator to confirm.

Citation Policy

C. 1926.1419(k). If directions are being given from other than the

operator’s direction/perspective, consider a citation for violation of

1926.1419(k).

11. 1926.1419(m). If a signal person is in communication with more than

one crane or derrick, a system must be used for identifying which

piece of equipment each signal is for. That system must be at least as

effective as 1926.1419(m)(1), which permits the signal person to

identify the crane/derrick the signal is for prior to giving the signal.

Inspection Guidance

A. Observe equipment operations to determine whether the same

signal person is communicating with multiple pieces of equipment.

B. Observe the operation for indications that a system is being used to

distinguish the signals given to various pieces of equipment and

verify that a system has been implemented through interviews.

Citation Policy

C. 1926.1419(m). If signals for multiple pieces of equipment are

given by one signal person, but no system is used for

distinguishing between equipment, or a system is used which is not

as effective as the system in 1926.1419(m)(1), consider a citation

for violation of 1926.1419(m).

k. 1926.1420. Radio, telephone or other electronic transmission of

signals.

Inspection Guidance

A. Verify by observation of operations and interviews with the crane

operator, signal person and/or lift director that the following

requirements under this section are met:

• Devices were tested prior to operations to ensure that

transmission is effective, clear and reliable, in accord with

1926.1420(a).

• Signal transmission is through a dedicated channel unless

there are multiple cranes, derricks or signal persons or the

crane is operated on or around railroad tracks and

coordinated with equipment on the tracks, in accord with

1926.1420(b).

• The operator uses a hands-free system for receiving the

transmission of electronic signals, in accord with

1026.1420(c). A hands-free system is a system that does

not require the operator to depress a button, manipulate a

switch, or take any action to receive the incoming signal.

B. Transmission of an electronic signal that is not clear, effective, or

reliable could pose a significant hazard, and such transmission

would generally not meet the “effective” requirement under

1926.1420(a). Some issues that may affect signal efficacy include

static, time delay, and dropped signals.

Citation Policy

C. 1926.1420(a) through (c). Consider a citation for violation of:

• 1926.1420(a), if devices were not tested before operations,

• 1926.1420(b), if signals are not being transmitted through a

dedicated channel and the exceptions are not applicable,

and/or

Dedicated Channel: A line of communication assigned by the

employer who controls the communication system to only one

signal person and crane/derrick or to a coordinated group of

cranes/derricks/signal persons.

- Use of a dedicated channel ensures that the operator and signal

person are not interrupted or confused by users performing other

tasks or by instructions not intended for them.

• 1926.1420(c), if the operator uses a non-hands-free system

to receive signals.

l. 1926.1421. Voice signals—additional requirements.

1. 1926.1421(a) through (c). This section contains supplemental

requirements for voice signals.

Inspection Guidance

A. When possible, listen to voice signals being given on site. Verify

by observation of operations with voice signals and interviews of

the operator, signal person and/or lift director it the following

requirements under this section were met:

• Voice signals were agreed upon by the operator, signal

person, and lift director before operations began and

whenever another worker was added or substituted during

an operation, in accord with 1926.1421(a).

• Each voice signal contains the following three elements in

that order: (1) function (such as “hoist,” “boom,” etc.) and

direction, (2) distance and/or speed, and (3) function, then

stop command, in accord with 1926.1421(b).

• The operator, signal person and lift director are able to

effectively communicate in the language the signals are

given in, in accord with 1926.1421(c).

B. An example of a proper voice signal would be: “hoist up; 10 feet;

hoist stop.” Actual words used may vary, but the order of the

signals given must remain consistent under 1926.1421(b).

C. Observation of any misunderstandings or miscommunications

between parties involved in the operation may suggest that one or

more of these requirements has not been satisfied.

Citation Policy:

D. 1926.1421(a) through (c). Consider a citation for violation of:

• 1926.1421(a), if the operator, signal person and lift director

do not share the same understanding of what voice signals

should be used,

• 1926.1421(b), if voice signals do not contain the proper

elements in the proper order, and/or

• 1926.1421(c), if the operator, signal person and lift director

are not able to communicate effectively in the language

signals are given in.

m. 1926.1422. Signals—hand signal chart.

1. 1926.1422. Hand signal charts must be on the equipment or

conspicuously posted near hoisting operations.

Inspection Guidance

A. Visually inspect the equipment and worksite to ensure that there is

a hand signal chart visible (usually on the crane), and that the chart

is legible and not too weathered.

B. If the hand signal chart is not readily visible, ask the employer

where it is located.

Citation Policy

C. 1926.1422. If there is no hand signal chart, the chart is not posted

on equipment or near hoisting operations, or the chart is illegible,

consider a citation for violation of 1926.1422.

n. 1926.1423—Fall Protection.

This section covers fall protection requirements that are applicable to

equipment covered by Subdivision CC. This section outlines two

important changes from the old Subdivision N:

• New requirements for determining adequate anchorage points on

the equipment.

• Using the load line as an anchor for fall protection/restraint

systems. This section also clarifies that fall protection equipment

is not required when an employee is at or near the draw-works

(when equipment is running), in the cab, or on the deck.

1. 1926.1423(a). Application.

Inspection Guidance

Fall Protection Equipment: Guardrail systems, safety net

systems, personal fall arrest systems, positioning device systems or

fall restraint systems.

Personal fall arrest system (PFAS):

A system used to arrest an employee in a fall from a working level.

It consists of an anchorage, connectors, and a body harness, and

may also include a lanyard, deceleration device, lifeline, or suitable

combination of these things.

A. If tower cranes are present, note that only the fall protection

requirements of paragraphs (c)(1), (c)(2), (c)(4), (g)(2), (g)(3), and

(k) of 1926.1423 and OAR 437-003-1423(1), (3), (4), (5) and (6)

apply to tower cranes.

Paragraphs (b), (c)(1), (c)(2),(c)(3), and (k) of 1926.1423 and

OAR 437-003-1423(1), (2), (3), (5) and (6) apply to all other

equipment covered by Subdivision CC.

B. Visually inspect the worksite, observe the hoisting operations

(when possible), and interview the employer, operator, lift director

(if any), maintenance personnel, and crew members to determine

when and where employees must work at elevated locations on the

equipment.

Citation Policy

C. 1926.1423(a)(1). This provision should not be cited, as it only

establishes the scope for the application of the requirements of

1926.1423(b), (c), (g)(2), (g)(3), and (k) and OAR 437-003-1423.

2. 1926.1423(b) and (c). Boom Walkways, Steps, Handholds, Ladders,

Grabrails, Guardrails, and Railings.

This paragraph requires equipment manufactured after Nov. 8, 2011 to

be equipped:

• With walkways on lattice booms when the vertical profile of the

boom from cord centerline to cord centerline is 6 or more feet.

• To provide safe access and egress between the ground and the

operator work station, including the forward and rear positions,

by the provisions of such devices as steps, handholds, ladders,

guardrails and railings.

Inspection Guidance

A. Verify and document the manufacturing date of the equipment in

use.

B. Visually inspect the equipment to determine if it is equipped with a

lattice boom and document by camera or video (when possible) the

configuration and condition of the boom. When equipped with

walkways, and where there is access to the boom for inspection,

document the condition of observed walkways, handrails, steps,

guardrails, ladders, etc.

C. It is recommended that the employer be asked to lower the boom

of the equipment only after consulting with the field office

manager about any concerns regarding the condition of the boom

and its configuration. Arrange a time with the employer to have the

boom safely lowered for inspection purposes.

When the boom of the equipment is not down, examine design

specifications of the walkway system possibly in the operator’s

manual and/or available maintenance manuals. In addition to the

review of the manuals, verify from the operator, employer, and/or

maintenance personnel that the walkway system on the equipment

is the same as specified in the manuals.

D. When possible, observe how the operator accesses and egresses the

work station and document when it appears that devices such as

steps, handholds, ladders, guardrails and railings are needed to aid

the operator’s movement on the equipment. Review of the

operations manual may provide recommendations regarding how

to safely access and egress the operator work station of equipment,

as well as the devices that were provided by the manufacturer to

facilitate safe access and egress.

In situations where replacement parts have been used, document

any instances where devices are missing or have not been properly

maintained.

E. Under conditions when it appears that the work station cannot be

safely accessed and egressed, ask the employer to describe why the

required safeguards or devices were not provided and document

explanations regarding the feasibility of providing these safeguards

or devices.

F. Visually inspect the lattice boom to determine if it is supported by

pendants or bars, and when the boom is lowered and there is access

for compliance inspection purposes:

• Measure and document the: width of the walkway, height

of the guardrails and/or handrails, distance between rungs if

bent, broken, or missing, fall distances from work positions

on the equipment, cord widths, and brace dimensions, and

take any other measurements necessary to verify the

employer’s compliance with 1926.1423(c).

• Visually inspect the guardrails, railings, and other fall

protection attachments to verify that they are permanently

attached to the equipment. This information may also be

obtained from interviews with the operator, lift crew

members, and maintenance personnel. For example, the

operator or one of the workers may be responsible for

putting up or taking down removable attachments.

Document when the attachments are removable.

• Document any evidence that would indicate that guardrails,

railings, or permanent fall protection attachments can or

have already snagged a pendant or bar, including

interviews with the operator, lift crew members, and

maintenance personnel. Guardrails, railings, and other

permanent fall protection attachments are prohibited in

situations where fall protection attachments can snag a

pendant.

Citation Policy

G. §1926.1423(b)(1)(ii)(A) and (c)(1). Paragraphs (b)(1)(ii)(A) and

(c)(1) of 1926.1423 should not be cited because they only inform

the employer that guardrails/railings/and other permanent fall

protection attachments are not required along walkways, and that

the “duty to have” provisions of 1926.501(b) do not apply to

equipment covered by Subdivision CC.

H. 1926.1423(b). Consider citations for violations of applicable

requirements of this provision when:

• Boom walkways are required and the boom was not

configured with a walkway, or the walkway does not meet

the requirements of 1926.1423(b)(2)(i).

• Guardrails, railings, and other permanent fall protection

attachments are used along a walkway under one of the

conditions prohibited by provisions of 1926.1423(b)(2)(ii).

I. 1926.1423(c). Consider citations for violations under this provision

when steps, handholds, ladders, grabrails, guardrails, and railings

are needed to facilitate safe access and access between the ground

and the operator work station/cab and the devices:

• Were not provided;

• Were provided but were missing; or

• Were provided, but the requirements of 1926.1423(c) were

not met.

3. 1926.1423 (g)(2) through (g)(3) and OAR 437-003-1423(1) through

(4). Personal Fall Arrest, Positioning Device, and Fall Restraint

Systems.

These paragraphs set forth requirements for when personal fall arrest

systems, positioning devices, or fall restraint must be used and the

criteria that those systems and their components must meet.

Oregon OSHA did not adopt paragraphs (d), (e), (f), (g)(1), or (h) of

1926.1423. Instead, OAR 437-003-1423 applies.

When Fall Protection Equipment Must Be Used By Workers

While On the Equipment

Activity

Trigger height for fall

protection

Assembly/disassembly

10 feet

Tower cranes when erecting, climbing

(jumping) or dismantling

10 feet

Non–assembly/disassembly when the

lattice boom is at horizontal*

10 feet

Non–assembly/disassembly—non-

lattice booms*

10 feet

Non–assembly/disassembly when the

lattice boom is not at horizontal*

10 feet

Tower cranes when not erecting,

climbing (jumping), or dismantling

10 feet

*Applies both when moving point-to-point on a boom and when at a

work station on any part of the equipment.

A. Visually inspect the hoisting equipment, and identify and

document (by measurement, camera, or video) elevated areas of

the equipment at which fall protection must be used.

B. When possible, observe and document when employees were at

elevated locations or moving point to point on the equipment, to

verify that workers are using fall protection equipment in accord

with the requirements of OAR 437-003-1423(2) and (4).

Information needed to make this verification can also be obtained

from interviews with the employer, lift crew members, lift director

(if available), maintenance personnel, operator, and inspectors (if

available).

C. If workers were at elevated locations on the equipment without fall

protection equipment, take measurements of working surface and

fall distances to lower levels; document the employee locations

and fall distances through video, interviews with manufacturers (if

necessary), copies of range diagrams, boom angle, etc.

D. Visually inspect any fall protection systems available for use on

the jobsite to verify that they have been maintained in good

condition, appear to be compatible with the system’s other

components and that they and their components meet the

requirements of 1926.502(d), except the system anchorage

requirements of 1926.502(d)(15) and (e)(2) are not applicable.

However, the requirements of 1926.502(d)(15) and (e)(2) are used

as references for a competent person when considering the

suitability of a substantial part of the crane as a possible anchorage

for a fall protection system.

Typically, the specifications of fall protection equipment can be

obtained from information provided by the equipment

manufacturer, such as user’s guides. Locate and use identifiers on

the fall protection equipment, such as model numbers, and capacity

ratings to verify that the equipment is being used properly in

accord with information provided by the manufacturer or other

qualified individuals.

E. When fall protection equipment has been anchored to parts of the

crane, identify the competent person who determined that the

anchorage would be sufficient. If possible, interview the competent

person to verify the individual’s expertise regarding the subject

matter and to obtain and document a description of how the

competent person made this determination.

Citation Policy

F. OAR 437-003-1423(1). When the use of a personal fall arrest or

fall restraint system is required and the employer did not meet the

requirements of a 1926.502(d), consider a citation of OAR 437-

003-1423(1). The AVD should also identify what requirement of

1926.502(d) was violated.

G. OAR 437-003-1423(2).When fall protection equipment was not

used, on equipment other than a tower crane, under one of the

conditions specified in OAR 437-003-1423(2), consider citations

for violations of applicable provisions of OAR 437-003-1423(2).

H. 1926.1423(g). When the use of fall protection equipment was

required and its anchorage did not meet the requirements of

1926.1423(g)(2), (g)(3), and OAR 437-003-1423(3), consider

citations for violations of applicable provisions of

1926.1423(g)(2), (g)(3), and OAR 437-003-1423(3). The AVD

should also describe what provision of 1926.502(d)(15),

1926.502(e)(2), or OAR 437-003-0502(4) the competent person

knew or should have known the anchorage would not meet.

I. OAR 437-003-1423(4). When fall protection equipment was not

used on a tower crane under one of the conditions specified in

OAR 437-003-1423(4), consider citations for violations of

applicable provisions of OAR 437-003-1423(4).

4. OAR 437-003-1423(5). Anchoring to the Load Line.

This paragraph specifies the conditions under which fall protection

equipment can be anchored safely to the load line of equipment

covered by Subdivision CC.

Inspection Guidance

A. When possible, observe the operation, or conduct interviews to

determine and document when a worker’s fall protection

equipment is or was anchored to the load line of hoisting

equipment. When the workers are or were anchored to the load

line, verify and document:

• The location of the operator because he or she must be on

the worksite while the workers are anchored to the load line

of the equipment.

• When and how the operator was notified that the equipment

is being used to anchor fall protection on the worksite.

• If other loads were also suspended from the load line when

the workers were also anchored to the load line.

• When employees are being hoisted by the load line and

lanyard and the employer has not met the requirements of

1926.1431, Hoisting Personnel.

B. When fall protection equipment was used and anchored to the load

line of hoisting equipment, interview the employer, operator, and

workers to identify the qualified person who made the

determinations required by OAR 437-003-1423(5)(a).

C. Review any available documentation, and/or have the qualified

person describe, how the determination was made that the

anchorage setup and rated capacity met 1926.1423(g)(2) (which

refers to 1926.502(d)(15) for 5,000 pound criteria). Document, or

obtain a copy, of any information obtained from the qualified

person regarding this determination.

D. Interview the qualified person to verify the individual’s expertise

and to obtain and document a description of how the qualified

person made this determination.

Citation Policy

E. OAR 437-003-1423(5). When fall protection equipment was

anchored to the load line and the requirements of OAR 437-003-

1423(5) were not met, consider citations for violations of

applicable provisions of OAR 437-003-1423(5).

5. 1926.1423 (k) and OAR 437-003-1423(6). This provision specifies

the training that must be provided to workers who work at elevated

locations on equipment covered by Subdivision CC.

Inspection Guidance

A. Observe the actions of, and interview, individuals to verify that

they were trained to use required fall protection equipment in

accord with the requirements of 1926.1423(k). Elements of

1926.1423, 1926.500, 1926.502, OAR 437-003-1423(6), OAR

437-003-1500, and OAR 437-003-0502 can be used to form

questions that may obtain information regarding their training.

Citation Policy

B. 1926.1423(k) and OAR 437-003-1423(6). When the workers, who

were at elevated locations on the equipment and exposed to fall

hazards specified by 1926.1423 and OAR 437-003-1423, were not

trained in accord with the requirements of 1926.1423(k) and OAR

437-003-1423(6), consider citations for violations of applicable

provisions of 1926.1423(k) and OAR 437-003-1423(6).

o. 1926.1424. Work Area Control.

Section 1926.1424 addresses the striking/pinching/crushing hazards

associated with rotating superstructures of equipment.

1. 1926.1424(a)(1). Swing Radius Hazards.

The requirements of 1926.1424(a) apply when there are accessible

areas in which the equipment’s rotating superstructure (whether

permanently or temporarily mounted) poses a reasonably foreseeable

risk of:

• Striking and injuring an employee, or

• Pinching/crushing an employee against another part of the

equipment or another object.

When such equipment is used, the employer must meet the

requirements of 1926.1424(a)(2).

Inspection Guidance

A. Visually inspect, and observe the operation of, the equipment to

determine whether the equipment has a rotating superstructure that

presents “reasonably foreseeable” swing radius hazards in areas

that are accessible to workers. If so, document by camera/video

any hazard areas around the equipment and any signs,

warning/control lines, railings, or similar barriers in those areas.

This information will also be used to verify the employer’s

compliance with the hazard area designation requirements of

1926.1424(a)(2)(ii).

Superstructure/upperworks means the revolving frame of

equipment on which the operating machinery (and in many cases

the engine) are mounted along with the operator’s cab. The

counterweight is typically supported on the rear of the

superstructure/upperworks and the boom or other attachment is

mounted on the front.

Citation Policy

B. 1926.1424(a)(1). This provision serves to establish the scope for

the application of the requirements of 1926.1424(a)(1) through (b).

It should not be cited.

2. 1926.1424(a)(2). Keeping Employees Out of Hazard Areas.

To prevent workers from entering swing hazard areas, employers must

(A) train workers to recognize swing radius hazards; and (B) erect and

maintain a method of demarcation around the perimeter of the hazard

area.

Inspection Guidance

A. If a swing radius hazard area is determined to exist under

1926.1424(a)(1), verify whether all employees assigned to work on

or near the equipment were adequately trained on swing radius

hazards.

B. Observe the actions of and interview individuals that were

assigned to work on or near the equipment, to verify if they were

trained to protect themselves from the hazard areas. When

employees do not appear to recognize the barrier around the hazard

area, ask about their work actions and training.

C. Determine whether hazard areas around the equipment are

Reasonably Foreseeable

Examples illustrating the presence or absence of “reasonably

foreseeable” swing radius hazards:

Example #1: The bottom of the rear of the rotating superstructure

is 12 feet above the ground. An employee standing on the ground

within that swing radius could not be struck by the rotating

superstructure since the rotating superstructure would swing well

above him/her. There is nothing within that area on which the

employee could stand. In this example the area does not pose a

reasonably foreseeable risk of being struck or pinched/crushed.

Example #2: Same scenario as example #1 above, except that a

truck with material that is to be unloaded from its bed is within the

swing radius. If an employee were to stand on the truck bed the

employee would be within the swing radius. In this example, there

is a reasonably foreseeable risk of an employee being stuck or

pinched/crushed.

demarcated by barriers. If not, determine whether the employer

demonstrated the infeasibility of such barriers and clearly

communicated the hazards via warning signs and high visibility

markings on the equipment, and trained workers to understand the

significance of those signs/markings. Document the employer’s

rationale for why barriers are infeasible and whether it considered

any other alternative safety procedures to protect employees.

Citation Policy:

D. 1926.1424(a)(2). Consider a citation for violations of specific

requirements of this provision if equipment used exposed

employees to a reasonably foreseeable risk of striking, pinching,

and/or crushing from the rotating superstructure, and the employer

did not meet the requirements of 1926.1424(a)(2)(i) and (a)(2)(ii).

When the employer claims that it was infeasible to erect and

maintain methods of demarcation around the perimeter of the

hazard area, explain if the employer’s rationale for infeasibility is

deficient in the AVD.

3. 1926.1424(a)(3). Protecting Employees in the Hazard Areas.

This provision addresses hazards to employees working in the hazard

area. It requires employees, before entering a hazard area, to ensure

that the equipment operator is informed that they will be entering the

hazard area. It also prohibits employees with knowledge of the

presence of workers in the hazard area from rotating the superstructure

until he/she is informed that they are in a safe position.

The method of communication between the equipment operator and

workers in the hazard area must be established before the workers

enter the hazard area. If a signal person is used to relay this

information, he or she must been the requirements of 1926.1428.

Acceptable Communication Systems

Below are some examples of acceptable communication systems

between equipment operators and workers in the hazard area:

--use of a signal person who can give a prearranged “all clear”

signal to the operator when the hazard area is clear of workers

--use of portable air horns by the workers in the hazard area to

signal the equipment operator when it is safe to rotate the

superstructure

Inspection Guidance

A. When there are accessible hazard areas around the equipment’s

superstructure, document when and under what conditions workers

entered those areas and what workers were doing while there. In

addition, document the location of hazard areas that are out of the

view of the operator.

B. Interview the crew members, operator, lift director, and lift crew

members to:

• Determine whether the employer has established and

enforced the use of notification procedures when

employees must go in the hazard areas out of the view of

the operator.

• Obtain and document a description of the pre-arranged

method of communication, e.g., what was the method used

and when was it discussed?

Often there are indications that employees have entered hazard

areas, such as footprints in the mud or items in the areas like

signaling flags, water coolers, lunchboxes, gloves, jackets,

helmets, tool boxes, etc. If such indications are present, search for

further evidence of employee presence in hazard areas.

Citation Policy

C. 1926.1424(a)(3). Consider a citation of this provision if the

employer fails to establish and require use of procedures for

notifying equipment operators of the presence of workers in the

hazard area and/or procedures for notifying operators of workers

exiting from the work area.

Also consider a citation if an operator, with knowledge of the

presence of workers in the hazard area, rotates the equipment

superstructure prior to verifying that the employees are not in the

zone of danger.

Note that although the specific language of 1926.1424(a)(3)

requires employees entering the hazard area to provide

notification, the employer is ultimately responsible for ensuring

that an effective system of communication is established and

followed by employees. If such a communication system is not

established and followed, consider citing the employer under this

provision. Under this scenario, this citation should be grouped with

a citation of 1926.1400(f).

4. 1926.1424(b). Two or More Pieces of Equipment with Intersecting

Working Radii.

When multiple pieces of equipment are positioned and used so that

they have overlapping working radii, this provision requires the

controlling entity to institute a system that coordinates their activities.

For example, meeting this requirement would prevent: the equipment

from colliding with one another; or the striking, or pinching in

between moving equipment, of workers who are within the working

radii of both pieces of equipment. In the absence of a controlling entity

on a work site, the employer operating the equipment must institute

such a system.

Inspection Guidance

A. Refer to the Inspection Guidance provided above under

1926.1402(c) (Ground Conditions) of this directive for guidance

on determining the existence of a controlling entity on the work

site.

B. Interview the employer, controlling employer (if there is one), the

operator, lift director (if there is one), and lift crew members, to

determine which employer is responsible for the operation of each

piece of equipment in use at the work site.

C. Determine whether the working radii of the equipment overlap by

documenting information on the distances between individual

pieces of equipment and working radii for each piece of

equipment.

Citation Policy

D. 1926.1424(b). When multiple cranes with overlapping work radii

are operated in the absence of a system to coordinate their

operations, consider a citation of 1926.1424(b). If the construction

site does not have a controlling entity, consider citing the employer

operating equipment with intersecting working radii.

p. 1926.1425. Keeping Clear of the Load.

This section identifies the employees that may and may not be in the fall zone

of the load and under the lift routes of the loads that must be hoisted. The

section also outlines requirements on the location of employees during tilt-up

and tilt-down operations.

1. 1926.1425(a). Hoisting Routes.

Inspection Guidance

A. Observe the hoisting operation and route to determine and

document by camera/video the construction activities that are

being performed and where the loads are being staged to be hoisted

in support of the activities.

B. Note the types of loads suspended by the equipment and when and

where employees are in the fall zones of those loads. Look for

other potential hoisting routes and load staging areas that the

employer could use that would not put employees in the fall zone.

C. Interview the employer, operator, and lift supervisor (if any) and

document how and why the hoisting route was chosen and why the

hoisting job could not be done using a safer hoisting route and load

staging area. Be sure to ask about and document any hoisting-

related local requirements, such as public safety codes, that may

limit the employer’s options for hoisting routes. Ask why that

particular hoisting route was chosen.

Fall zone: the area (including but not limited to the area directly

beneath the load) into which it is reasonably foreseeable that

partially or completely suspended materials could accidently fall.

Directly under the load: applies when a part or all of an employee

is partially or completely directly beneath a suspended load.

Citation Policy

D. 1926.1425(a). Consider a citation of 1926.1425(a) when an

alternative hoisting route could have been used that would have

reduced the number of, or eliminated employees that must be in the

fall zone of a suspended load.

The AVD of the citation should describe how the hoisting route

could have been altered to better protect employees from the

hazard of suspended loads.

2. 1926.1425(b) through (d).Working within the Fall Zone and Rigging

of the Load.

This section specifies the only conditions (other than for tilt-up or tilt-

down operations) under which employees are allowed to be in the fall

zone of a load when the operator is not moving the load.

Inspection Guidance

A. Photograph and document when and where an observed hoisting

activity involves: tilt-up or tilt-down operations, the use of a

concrete bucket; the initial connection of the load to a component

or structure; or a load that must be hooked, guided, or unhooked.

Note which employees were in the fall zone, the extent of the

exposure, and what they were doing while there.

Fall zone and Travel Path of the Load

When determining the size of a fall zone, the type of load being hoisted

should be factored into this consideration. For example, a solid load such

as a concrete block, would have a much smaller fall zone than a bundle of

pipe or a tank of liquid should there be loss of control of the load,

especially when the load is moving. The hazard area is wherever the

employee can be struck by the load.

Public Safety: Many, especially urban, construction sites may have

relatively small footprints that may be bound on all sides by roads,

sidewalks with high vehicular and pedestrian traffic. Due to the employer’s

compliance with local and public safety requirements, it may not always be

feasible for the employer to provide a hoist route that does not fly any loads

over the heads of employees who are concentrated within the small

footprint of the construction site to perform construction activities.

Therefore, where possible, hoisting routes must be used that minimize the

exposure of employees to hoisted loads to the extent consistent with public

safety.

B. Interview the crew members, employer, operator, and lift director

(if any) to document why employees are in the fall zone and to

verify the employer’s compliance with 1926.1425(b) and (d).

C. When employees were in the fall zone to hook, unhook, receive, or

guide loads, document who did the rigging and verify whether the

rigging was done by a qualified rigger. See the

Assembly/Disassembly section in this directive for the definition of

qualified rigger and for guidance in assessing the individual’s

qualifications.

D. Determine through interviews, review of any available and

relevant rigging documentation (like a lift plan or special

instructions from the rigger or a manufacturer), or visual inspection

of the rigging and load to determine the employer’s compliance

with the requirements of 1926.1425(c). When possible, video or

photograph the rigging used.

Citation Policy

E. 1926.1425(b). Consider a citation of 1926.1425(b) when

employees were in the fall zone of a load that was suspended but

not moving and the employees were not:

• Guiding, hooking, or unhooking a load,

• Operating a concrete hopper or concrete bucket, or

• Initially attaching the load to a component or structure.

Consider citations for violations of 1926.701(d) and (e) when

equipment other than a crane or derrick is used to hoist a concrete

bucket. Consider citations for violations of 1926.702(f) regarding

the design of the concrete bucket.

F. 1926.1425(c). When an employee was in the fall zone of a load

while engaged in one of the activities specified in 1926.1425(b)

and a requirement of 1926.1425(c) was not met, consider a citation

of the applicable requirement of 1926.1425(c).

G. 1926.1425(d). When an employee was not needed to receive the

load and the employee was in the fall zone of the load, consider a

citation of 1926.1425(d).

3. 1926.1425(e). Tilt-up and Tilt-down Operations.

This section prohibits any employee from being directly beneath the

load during the performance of tilt-up or tilt-down operations. In

Tilt-up or Tilt-down Operations: means raising/lowering a load

from the horizontal to vertical or vertical to horizontal.

addition, this section limits the employees who can be in the fall zone

of this particular type of load to only those who are essential to the

performance of 3 specified operations. These operations are:

• Physically guiding the load.

• Closely monitoring and giving instructions regarding the load’s

movement; or

• Either detaching the load from, or initially attaching the load

to, another component or structure.

Inspection Guidance

A. Photograph and document when and where an observed hoisting is

a tilt-up or tilt-down operation. Note what employees were in the

fall zone and what they were doing while there.

B. Use any relevant information collected from inspection guidance

discussed above for the application of 1926.1425(a) through (d) to

help verify the employer’s compliance with the requirements of

1926.1425(e).

Citation Policy

C. 1926.1425(e). When an employee was in the fall zone of a load

while engaged in tilt-up or tilt-down operations and the employee

was either directly under the load or not engaged in an activity

specified in 1926.1425(e)(2), consider a citation of applicable

requirements of 1926.1425(e).

q. 1926.1426. Boom Free Fall and Controlled Load Lowering.

This section discusses requirements relating to free fall of the boom and

load line. Included are provisions addressing the prohibitions that apply if

the equipment has a boom that is designed to free fall, as well as some

specified methods of preventing free fall of the boom.

This section also addresses hazards related to the operation of hydraulic,

telescoping booms requiring an integrally mounted holding device to

prevent the boom from retracting if there is a hydraulic failure.

In addition, hazards related to free fall of the load line are addressed. Free

falls are prohibited under specified conditions.

1. 1926.1426(a) and (b). Prohibitions and Prevention of Free Fall of the

Boom.

Typically, equipment with boom mechanisms that have free fall

capability (“live booms”) are found on older friction cranes, derricks,

and cranes designed for use on barges.

Live booms on equipment manufactured on or after October 31, 1984

are not permitted.

Paragraphs (a) and (b) of 1926.1426 work in conjunction to allow

older models of equipment with live booms (manufactured before

October 31, 1984) to be used safely by restricting the equipment’s use

to operations where none of the following worksite conditions are

present:

• When an employee is in the fall zone of the boom or load;

• When an employee is being hoisted.

• When the load or boom is directly over or within Table A

(1408) distance of the power line including the radius of

vertical travel of the boom/load.

• When the load is over a shaft and employees are in the shaft.

• When the load is over a cofferdam and an employee is in the

fall zone of the boom/load.; and

• During lifting operations at a refinery or tank farm.

Under these conditions, free fall of the boom is prohibited when loads

are hoisted with equipment (manufactured before October 31, 1984)

unless the equipment is equipped with the secondary braking

mechanisms/devices listed in 1926.1426(b)(1) to (4).

Inspection Guidance

A. Determine the date of manufacture of the equipment from

operating manuals, equipment identification labels, or other

identification sources. The key determination is whether the

equipment was manufactured (1) before October 31, 1984, or (2)

on or after that date. This information will be relevant to the

employer’s compliance with 1926.1426.

B. Observe the performance of hoisting operations if possible and

document whether equipment with a live boom has been used in

any of the six prohibited situations listed above.

C. When operation of the equipment is observed in proximity to an

overhead power line, be sure to photograph/video and document all

measurements necessary to determine boom and load fall radius

and Table A clearance distances, including the equipment’s

position relative to the power line, boom length, load dimensions,

power line height, and power line voltage. This information will be

used to verify the employer’s compliance with Table A clearance

distances and 1926.1426(a)(2).

D. When equipment with a live boom is used to move loads over a

shaft, document when employees were present in the shaft during

lifts.

E. When equipment with a live boom is used to move a load over a

cofferdam, document if employees are present in the cofferdam

during lifts and for how long. However, note that there is no

violation of 1926.1426(a)(2) except when the employees in the

cofferdam were in the actual fall zone of the boom or load.

F. When a worksite condition specified in 1926.1426(a)(1) exists:

• If the live boom has a friction drum, verify by visual

inspection, employee interviews, and/or equipment

manuals that there is a friction clutch and a braking device,

plus a secondary braking or locking device.

• If the live boom has hydraulic drums, verify by visual

inspection, employee interviews, and/or equipment

manuals that the hydraulic drums have an integrally

mounted holding device or internal static brake.

• If the live boom has hydraulic boom cylinders, verify by

visual inspection, employee interviews, and/or equipment

manuals that all hydraulic boom cylinders have an

integrally mounted holding devices.

NOTE: Neither clutches nor hydraulic motors are considered to be

braking or locking devices for purposes of this Subdivision.

Citation Policy:

G. 1926.1426(a)(2). Consider a citation for violation of

1926.1426(a)(2) when a load was hoisted using equipment:

Calculating Boom and Load Fall Radius

When calculating the boom radius, consider both the vertical fall

radius as well as a potential swing radius equal to the length of the

boom itself when measured from the pivot point at center pin.

When the pivot point of the equipment is not obvious, it can be

determined through review of the operations/service manuals or by

asking the operator, maintenance personnel, or employer.

When calculating load fall radius, this would be a similar

calculation to the “Fall Zone” as identified in 1926.1425. The fall

zone depends on the load itself. A bundle of pipe or vessel full of

liquid would have a much larger fall zone than a single block of

concrete.

• With a live boom (manufactured before October 31, 1984).

• Under any of the six prohibited conditions listed under

1926.1426(a)(1)(i)-(a)(1)(vi).

• That is not a floating crane/derrick or land crane/derrick on

a vessel/floating device.

The AVD of the citation should list the specific conditions in

paragraphs (a)(1)(i) through (a)(1)(vi) of 1926.1426 that existed

when free fall of the boom occurred.

2. 1926.1426(c). Preventing Uncontrolled Retraction.

Hydraulic Telescoping Booms (also known as “hydraulic extensible

booms”) are required to have an integrally mounted holding device to

prevent boom retraction in the event of a hydraulic failure. An

integrally mounted holding device (such as a load hold check valve) is

designed to prevent retraction of the boom in the event of catastrophic

hydraulic failure, such as a supply hose rupture. It is not designed to

prevent retractions caused by minor systemic fluctuations in the

hydraulic system caused by temperature changes.

Inspection Guidance

A. Through visual inspection, operating manuals, and interviews,

determine if the equipment is configured with a hydraulic,

telescoping boom.

B. If equipped with a hydraulic, telescoping boom, through visual

inspection, determine if the boom is equipped with the required

holding device. If the presence of the device is not apparent,

review the operating manual, manufacturer’s equipment

specifications, and interview the employer, operator, or available

maintenance personnel to verify. For example, the employer can be

asked for a copy of any available documentation of tests performed

to confirm the operation of this device.

Citation Policy

C. 1926.1426(c). Consider a citation of 1926.1426(c) if the hydraulic

telescoping boom does not have an integrally mounted holding

device.

3. 1926.1426(d). Load Line Free Fall.

Controlled lowering of the load line is required and free fall of the load

is not allowed under the following worksite conditions:

• When an employee is directly under the load.

• When an employee is being hoisted.

• When the load or boom is directly over or within Table A

(1926.1408) distance of the power line including the radius of

vertical travel of the boom/load.

• When the load is over an occupied shaft.

• When the load is over a cofferdam and employees are in the

fall zone of the load.

Inspection Guidance

A. Observe the operation of the equipment and interview the operator,

and/or use camera/video equipment when loads are permitted to

free fall in any of the five situations listed above. If using video,

maximize audio gain to capture the presence or absence of hoist

drive motor sounds. Absence of hoist drive motor sounds may

indicate a free fall of the boom or load.

B. When operation of the equipment with load line free fall is

observed in proximity to a power line, be sure to photograph/video

and document all measurements necessary to determine boom and

load fall radius and Table A clearance distances, including the

equipment’s position relative to the power line, boom length, load

dimensions, power line height, and power line voltage. This

information will be used to verify the employer’s compliance with

Table A clearances distances and 1926.1426(a)(2).

C. When equipment is observed being used to move a load over a

cofferdam, document whenever employees were present in the

cofferdam. However, note that there is no violation of

1926.1426(d)(5) except when the employees in the cofferdam were

actually in the fall zone and load line free fall was used.

Load line Free Fall: Where only the brake is used to regulate the

descent of the load line (the drive mechanism is not used to drive

the load down faster or retard its lowering).

Controlled Load Lowering: Lowering a load by means of a

mechanical hoist drum device that allows a hoisted load to be

lowered with maximum control using the gear train or hydraulic

components of the hoist mechanism; requires the use of the hoist

drive motor, rather than the load hoist brake, to lower the load.

Citation Policy:

D. 1926.1426(d). Consider citations for violations of applicable

requirements of 1926.1426(d) when a free fall of the load occurred

under one of the conditions specified in 1926.1426(d)(1)-(5).

The AVD of the citation should list the specific condition in

paragraphs (d)(1) through (d)(5) of 1926.1426 that existed when

free fall of the load line occurred.

1926.1427. Operator Training, Certification, and Evaluation.

1. 1926.1427(a). General Requirements for Operators.

Operator Competency

Overall, the employer must ensure that each operator is:

Trained AND certified/licensed AND evaluated in accordance

with this section, OR

The operator must be continuously supervised in

compliance with operator-in-training requirements of

Division 3. Subdivision CC, 1926.1427(b) Operator

Training.

Oregon OSHA’s crane operator requirements allow

employers flexibility in how they ensure the competency of

their operators while providing some specificity in the kinds

of information that construction employers commonly assess

when making determinations about the operator’s knowledge

and abilities.

Frequently used Terms that are not Explicitly Defined

Multi-purpose machines and 1926.1427 - Operators of multi-purpose

machines must be trained, certified, and evaluated in accordance with this

standard when these machines are configured and used as equipment covered

by the standard. For example, some manufacturers market equipment as

meeting both the applicable consensus standards for cranes and aerial lifts but

only for a particular range of the equipment’s load charts. When the employer

configures and uses the equipment like a crane (to hoist and lower, by means

of a winch or hook, and horizontally move a suspended load), the employer

must meet all requirements of the crane rule, including operator training,

certification/licensing and evaluation requirements. When there are concerns

about the equipment’s configuration, condition, or use during a compliance

inspection or incident investigation, the Compliance Officer should conduct

interviews of the employer, the operator(s), employees working with the

crane, and, if available, the trainer(s), lift director(s), and site supervisor(s). To

ensure that the employer is complying with the manufacturer’s

recommendations, which may include operation, it may be necessary for the

Compliance Officer to contact the manufacturer or rental company to obtain

additional information related to the crane’s configuration and use.

Multi-Employer Worksites and Contracts - The crane

standard specifies minimum duties of controlling employers

(see 1926.1402 and 1926.1424), but is not intended to

discourage controlling employers from continuing to

implement additional measures that have been determined

effective for ensuring crane safety at their jobsites. Refer to

the Multi-Employer Workplace Citation Guidelines, Program

Directive A-257, for additional guidance.

On multi-employer worksites where a crane operator could

expose employees of other employers to hazards from the

operation of that equipment:

Inspection Guidance

Documentation of Operator Qualifications

a. Typically, Compliance Officers inspect cranes and interview crane

operators as part of broader programmed inspections of construction

worksites, inspections triggered by observed violations of the crane standard

(including referrals and complaints), incident investigations, or because of a

crane hazard emphasis program.

Compliance Officers should request the following crane operator

documentation, which may be in hard copy or electronic form:

▪ A license or certificate (1926.1427(c) and (d)); and

▪ Documentation of the operator’s evaluation(s)

(1926.1427(f))

Absent safety concerns about the condition of a crane, its set-up,

operation, or the tasks for which it is being operated, this documentation

should be sufficient to confirm the employer’s compliance with the

requirements of 1926.1427(a).

b. If unsafe operation or the condition of a crane causes a

Compliance Officer to have concerns about the

competency of the crane operator, they should document

any unsafe operations or conditions and conduct interviews

of the crane operator(s), employer, and if available,

trainers, hoist director and hoist crews to verify the

qualifications of the operator(s).

c. If an operator lacks the required documentation for

licensing/certification or evaluation, the Compliance

Officer should interview the employer and document the

operator’s explanation regarding the reason for the lack of

documentation. The employer’s and operator’s statements

should also be noted regarding whether the operator has in

fact been licensed/certified and evaluated for any specific

equipment or tasks. In some cases, the operator has been

trained, certified, and evaluated on some equipment or

tasks, but not for the operator’s current equipment or task.

If an operator lacks the required documentation for

licensing/certification or evaluation, the Compliance Officer

should determine if the operator is an operator-in-training

and, if so, the name of the trainer who is providing

continuous supervision and his/her employer and trainer

qualifications.

NOTE: For more specific inspection guidance and citation

policy, the Compliance Officer shall refer to the Field

Inspection Reference Manual (FIRM) and other sections of

this directive regarding specific requirements for crane

operator training, certification/licensing, and evaluation.

Citation Policy

d. 1926.1427(a). When an employer has not ensured that

each operator is trained, certified/licensed, and evaluated,

or has not met the operator-in-training requirements of

1926.1427(b),, consider a citation for a violation of

1926.1427(a).

e. 1926.1427(a). When an employer has tried and failed to

meet the training, certification/licensing, or evaluation

requirements, and has not attempted to meet operator-in-

training requirements, consider a citation for a violation

of 1926.1427(a) grouped with citations for violations of

particular requirements of 1926.1427(b) – training,

1926.1427(c)- state or local licensing, (d)- accredited

certification, (e)- audited employer program and

certification, (f)- operator evaluation, and/or (h)(1)-

language and literacy.

f. 1926.1427(a)(1). When an operator-in-training operates equipment but

the employer did not meet all requirements of 1926.1427(b), consider a

citation for a violation of 1926.1427(a)(1) grouped with citations for

violations of particular requirements of 1926.1427(b).

g. 1926.1427(a)(2). Do not cite this provision because it is

only information about an exception to the requirements

of § 1926.1427.

NOTE: A safety violation related to the crane does not

necessarily mean there is a violation of these

requirements.

2. 1926.1427(b). Operator-in-training

Purpose: Compliance with this section allows an employee to

continue operating cranes when an employee is not yet

certified/licensed or evaluated as required, but in such cases

the operation must be under continuous supervision of a

trainer.

Note on continuous cycle of training, certification, and

evaluation: Operators who are sufficiently trained (commonly

referred to as “experienced”) in accordance with this

Subdivision are still considered operators-in-training until

they are certified/licensed and pass an evaluation by the

employer. Even then, these operators would again assume

operator- in-training status with respect to new equipment or

tasks that require new skills, knowledge, or the ability to

recognize and avert risk, necessary to operate particular

equipment safely for the assigned task. However, the

employee still may operate the new equipment or perform new

tasks as an operator-in-training under continuous supervision

in accordance with 1926.1427(b)(2) until they have been

trained and evaluated on those new knowledge, skills, and

abilities. Additional certification is required each time an

operator switches to a different type of crane, so operators

who switch types of cranes may assume an operator-in-

training status pending the applicable new certification and

evaluation. As changes in equipment and operating activities

require different or higher levels of crane operating

knowledge, skills, and abilities, employers must provide

additional training to address these needs of the operator. The

training may be limited to address only the aspects of crane

knowledge and operating competency in which the operator

lacks.

Training requirements and the operator-in-training limitations are

described in 1926.1427(b). The operator may only assign tasks within the

operator-in-training’s ability, and only a certified/licensed operator-in-

training may operate the equipment for the most hazardous types of lifts

identified in 1926.1427(b)(3). This list includes lifts performed: in

proximity to energized power lines; to hoist personnel; as multiple-

equipment lifts; over a shaft, cofferdam, or tank farm; and as a multiple

lift rigging operation.

The employer must ensure that an operator-in-training is

monitored in accordance with 1926.1427(b)(4).

Inspection Guidance

a. If the employer has designated the crane operator as an operator-

in-training, the Compliance Officer should:

Request and review any written training program materials the

employer has used to train the specific operato-in-training.

Although the standard does not require employers to create and

maintain training records, ask for training records for each training

requirement, if available (i.e., written exams, evaluations, sign-in

sheets, curriculums).

Interview the employer and employees to determine what training

the employer has provided. Questions to be considered:

-Do employees understand what was conveyed/covered in

the training?

-Do the employees feel that the training is useful? What did

they learn?

-When is training provided? How frequently? How long

does training last?

-When was the employee last trained? What was the

training about?

-Did the training involve operating equipment or

performing activities, or was it verbal training only?

-Is training provided by the employer directly or an outside

vendor?

-How did the employer determine that the trainer was

qualified to train the operator-in-training?

-Did the employer comply with all other operator-in-

training requirements, including the trainer’s presence and

activities at the worksite to comply with continuous

monitoring requirements (29 CFR 1926.1427(b))?

Note: Training not provided by current employer can be accepted

if verified. Not all operators-in-training will be inexperienced

operators or unfamiliar with the crane(s) they operate. They may

be operating in a status pending certification or evaluation. In

such cases, the employer should have determined that the operator

has been sufficiently trained by a prior employer or other means,

such as a labor union, and is familiar with the crane(s) and its

operations such that additional training is not required. Therefore,

it is reasonable that the employer may not have a record of

providing formal and practical instruction for particular operators

as long as the employer complies with the certification and

evaluation requirements of the standard.

When there are concerns about the operator(s) familiarity with the

crane operated and the task assigned, and whether sufficient

training was provided, the Compliance Officer should interview

the employer, crane operator(s), and operator’s trainer(s) to

document any training provided (if any), and how the employer

determined that crane operation and tasks assigned are within the

ability of the crane operator (including any documented

evaluations). Training under a previous employer may be

acceptable if verified by the current employer – employers need

not re-train an experienced operator just because the operator

switches employers. However, it is the employer’s duty to ensure

the operator is trained.

b. Retraining- Retraining is required when the operator’s

performance, or an evaluation of the operator’s knowledge,

indicates that the operator did not fully grasp initial training.

Employers have a continuing duty to monitor the performance of

their operators to determine whether retraining is necessary. For

example, construction employers often rely on evaluations or other

feedback about the performance of crane operators, especially

about near-miss incidents or reports of other unsafe operation

received from site supervisors, hoist crews, lift directors, trainers,

and other employers who have worked with or around the crane.

These entities should be interviewed to determine what steps the

employer has taken to identify any concerns about the operator’s

ability to safely operate the crane, perform assigned tasks and what

steps the employer has taken when such concerns have been

identified.

Citation Policy

c. Both 1926.1427(b) and 1926.1430(c) include training requirements

for operators, but 1926.1430(c) refers back to 1926.1427(b) for

most operators. Only cite to 1926.1430(c) if the equipment being

operated is a derrick, a sideboom crane, or has a lifting

capacity of 2,000 pounds or less (for those, cite from

1926.1430(c)).

d. 1926.1427(b). Consider a citation for a violation of 1926.1427(b)

grouped with citation for a violation of 1926.1427(a)(1) when the

employer attempted to comply with operator-in-training

requirements, but did not make efforts to determine that the

operator was sufficiently trained for the assigned tasks.

The AVD should describe how the lack of formal or practical

training deprived the operator of the opportunity to become

familiar with the crane(s) and assigned task(s), creating a

hazardous worksite condition.

e. 1926.1427(b)(1). Consider a citation for a violation of

1926.1427(b)(1) grouped with citation for a violation of

1926.1427(a)(1) when an employer provided training, but it was

inadequate because:

the training provided did not cover the requisite

knowledge and skills listed in paragraphs (j)(1) and

(2) of 1926.1427.

f. 1926.1427(b)(2). Consider a citation for a violation of

1926.1427(b)(2) grouped with citation for a violation of

1926.1427(a)(1) when an employer attempted to comply with the

operator-in-training requirements but:

the employer did not provide continuous monitoring

of the operator in training; or

the employer’s continuous monitoring of the

operator-in-training did not comply with all

requirements of 1926.1427(b)(4)

Describe in the AVD how the Compliance Officer determined that

continuous monitoring was not provided or how the employer

violated a provision of 1926.1427(b)(4). In some cases, there may

also be evidence that a failure to continuously monitor would

prevent a monitor from recognizing and preventing a hazardous

condition caused by the operator-in-training while operating a

crane.

g. 1926.1427(b)(3). Consider a citation for a violation of

1926.1427(b)(3) grouped with citation for a violation of

1926.1427(a)(1) when an employer attempted to comply with

operator-in-training requirements but:

the assigned task was beyond the ability of the

operator-in-training; or

the operator-in-training was not certified/qualified

in accordance with 1926.1427 and was performing

an assigned task listed in 1926.1427(b)(3)(i)-(v).

Describe in the AVD how the task assigned was not within the

ability of the operator- in-training. In some cases, it may be evident

that the employer did not make any efforts to make this

determination. In others, the employer’s determination may be

subjective and should be balanced with other evidence.

h. 1926.1427(b)(4). Consider a citation for a violation of

1926.1427(b)(4) when the qualifications of the person monitoring

the operator-in-training did not comply with all requirements of

1926.1427(b)(4). Any citations for violations of 1926.1427(b)(4)

should be grouped with citations for violations of 1926.1427(b)(2)

and 1926.1427(a)(1). The AVD should specify which provision of

1926.1427(b)(4) has been violated.

i. 1926.1427(b)(5). Consider a citation for a violation of

1926.1427(b)(5) grouped with a citation of 1926.1427(a)(1) when

the employer allowed an operator to operate a crane and there was

an indication that retraining was needed and was not provided.

Describe in the AVD any facts that were evident to the employer,

or presented to the employer, and triggered a need for retraining of

the operator. In some cases, near-miss incidents or observed

hazardous conditions that were created, or t not recognized or

averted by the operator should be used in support of the citation.

The AVD should also include the hazardous condition(s) that

could have been prevented through retraining of the operator.

3. 1926.1427(c). Operator Certification and Licensing

Except as identified earlier, employers must ensure that

their operators are certified or licensed through at least

one of the following:

• Certified by a testing body accredited by

a nationally recognized accrediting

agency. (See figure 1427-1 / Option 1)

• Certified by the employer through an audited

employer program that meets all of the

criteria in 1926.1427(e). (See figure 1427-1 /

Option 2)

• Licensed by a state or local government

authority who has determined that its

certification/licensing programs meet the

requirements of paragraphs (c)-(e) of

1926.1427. (See figure 1427-1 / Option 3)

OPERATOR

CERTIFICATION/LICENSI

This flowchart is designed to assist Compliance Officers in determining

whether an employer has met the operator certification/licensing

requirements. This flowchart should be used after determining that the

equipment operated is within the scope of the rule (see § 1926.1400)

and that none of the exceptions of § 1926.1427(a) apply. For

jurisdictions requiring licenses, Compliance Officers should determine

whether the operator has the jurisdiction’s license and whether the

jurisdiction’s license meets the federal floor. Note: Violations under

1926.1427(c) in this flowchart should also be grouped with a citation for

violation of 1926.1427(a).

Violations under 1926.1427(d) should also be grouped with a citation

for violation of 1926.1427(a) and 1926.1427(c)(2). See Citation

Policy.

State/local government Licensing- A single state or local license may

satisfy Oregon OSHA and state/local government requirements.

If the state or local license meets OSHA’s minimum “federal

floor” requirements, then Oregon OSHA’s standard requires

an operator to obtain that license to operate within that

jurisdiction. See discussion of “federal floor” below.

If a state or local government’s licensing program does not meet

the minimum “federal floor” requirements specified by OSHA,

employers operating cranes within those jurisdictions must meet

one of the other options for certification/qualification as specified

by 1926.1427.

A state or local government may choose to require employers

operating cranes within its jurisdiction to provide crane operators

with certifications issued by a particular accredited testing

organizations chosen by the state or local government. As long as

the state or local license meets all requirements in 1926.1427, the

operator must obtain that certification to comply with OSHA’s

standard.

Is the operator certified/licensed?

Was the certification/license issued

by an accredited testing organization,

an audited employer program or

compliant state or local government

licensing program?

Possible § 1926.1427(a)

violation

Training and Testing Provided by the Same Testing Organization-

Compliance with 1926.1427(c)(4) is intended to prevent a

licensing/testing organization’s training arm from “teaching to the test,”

which would undermine the test’s ability to determine the individual’s true

subject matter expertise for safe operation of equipment. If a Compliance

Officer becomes aware of any allegations that a licensing/testing

organization is also providing training and “teaching to the test,” they

should immediately contact the Statewide Safety Enforcement manager

who will inform/consult with the Federal OSHA National Office about

such allegations.

Inspection Guidance

When a license or certification is required, the Compliance Officer should:

a. Ask operators if they have a certificate or card or ask the employer

to make the certification available for review. Operators may carry

a certification/license with them, while some employers may keep

copies of those documents in a central location to facilitate

accessibility. Electronic documents are acceptable.

Meeting the Federal Floor

The “federal floor” refers to Federal OSHA’s base criteria for a state or local crane

operator license. The “federal floor” requirements are intended to ensure that state and

local licensing requirements meet most of the same minimum requirements specified for

an accredited certification body. An oversight office—in addition to the licensing office—

is one of the requirements for a state/local licensing program to meet the “federal floor.”

That oversight office must declare that the licensing program:

• Requires written and practical assessment of knowledge and skills

listed in 1926.1427(j)(1) and (2); and

• Meets industry-recognized testing criteria

It is anticipated that the license will either include that declaration or indicate that the

licensing authority has posted that declaration on its website. Consult the Oregon OSHA

Statewide Safety Enforcement manager for more guidance on whether such declaration

has been made or if an inquiry must be initiated.

In order to meet the federal floor, the licensing program must also include a specific re-

licensing process.

b. Verify that equipment operators have been certified/licensed in

accordance with the requirements of 1926.1427(a) to operate

assigned equipment.

c. If the documentation is a state or locally-required license, verify

that the license meets the “federal floor” requirements of

1926.1427(c)(1) (discussed above). If necessary, contact the

Oregon OSHA Statewide Safety Enforcement manager..

d. If there are any concerns regarding the information provided by an

accredited testing organization or compliant state or local

government program about their programs, contact the Oregon

OSHA Statewide Safety Enforcement manager who will consult

with Federal OSHA Region X office and the Federal OSHA

Directorate of Construction..

e. There may be attempts to create fraudulent certification cards that

may raise concerns during inspections. If there are concerns about

whether the certification/license is genuine, contact the testing

organization to verify the validity of the certification. It is common

practice for testing organizations to keep record of certified

operators. Also, if necessary, contact the Oregon OSHA Statewide

Safety Enforcement manager who will consult with Federal OSHA

Region X office and the Federal OSHA Directorate of

Construction..

f. Verify that the certification/licensing documentation:

identifies the operator and the accredited certifier;

specifies the type, or type and capacity, of

equipment for which the operator is certified to

operate;

specifies the language in which the operator is

certified; and

has not exceeded the expiration date specified by

the certification, or five years (whichever is

shorter).

For certifications, confirm that the testing

organization is accredited to perform tests for the

type of equipment listed on the certification.

g. If the equipment is not of the type listed on the operator’s

certification/license, then document the make and model of

equipment operated and obtain a copy of the operator’s

certification. To determine the type of equipment, note the

equipment’s design and function, and if necessary, review

the operations manual or contact the manufacturer. Contact

the testing organization, if necessary, for assistance

determining if the equipment is within the type specified on

the certification/licensing documentation or similar.

h. If it is unclear whether there is a certification available for

similar equipment, contact the testing organization and, if

necessary, contact the Oregon OSHA Statewide Safety

Enforcement manager who will consult with Federal

OSHA Region X office and the Federal OSHA Directorate

of Construction..

i. Verify that the language specified on the operator’s

certification/license documentation is the same as that in

the crane manual, load charts, etc., in the equipment

operated at the jobsite

j. Interview the operator to determine who paid for the

operator’s certification or license (including

recertification). If the operator paid, Compliance Officers

should ask when the operator was certified, whether the

operator was employed by the employer at that time, and

whether the operator was reimbursed. Employers are

required by 1926.1427(c)(3) to pay for the certification of

operator’s they employ, but only for certifications after the

effective date of the revisions to the standard: May 9, 2019.

While payment for recertification of an employed operator

is covered under this provision, payment for test

preparation for certification testing is not covered.

Employers may devise various arrangements to pay for

certification of an operator, so evaluate these arrangements

on a case-by-case basis.

k. An operator’s non-compliance with provisions of

Subdivision CC may be an indication that they need

retraining or the employer may not have effectively

communicated and enforced work rules to ensure

compliance with the requirements. The Compliance Officer

should interview the operator, employer, and A/D/lift

director (if there is one) to determine what was observed by

workers/employees regarding the unsafe operations of the

crane and any actions taken by the employer to address

concerns about the operator(s).

l. When field offices experience difficulties in obtaining

information from testing organizations, state or local

governments, or accrediting agencies necessary to the

Compliance Officer to an evaluation about particular

licenses or certifications used at worksites, contact the

Oregon OSHA Statewide Safety Enforcement manager

who will consult with Federal OSHA Region X office and

the Federal OSHA Directorate of Construction..

Citation Policy

m. 1926.1427(c)(1). Consider a citation for violation of

1926.1427(a) grouped with 1926.1427(c)(1) when:

the employer operates a crane within the

jurisdiction of a state or local government

that state or local government requires a

license to operate a crane within its

jurisdiction;

the license meets requirements of

1926.1427(c); but

the operator has not acquired the required

license

n. 1926.1427(c)(2). Consider a citation for a violation of

1926.1427(c)(2) grouped with a citation for a violations of

1926.1427(a) when:

a license is not required and the operator is

not certified as specified under 1926.1427(d)

and (e)

o. 1926.1427(c)(3). Consider a citation for a violation of

1926.1427(c)(3) grouped with a citation for violation of

1926.1427(a) when the employer has not complied with the

requirement to ensure that certification or license is

provided at no cost to its employee.

4. 1926.1427(d). Certification by an Accredited Crane Operator

Testing Organization. (See figure 1427-1 / Option1)

Inspection Guidance

a. Refer to inspection guidance provided in this directive for

1926.1427(a)-(c).

Citation Policy

b. 1926.1427(d). Consider a citation for violations of specific requirements

of 1926.1427(d) grouped with citations for violations of 1926.1427(c)(2)

and 1926.1427(a) when the operator’s certifying body is not accredited or

otherwise fails to satisfy the specific requirements of 1926.1427(d).

Multiple violations of 1926.1427(d) should be grouped together with

1926.1427(c)(2) and 1926.1427(a) in one citation. If there is evidence

suggesting that the certification might not satisfy Oregon OSHA’s

requirements, the Compliance Officer must consult with the Statewide

Safety Enforcement manager.

5. 1926.1427(e). Certification by an Audited Employer Program. (See figure

1427-1 / Option 2)

Under this option, employers can certify their own crane operators.

However, the program’s written and practical tests must be either:

Developed by an accredited crane operator testing organization,

Approved by a third-party auditor in accordance with requirements

specified by 1927.1427(e)(1)(ii)(A)-(D).

Inspection Guidance

a. Refer to inspection guidance provided in this directive for

1927.1427(a)-(c).

b. If the employer provides its own certifications and that is the only

certification the operator has, ask the employer to provide

information or documentation about its certification program,

including evidence that its testing program was audited by an

accredited crane operator testing organization or audited by a third-

party certified auditor.

c. If there are any concerns about whether the employer’s audited

program satisfies the requirements of 1927.1427(e), such as its

approval status, contact the auditor or auditing company using

information obtained from the employer.

d. Contact the Statewide Safety Enforcement manager who may

consult with Federal OSHA Region X and the Directorate of

Construction in the Federal OSHA National Office..

Citation Policy

e. 1926.1427(e). Consider a citation for violations of specific

requirements of 1926.1427(e) grouped with citations for violations

of 1926.1427(c)(2) and 1926.1427(a) when the operator’s only

certification is a certification issued under an employer audited

program certification that does not meet the requirements of

1926.1427(e). Multiple violations of 1926.1427(e) should be

grouped together with 1926.1427(c)(2) and 1926.1427(a) in one

citation.

6. 1926.1427(f). Evaluation.

Oregon OSHA does not expect the assessment criteria provided in

1926.1427(f) to change significantly when and how Compliance Officers

assess operator competency. Long before the 2010 crane rule became

effective, 1926.20(b)(4) required employers to permit only those

employees qualified by training or experience to operate equipment and

machinery. The 2018 operator qualifications rule provided criteria and

accepted means for evaluating an operator’s experience in operating

cranes.

The main focus of the evaluation requirements are to ensure that the

operator has the knowledge, skills and abilities to operate:

the assigned equipment

for specified assigned tasks

Previously evaluated operators must therefore be re-evaluated when new

knowledge, skills or abilities are required for new tasks or operating

different equipment, configurations, etc.

Documentation- As a new requirement, the 2018 crane rule requires that

employers must document the completion of the evaluation in accordance

with 1926.1427(f)(6) and make the document available at the worksite for

as long as the employer employs the operator. The employer is only

required to document the following information:

1. operator’s name;

2. evaluator’s name and signature;

3. date the evaluation was completed; and

4. make, model, and configuration of the crane(s) that the

operator can safely operate for construction tasks

A Compliance Officer, the operator’s employer, or other interested parties

such as employers on multi-employer worksites can compare this baseline

information for the equipment on which the operator was originally

evaluated to the crane that is being operated to determine whether the

operator has been appropriately evaluated for the current equipment. The

focus should be on whether operation of the different equipment requires

different knowledge, skills, or abilities to recognize and avert risk.

Employers have traditionally been able to communicate this kind of

information to labor unions, rental companies, and subcontractors when

they identify the types of cranes that are needed for a project and to match

the skills and abilities of operators to that particular equipment. The same

make and model of cranes can be configured in many ways and include

varying operating systems. Some makes and models of cranes may be so

similar, even between manufacturers and models, that typically operators

can safely operate them without the need for additional training. In such

cases, employers would not need to document separate evaluations on

each of those equipment. Employers need only document baseline

evaluations and then evaluations for different equipment that requires

increased levels of operator training and/or familiarization. In addition,

employers only need to distinguish and list operational aides and safety

devices on an operator’s evaluation documentation to the extent that they

require operators to acquire differing skills, crane knowledge or familiarity

with the equipment. For examples of safety devices, refer to 29 CFR

1926.1915. For examples of operational aides, refer to 1926.1416. These

are not comprehensive lists of safety devices and operational aides.

Inspection Guidance

a. Refer to inspection guidance provided in this directive for 1927.1427(a)-

(c)

b. When an employer has conducted an operator evaluation, consider all

relevant facts obtained from interviews with the employer and operator to

verify whether all the requirements of 1926.1427(f) were met.

c. Documentation: when the employer has conducted an operator evaluation,

the Compliance Officer should confirm that required documentation

includes, at a minimum, the required information:

1. operator’s name;

2. evaluator’s name and signature;

3. date that the evaluation was completed; and

4. the make, model and configuration of equipment for which that the

operator has demonstrated competency to safely operate.

d. If the evaluation documentation is deficient or unavailable, the

Compliance Officer should determine whether the operator is an operator-

in-training. If yes, refer to Inspection Guidance in this directive for

1926.1427(b). If not, the employer or the evaluator (if available) should be

asked what factors were considered when they determined that the

operator could safely operate the crane to perform the assigned

construction task. The Compliance Officer should document this

information.

e. Operators should be asked to describe the specifics of their evaluation,

operating experience, and how/why they are applicable to the crane

operated and the construction task performed. The Compliance Officer

should document this information.

f. The employer or the evaluator (if available) should be asked to describe

the specifics of their evaluation and why it is applicable to the crane

operated and the construction task performed at the worksite.

g. If the operator is not operating the equipment on which they were

previously evaluated, the Compliance Officer should document the

characteristics of the current crane and tasks. The current tasks should be

compared to the equipment and tasks for which the operator was

previously evaluated, including the size and configuration of the

equipment and any other characteristics considered relevant to the

equipment operated at the worksite. The size and configuration of the

equipment includes, but is not limited to, lifting capacity, boom length,

attachments, luffing jib, and counterweight set-up. Consider differences

between the equipment such as changes to the attachments being used,

significant differences in boom length, or in the location of controls and

their function.

h. Document the task(s) in which the operator is engaged. Note that the

standard does not require employers to document the tasks for which an

operator has been evaluated. Management and employee interviews will

usually be the most effective method of determining whether the operator

possesses sufficient knowledge, skill, and ability to perform certain tasks

(e.g., multiple-lift, blind picks, etc.)

i. For operators employed prior to December 10, 2018, in cases where the

employer has determined that the evaluations are still applicable to the

equipment operated, that employer (or an evaluator) may sign and date

documentation supporting previous successful evaluation(s) in lieu of

conducting a new evaluation. This is an acceptable practice and no

citations will be issued to employers who have evaluated their operators

prior to the rule and documented it appropriately.

j. In some cases, compliance issues may arise regarding the accuracy of an

operator’s evaluation, especially in light of an operator’s violations of

other provisions of the crane rule (e.g., keeping the load clear of workers

and away from power lines, operating on a level surface, etc.). In these

situations, refer to Paragraphs f, g and h of this section for inspection

guidance.

k. The Compliance Officer should discuss any significant concerns regarding

an employer’s evaluation with a supervisor and if necessary, the Statewide

Safety Enforcement manager who may consult with Federal OSHA

Region X and the Directorate of Construction in the Federal OSHA

National Office.

Note: If the employer has not conducted the required evaluation(s) of the

operator that serves as the basis for the operation of particular equipment

for the particular task, then the operator shall be considered an operator-

in-training with respect to that equipment or task. In such cases, the

employer is subject to the requirements of 1926.1427(b) and the operator-

in-training may only operate a crane that is within the operator’s

knowledge and abilities. The employer is not required to document the

knowledge and abilities of the operator-in-training, but any descriptions

obtained from interviews should be documented by the Compliance

Officer.

Citation Policy

l. Consider a citation of 1926.1427(f)(1)(i)-(ii), and (f)(4)-(7) grouped with

citation for a violation of 1926.1427(a), when an operator is operating

assigned equipment, but was not evaluated in accordance with the

paragraphs under 1926.1427(f)(1)(i)-(ii) or (4)-(7). Note the relevant

subparagraph(s) of 1926.1427(f) applicable to the facts on the citation.

The AVD of the citation should describe the facts supporting the violated

provisions of 1926.1427(f). For example, if the employer did conduct an

evaluation but did not properly document the completion of the

evaluation, then cite 1926.1427(f)(6) and describe the deficiency of the

documentation.

m. If the employer evaluated an operator on assigned equipment, but

has not evaluated the operator since changes to the equipment that

would require new skills or knowledge (different software, new

attachments, longer boom length, etc.), cite 1926.1427(f)(1)(i)

grouped with citation for a violation of 1926.1427(a).

n. If the employer evaluated the operator on assigned equipment and

for previous tasks, but not for a new assigned task that requires

additional knowledge or skill level (e.g., a blind lift), cite

1926.1427(f)(1)(ii) grouped with citation for a violation of

1926.1427(a).

7. 1926.1427(h). Language and Literacy.

Accredited organizations can administer tests for certifying crane

operators in languages other than English. However all certifications must

specify the language in which operators originally took them. Certification

Alternatives to citing for improper evaluation

An employer’s evaluation may have been adequate even when an

operator violates other provisions of Subdivision CC. The

violations may be an indication that an operator needs retraining

or the employer may not have effectively communicated and

enforced work rules to ensure compliance with the crane rule.

Consider citations for violations of 1926.1400(f) (work rules) or

1926.1427(c) (training).

testing is specifically intended to confirm that operators in the construction

industry can effectively use required information about the crane,

including load charts and manufacturer instructions typically kept in the

cab of the crane. It is therefore essential that this required information is

immediately available to the operator in the cab, and is in the language for

which the operator has already demonstrated competency during their

certification exam. A Compliance Officer should make this inquiry in

addition to any another violation related to the crane and its operation.

Inspection Guidance

a. Document the language specified on the certificate.

Determine whether the load charts and other written

materials in the cab are in that language.

b. In some cases, the operators may be bilingual to varying

degrees. The extent to which someone can understand

another language well enough to effectively use load

charts, operation manuals, and other required

information may also vary from person to person. Thus

1926.1427(h)(2) mandates that the load charts and

materials in the cab must match the language of the

operator’s certification test.

Citation Policy

c. Consider a citation for a violation of 1926.1427(h)(1)(i)

grouped with 1926.1427(a) when an operator is

operating equipment and a test administered under this

section was administered verbally without evidence the

operator passed a written demonstration of literacy

relevant to the work.

d. Consider a citation for a violation of 1926.1427(h)(1)(ii)

grouped with 1926.1427(a) when an operator is

operating equipment and a test administered under this

section was administered verbally, without evidence that

the operator demonstrated the ability to use the written

manufacturer procedures for the equipment.

e. Consider a citation for 1926.1427(h)(2) when:

▪ a test under this section was administered in a language the

operator did not

▪ the operator’s certification did not note the

language in which the test was given, or

▪ the testing language specified by the operator’s

certification is not the same as that of

information about the crane that is required by

1926.1417(a).

If there are no other concerns about the operator’s ability

to make determinations regarding crane safety, and the

employer did not provide information required by

1926.1417(a) in the language specified by the operator’s

certification but can demonstrate that the operator

understands the materials in the language in which they

are printed, a citation for a violation of 1926.1427(h)(2)

shall be considered as other than serious.

Note that if an operator’s certification lists more than one language, the

employer would be in compliance if the materials in the cab are in any one

of the languages specified on the certification.

Prior to issuing any citations for violations of 1926.1427(h), contact the

Statewide Safety Enforcement manager who may consult with Federal

OSHA Region X and the Directorate of Construction in the Federal OSHA

National Office.

8. 1926.1427(j). Certification Criteria.

This paragraph specifies criteria that a certification testing program must

assess for that certification to meet the requirements of 1926.1427(c).

Accrediting agencies are tasked to verify when organizations meet

industry-recognized criteria for written testing materials, practical

examinations, test administration, grading, facilities/equipment, and

personnel.

Employers acting in good faith will typically meet most requirements of

1926.1427(j) by ensuring that a testing organization that has certified its

operators is accredited; a state’s or local government’s licensing program

has been declared compliant by its government authority; or a certified

auditor has approved an employer’s certification program.

Citation Policy

Do not issue stand-alone citations for violations of 1926.1427(j)

requirements without consulting the Statewide Safety Enforcement

manager who may consult with Federal OSHA Region X and the

Directorate of Construction in the Federal OSHA National Office..

Establishing a violation of that provision will likely require an

examination of the testing procedures of the certification or licensing body

and the reasonableness of the employer’s reliance on the testing by that

entity.

1926.1428. Signal Person Qualifications.

1. 1926.1428(a). Employers must ensure that each signal person meets

the Qualification Requirements in 1926.1428(c) before that person

may give any signals. Employers have two options for meeting this

requirement:

• 1926.1428(a)(1) (Option (1)). The signal person has

documentation from a third-party qualified evaluator

showing that the signal person met the Qualification

Requirements, or

• 1926.1428(a)(2) (Option (2)). The employer’s qualified

evaluator has assessed the signal person and provided

documentation that he or she met the Qualification

Requirements.

Inspection Guidance

A. Ask the employer to see qualification documentation for all signal

persons on site.

B. If the employer produces no documentation, interview the

Qualified Evaluators

Qualified evaluator (third-party) is an entity that, due to its independence and expertise,

has demonstrated that it is competent in accurately assessing whether an individual meets the

qualification requirements for a signal person.

- Oregon OSHA does not evaluate or endorse specific products or programs, and makes no

determination as to whether a certification program meets the definition of a "qualified

evaluator (third-party)."

- Labor-management joint apprenticeship training programs that train and assess signal

persons would typically meet the definition for a third-party qualified evaluator.

Qualified evaluator (not a third-party) is a person employed by the signal person’s

employer who has shown that he/she is competent in assessing whether an individual meets

the qualification requirements for a signal person.

employer and signal person to determine whether documentation

exists.

C. When qualification documentation is produced by the employer,

examine it to verify its authenticity and to determine whether the

documentation is from a third-party qualified evaluator (Option

(1)) or from the employer’s audited evaluator (Option (2)).

D. Under 1926.1428(a)(2), employers are not permitted to rely on a

former employer’s assessment of a signal person’s qualifications.

Verify that a signal person’s documentation does not come from a

former employer.

E. Under 1926.1428(a)(3), the employer must document the signal

person’s qualification/evaluation and make it available at the

worksite. This can include physical documentation, such as a

qualification card, or electronically through use of an on-site

computer or other device. Documentation must specify each type

of signal for which the signal person meets the Qualification

Requirements in 1926.1428(c) (e.g., hand signals, radio signals, or

flag signals).

• Verify that the method/types of signals used during the

operation are consistent with those specified on the signal

person’s qualification documentation.

F. If an audited employer program (Option (2)) was used, review the

program to evaluate whether it covers the Qualification

Requirements of 1926.1428(c). Determine by observation and

interviews if there are indications that signal persons may not have

been properly trained, and interview the employer to determine

how the qualified evaluator’s qualifications were confirmed. If

there is no written program, interview the employer to determine

whether the program ensures that signal persons meet the

Qualification Requirements of 1926.1428(c).

Citation Policy

G. 1926.1428(a). Consider a citation for violation of 1926.1428(a) if:

• The employer does not have qualification documentation

for all signal persons giving signals,

• The employer is relying on a signal person’s qualification

documentation from a former employer,

• The signal person is using types of signals that he or she is

not qualified to use, or

• The employer relies on a qualified evaluator program under

Option (2) that does not satisfy the Qualification

Requirements of 1926.1428(c). If an inadequate employer

qualified evaluator program is the basis for a 1926.1428(a)

citation, the AVD accompanying the citation should list the

specific provisions of 1926.1428(c) that the employer’s

program failed to address.

H. 1926.1428(a)(3). Consider a citation for violation of

1926.1428(a)(3) instead of 1926.1428(a) if:

• No qualification documentation is produced on site by the

employer but a signal person or employer has

documentation off-site showing that the signal person

satisfied Option (1) or Option (2), or

• The documentation does not specify types of signals for

which the signal person meets the Qualification

Requirements.

2. 1926.1428(b). Employers must not allow a signal person who has

documentation that meets the requirements of 1926.1428(a), but whose

actions indicate that he or she does not meet the basic knowledge

requirements under 1926.1428(c), to give signals during operations

until he or she is retrained and reassessed.

Inspection Guidance

A. If there are indications that a signal person does not meet the

requirements in 1926.1428(c), determine by whether the signal

person is qualified and whether he or she has undergone

subsequent assessment.

Citation Policy

B. 1926.1428(b). If the employer is allowing a signal person who has

documentation meeting the requirements of 1926.1428(a), but who

does not meet the Qualification Requirements in 1926.1428(c) to

Evaluator Designated by a City/Local Authority

When an evaluator designated by a City/Local Authority is qualified

to perform an assessment of a signal person’s qualifications,

employers who have their signal persons qualified by that evaluator

would be in compliance with 1926.1428(a). However, section

1926.1428 does not require an employer to use any particular

evaluator (including city or local authority-mandated evaluator) to

assess the qualifications of the employer's signal persons, provided

that the evaluator used is "qualified" within the meaning of the

standard.

continue signaling without retraining and reassessment, consider a

citation for violation of 1926.1428(b). The AVD accompanying the

citation should list the specific provisions of 1926.1428(c) that the

signal person does not meet.

C. 1926.1428(a) and (b). In situations where multiple signal people

are on site, an employer could be cited for violations of both

1926.1428(a) and (b). One scenario that could lead to multiple

citations could be where an employee was hired as a signal person,

and that person had third-party qualification documentation

(Option 1). In addition, the employer also provided a program to

train signal persons (Option 2). If the employer’s program was

inadequate, consider a citation of 1926.1428(a). In addition, if the

employer allowed the signal person with third-party documentation

to give signals without retraining, and the employee’s

qualifications did not satisfy the requirements of 1926.1428(c), a

citation of 1926.1428 (b) could also be considered.

D. 1926.1430(b). Although section 1926.1430(b) establishes a duty

for employers to retrain employees who do not meet the

Qualification Requirements in 1926.1428(c), this requirement

overlaps with the provisions of 1926.1428(b). To maintain

consistency, citations addressing this hazard should generally be

considered for a violation of 1926.1428(b) as opposed to

1926.1430(b). See section on Training, for additional guidance

regarding citations for violations of 1926.1430.

3. 1926.1428(c). Signal person Qualification Requirements.

Inspection Guidance

A. Under 1926.1428(c)(1), signal persons should understand the type

of signals used, and using hand signals, they must know be

familiar with the Standard Method of hand signals. To determine

whether 1926.1428(c)(1) is satisfied, consider the following:

• Determine through observation and interviews if the

operator understands the signals given by the signal person.

• If hand signals are given, look for the hand signal chart

posted in the vicinity (most likely on the crane).

• Where possible, observe the signal person in action to

verify that signals given are consistent with those on the

chart.

B. Under 1926.1428(c)(2), signal persons must be competent in the

application of the type of signals used. To determine whether an

employer is complying with 1926.1428(c)(2), consider the

following:

• Determine through observation and interviews how the

signal method/type was selected for that job (particularly

for non-traditional hand signals).

• Observe the site for obstructions (e.g., visual or audible

interference) that might make the type of signals used

inappropriate for the job.

• Assess whether the operator understands the signals given

by the signal person.

C. Under 1926.1428(c)(3), signal persons must have a basic

understanding of equipment operation and equipment limitations,

including crane dynamics involved in swinging and stopping loads

and boom deflection from hoisting loads.

Assess whether the signal person has a basic understanding of

operations and equipment limitation, including how the crane and

load will move in response to various signals.

D. Under 1926.1428(c)(4), signal persons should understand the

relevant requirements of 1926.1419-.1422 and 1926.1428. See

sections covering 1926.1419-.1422 in this directive for additional

guidance regarding citations for violations signal standards.

A signal person need not understand requirements under

1926.1419-.1422 pertaining to types of signals for which he or she

is not qualified. For example, a signal person who is qualified to

give hand signals is not required to understand the requirements

under 1926.1420 for radio, telephone, or electronic signals.

E. Under 1926.1428(c)(5), signal persons must demonstrate

knowledge of the Qualification Requirements through both a

practical test and an oral or written test. Verify that testing was

administered.

Citation Policy

F. 1926.1428(a) and/or 1926.1428(b). If deficiencies are observed in

the signals given by a signal person, consider a citation under

1926.1428(a) or (b), as appropriate. List the specific 1926.1428(c)

provisions the signal person does not satisfy in the AVD. Section

1926.1428(c) should not be cited.

1926.1429. Qualifications of Maintenance and Repair Employees.

1. 1926.1429(a); Maintenance, inspection, and repair personnel not

meeting the certification requirements of 1926.1427 may operate a

crane or derrick only when the requirements under 1926.1429(a)(1)

and (2) are both met:

1926.1429(a)(1); Operation of the crane/derrick must be limited to the

functions necessary to perform maintenance, inspect the equipment, or

verify its performance.

1926.1429(a)(2); The personnel operating the crane must either

operate the equipment under the direct supervision of an operator who

meets the certification requirements of 1926.1427 (1926.1429(a)(2)(i))

or be familiar with the operations of the equipment

(1926.1429(a)(2)(ii)).

Inspection Guidance

A. Ask personnel whether they are maintenance, inspection, or repair

persons and by observation, interview and review of

documentation determine if the employer is complying with

1926.1429(a)(1) by considering the following:

• The qualifications of personnel conducting inspections,

maintenance, or verification of performance.

• Whether the observed operation of the equipment was

necessary for maintenance, to verify performance, or for

inspection; this includes, but is not limited to, operation of

equipment to access components, diagnose problems, and

check repairs.

B. To decide whether the requirements of 1926.1429(a)(2) are

satisfied, interview the employee, note any observation of

operation of the equipment, and consider the following:

• If the equipment was operated under the supervision of a

qualified/certified operator.

• If the equipment was operated by a maintenance/repair

worker who is familiar with the equipment type, its

characteristics, limitations, and hazards.

Citation Policy

C. 1926.1429(a)(1). If the operation of the crane/derrick exceeded

necessary functions for performing maintenance, inspection, or

performance verification, consider a citation for violation of

1926.1429(a)(1).

D. 1926.1429(a)(2). If personnel operated the crane and were not

familiar with the equipment, consider a citation for violation of

1926.1429(a)(2).

E. 1926.1429(a). If the maintenance, inspection, or repair person

failed to satisfy the requirements of both 1926.1429(a)(1) and (2),

consider a citation for violation of 1926.1429(a). Separate citations

for violation of 1926.1429(a)(1) and (2) should not be issued.

However, the AVD for the citation should set out the grounds for

violation of each provision.

2. 1926.1429(b). Maintenance/repair personnel must be qualified with

respect to both the equipment and the maintenance/repair tasks to be

performed.

Inspection Guidance

A. If maintenance or repairs were completed on the equipment,

determine by observation and interview whether the maintenance

or repair personnel meet the definition of a qualified person.

Factors to consider include, but are not limited to:

• Education and degrees possessed by personnel.

• Amount of experience in this and related jobs.

• Maintenance/repair personnel’s knowledge of the tasks

being performed.

• Knowledge of the equipment and its operation.

Citation Policy

B. 1926.1429(b). If maintenance/repair personnel do not meet the

definition of a qualified person with respect to the equipment or

maintenance/repair tasks, consider a citation for violation of

1926.1429(b).

1926.1430. Training.

Section 1926.1430 applies to all equipment covered under Subdivision CC

except for equipment covered under 1926.1441 (Equipment with a rated

hoisting/lifting capacity of 2,000 pounds or less). Section 1926.1430

includes three types of provisions:

• Training requirements that are identical to, or overlap substantially

with training requirements found in other sections of Subdivision

CC.

• Training requirements not found in other sections of Subdivision

CC.

• General requirements regarding payment for training,

administration of training, and retraining applicable to all training

in Subdivision CC.

Because the steps for evaluating the effectiveness of training requirements

are similar for most kinds of training, the first part of this section,

Inspection Guidance, provides general guidance for collection of

information related to training during a worksite inspection and some

specific guidance for collecting information related to specific training

requirements in 1926.1430. Because many of the training requirements in

1926.1430 overlap with training requirements in other sections of

Subdivision CC, the second part of this section, Citation Policy, provides a

basic hierarchy for determining which training requirement to consider for

citations. Additionally, a chart which summarizes Subdivision CC training

requirements, including 1926.1430 and other sections, provides citation

policy for these requirements.

Inspection Guidance:

A. Determine by interview what activities are taking place on the

worksite to establish which training requirements under

Subdivision CC, and in particular, 1926.1430(a) through (f) must

be met. Refer to the chart in the second part of this section as a

checklist for training requirements which may apply to the

employer.

B. Request and review any written training program materials the

employer may have available.

C. For each training requirement, ask for training records (i.e., written

exams, evaluations, sign-in sheets, curriculums). Note that the

employer is generally not required to maintain written records of

training unless required by a standard.

D. Interview the employer and employees to determine what training

the employer has provided.

• Do employees understand what was conveyed/covered in

the training?

• Do the employees feel that the training is useful? What did

they learn?

• When is training provided? How frequently? How long

does training last?

• When was the employee last trained? What was the training

about?

• Did the training involve operating equipment or performing

activities, or was it verbal training only?

• Is training provided by the employer directly or an outside

vendor?

E. Many of the training requirements in Subdivision CC have an

evaluation component. In addition, 1926.1430(g)(1) requires

employers to evaluate each employee required to be trained under

Subdivision CC to confirm that the employee understands the

training. Interview the employer and employees to determine the

following:

• How does the employer confirm that the employee

understands training information?

• What method or system for evaluating whether employees

understand the instructions has the employer implemented?

Are evaluation records kept?

• The method of evaluating an employee’s training for

effectiveness will vary by subject matter and employee.

Any number of methods could be used to determine if an

employee has understood the training provided. For

example, during assembly/disassembly a certain method of

blocking may be needed. The supervisor trains and

instructs the employee on the proper method. The

supervisor can then ask questions about the task and have

the employee describe the hazards and procedures while

being observed doing the job. Based on how the employee

responds, the assessment has been completed when the

evaluator is confident that the employee understands the

training and can safely do the job.

F. Section 1926.1430(g)(2) provides requirements for refresher

training in relevant topics for employees when, based on the

conduct or evaluation of an employee, there is an indication that

retraining is necessary. Other requirements in Subdivision CC

provide for retraining as well. In addition to the questions

suggested above in paragraphs (d) and (e), observe employees to

note obvious need for retraining. If an employee who is required to

be trained is observed demonstrating a lack of understanding of

safety requirements or hazards related to a particular activity in

which training is required, interview the employer and the

employee:

• Has this employee ever been retrained? Have any

employees been retrained?

• What is the system for determining when retraining is

needed? Are there regular evaluations?

• Does the employee have an understanding of the activity

and what is being done incorrectly?

G. Section 1926.1430(g)(3) states that whenever training is required

under Subdivision CC, it must be provided at no cost to the

employee. Other requirements under Subdivision CC deal with

payment for training as well. To assess compliance with

requirements related to payment for training, interview the

employer and employees to determine whether employees ever had

to pay for training.

• Was that training mandatory?

• If so, what was the subject matter of the training?

H. Section 1926.1430(d) requires the employer to train each

competent and qualified person in the requirements of Subdivision

CC that are applicable to their respective roles. To evaluate

compliance, determine what competent and qualified persons are

required for the work being done. Interview the employer and

competent/qualified persons to see if they received adequate

training and how the employer evaluates the knowledge level of

these employees.

Citation Policy:

Compliance officers should generally follow the following citation

policy hierarchy when deciding what provision or provisions to cite for

deficiencies in the training of employees:

• Consider citations under the most applicable vertical

standard in Subdivision CC.

• If the vertical standard does not cover the training violation,

consider citations for violation of the requirements under

1926.1430.

• If no vertical standard applies and 1926.1430 does not

cover the training violation, consider citations under the

more general 1926.21 (safety training and education).

The following chart summarizes Subdivision CC training

requirements, including 1926.1430 and other sections, and provides

citation policy for these requirements:

Provisions

Training Requirements

1926.1408(g)(1)–(3)

1926.1410(m)

1926.1430(a)

Power line safety: For operations covered by

1926.1408, 1926.1409 and 1926.1410, the

employer must train each operator and crew member

assigned to work with equipment in the topics in

1926.1408(g)(1) through (3). See power lines sections

of this directive for additional guidance regarding

citations for violations of 1926.1408-1410.

The requirement in 1926.1408(g) and 1926.1410(m) is

identical to the requirement in 1926.1430(a).

Citation Policy: Group as follows:

- For operations under 1926.1408 (up to 350 kV),

consider citing 1926.1408(g)(1) through (3);

- For operations under 1926.1409 (more than 350

kV), consider grouping each citation of

1926.1408(g)(1) through (3) with 1926.1409; and

- For operations under 1926.1410 (closer to power

line than the table A zone), consider grouping

each citation of 1926.1408(g)(1) through (3) with

1926.1410(m).

Do not consider citations under 1926.1430(a).

1926.1423(k)

Fall protection: Under 1926.1423(k), the employer

must train each employee who may be exposed to fall

hazards while on or hoisted by Subdivision CC

equipment. Under 1926.1423(k)(1), training must

include all requirements in Subdivision CC addressing

fall protection. Under 1926.1423(k)(2),

training must also cover applicable requirements in

1926.500 and 1926.502. See section covering Fall

Protection in this directive for additional guidance

regarding citations of 1926.1423(k) and OAR 437-003-

1423(6).

Provisions

Training Requirements

1926.1424(a)(2)(i) through

(ii)

1926.1430(e)

Swing radius hazards: Under 1926.1424(a)(2)(i),

employees assigned to work on or near the equipment

(“authorized personnel”) must be trained to recognize

struck-by and pinch/crush hazard areas of rotating

superstructures. Under 1926.1424(a)(2)(ii), if the

employer uses warning signs and high-visibility

markings to protect against swing radius hazards, the

employer must train employees to understand these

markings. See section covering Work Area Control in

this directive for additional guidance on citations for

1926.1424(a)(2)(i) through (ii).

Under 1926.1430(e), the employer must train all

employees on or near equipment to keep clear of holes,

crush/pinch points, and all hazards in 1926.1424.

Citation Policy: Sections 1926.1424(a)(2)(i-ii) and

1926.1430(e) overlap, but are not identical. Consider

citing 1926.1430(e) only if 1926.1424(a)(2)(i) through

(ii) do not cover the specific circumstance, but

1926.1430(e) does, as follows:

- Section 1926.1430(e) requires training for all

employees on or near equipment, but

1926.1424(a)(2) covers only “authorized

personnel.” Consider a citation under

1926.1430(e) for an employee on or near the

equipment that the employer has not “authorized”

to be there.

Section 1926.1430(e) requires training for all hazards

in 1926.1424, not just ones specified in

1926.1424(a)(2)(i) through (ii). Consider a citation

under 1926.1430(e) when an employee is not trained in

a hazard listed under 1926.1424, other than the hazards

in 1926.1424(a)(2)(i) through (ii).

Provisions

Training Requirements

1926.1427(a)

Operator training: The employer must ensure that the

person operating equipment covered by Subdivision CC

is operating the equipment during a training period in

accord with 1926.1427(f), or qualified or certified to

operate the equipment in accordance with

1926.1427(a)(1) through (4).

Note that 1926.1427(a)(2) and 1926.1427(f) do not

apply until November 10, 2017. Until then, operators

must be provided training in accordance with OAR

437-003-0081 or 1926.1427(k) for operators when

1926.1427(a)(1) does not apply. See the Operator

Qualification and Certification section in this directive

for additional guidance on citations under

1926.1427(a).

1926.1427(f)(1)

1926.1427(j)

1926.1430(c)(1)

Operator trainee/apprentice: Section 1926.1427(j)

provides minimum operator qualification and

certification criteria.

Under 1926.1427(f)(1), before operator trainees may

operate equipment, the employer must provide them

training sufficient to operate equipment safely within

the 1926.1427 trainee limitations. The limitations,

including continuous monitoring, allow trainees to

engage in practical learning without having mastered all

areas in 1926.1427(j). While 1926.1427(f)(1) provides

minimum requirements for trainees to begin practicing

on equipment, 1926.1430(c)(1) refers to minimum

operator qualification/certification requirements.

Under 1926.1430(c)(1), operator trainees must receive

training in the areas addressed in 1926.1427(j).

Citation Policy: Consider citing 1926.1430(c)(1)

instead of 1926.1427(j) only if the employee is

currently an operator trainee, not if the employee is an

operator who has already completed a certification

program that did not meet minimum criteria in

1926.1427(j). The AVD should list the areas in

1926.1427(j) not covered.

See the Operator Qualification and Certification

section in this directive for additional guidance

regarding citations for violations of 1926.1427(f)(1)

and (j).

Provisions

Training Requirements

1926.1427(a)(4)

1926.1430(c)(1)

Operator training cost: Under 1926.1427(a)(4),

employers must provide qualification or certification to

operators employed on November 8, 2010 at no cost to

the operators. See the Operator Qualification and

Certification section in this directive for additional

guidance regarding citations of 1926.1427(a)(4).

Under 1926.1430(c)(1), employers must provide

retraining for trainees who do not pass a qualification

or certification test.

Provisions

Training Requirements

1926.1427(k)(2)(ii)

1926.1430(c)(2)

Operator training during phase-in period: Under

1926.1427(k)(2)(ii), during the 1926.1427 phase-in

period, an employee assigned to operate the equipment,

who does not have the knowledge or ability to operate

it safely, must be provided with necessary training

before operating the equipment. The employer must

ensure that the operator is evaluated to confirm that he

or she understands the training. This requirement is

effective November 8, 2010 through November 9,

2017.

Under 1926.1430(c)(2), the employer must train each

operator not yet certified or qualified during the phase-

in period in the areas in 1926.1427(j).

In the preamble to the final rule, Federal OSHA has

described the requirements of 1926.1427(j) as those

which are “fundamental to safe crane operation.”

Therefore, the requirement in 1926.1430(c)(2) to train

operators in the requirements of 1926.1427(j)

significantly overlaps with the requirement of

1926.1427(k)(2)(ii) to ensure that operators are trained

in the knowledge and ability to operate the equipment

safely.

Citation Policy: Do not consider citations under

1926.1430(c)(2), because 1926.1427(k)(2)(ii) covers

the same hazards.

See the Operator Qualification and Certification

section in this directive for additional guidance on

citations of 1926.1427(j) and (k)(2)(ii).

Provisions

Training Requirements

1926.1430(c)(3)

1926.1436(q)

1926.1441(e)

Operators of equipment excepted from 1926.1427:

Equipment covered under 1926.1436 (Derricks),

1926.1440 (Sideboom cranes) and 1926.1441 (2,000-

pound maximum rated capacity) are exempted from the

requirements of 1926.1427.

Under 1926.1436(q), the employer must train each

operator of a derrick on the safe operation of equipment

the individual will operate.

Under 1926.1441(e), the employer must train each

operator of equipment with a rated hoisting/lifting

capacity of 2,000 pounds or less in the safe operation of

the equipment the individual will operate.

Under 1926.1430(c)(3), the employer must train each

operator of equipment excepted from 1926.1427 on the

safe operation of the equipment the individual will

operate. This is the provision used to cite employers

for lack of sideboom crane training.

Citation Policy: Consider a citation under 1926.1436(q)

if the employer did not train an operator of a derrick on

the safe operation of the equipment before the

individual operated the equipment. Do not consider a

citation of 1926.1430(c)(3), because 1926.1436(q) is

the vertical standard, and it prevents the same hazard.

Consider a citation under 1926.1441(e) if the employer

did not train an operator of equipment with a rated

hoisting/lifting capacity of 2,000 pounds or less on the

safe operation of the equipment before the individual

operated the equipment. Do not consider a citation of

1926.1430(c)(3), because equipment under 1926.1441

is exempt from the requirements of 1926.1430.

1926.1430(c)(4)(i)

Operator training—boom hoist brake test: Operators

must be trained to determine if the boom hoist brake

needs to be adjusted or repaired by first raising the

boom a short distance and testing the brake.

Provisions

Training Requirements

1926.1430(c)(4)(ii)

Operator training—emergency procedures (halting

unintended movement): Where available, operators

must be trained on the manufacturer’s emergency

procedures for halting unintended equipment

movement.

1926.1428(b)

1926.1430(b)

Signal person retraining: Under 1926.1428(b), an

employer must provide retraining for a signal person

who does not meet the qualification requirements of

1926.1428(c) before allowing that person to continue

giving signals.

Under 1926.1430(b), an employer must ensure that a

signal person who does not meet the qualification

requirements of 1926.1428(c) is trained in the areas

addressed in 1926.1428(c).

Citation Policy: Consider a citation of 1926.1428(b) if

a signal person has proof of certification under

1926.1428(a), but does not meet the qualification

requirements of 1926.1428(c), and is giving signals.

See the Signal Person Qualifications section in this

directive for additional guidance regarding citations of

1926.1428(a) and (b).

Do not consider citations under 1926.1430(b).

1926.1430(d)

Competent and qualified persons: Competent persons

and qualified persons must be trained in the

requirements of this Subdivision applicable to their

respective roles.

Provisions

Training Requirements

1926.1427(j)(2)(iv)

1926.1430(f)

Tag-out: Under 1926.1427(j)(2)(iv), operator

certification must include application of safe shut-down

and securing procedures. See the Operator

Certification and Qualification section in this directive

for additional guidance regarding citations of

1926.1427(j)(2)(iv).

Under 1926.1430(f), operators and other employees

authorized to start/energize equipment or operate

equipment controls (such as maintenance and repair

workers) must be trained in the tag-out procedures in

1926.1417(f) and (g).

Citation Policy: Do not consider a citation under

1926.1427(j)(2)(iv) unless the operator does not meet

the qualification and certification requirements of

1926.1427(a). If it is before November 10, 2017,

consider citations for an operator who does not meet

the requirements of 1926.1427(j) under 1926.1427(k).

1926.1430(g)(1)

Training administration: The employer must evaluate

each employee who is required to be trained to ensure

that he/she understands the information provided in

training.

1926.1430(g)(2)

Refresher training (general): Refresher training in

relevant topics shall be provided when the employee’s

conduct or an evaluation of the employee’s knowledge

indicates that retraining is necessary.

1926.1430(g)(3)

Payment for training: The employer must provide the

training required by Subdivision CC at no cost to the

employee.

1926.1437(c)(2)(ii)

Swing radius hazards (floating cranes): Where the

employer protects against swing radius hazards on

floating cranes by using warning signs and high-

visibility markings, the employer must train employees

to understand what the markings signify. See section

covering Floating Cranes/Derricks in this directive for

additional guidance regarding citations of

1926.1437(c)(2)(ii).

1926.1431. Hoisting Personnel.

1. 1926.1431(a). General Personnel Hoisting Requirements.

This section specifies supplemental requirements that are applicable to

Subdivision CC equipment when used to hoist one or more employees.

The hoisting of personnel is prohibited except when the employer

demonstrates that the erection, use, and dismantling of conventional

means of reaching the work area, such as a personnel hoist, ladder,

stairway, aerial lift, elevating work platform, or scaffold, would be

more hazardous, or is not feasible because of the project’s structural

design or worksite conditions. Exception: This paragraph does not

apply to work covered by Subdivision R (steel erection) of this

Division. The requirements for hoisting personnel to perform steel

erection are found in 1926.753.

Inspection Guidance

A. Through observation of personnel hoisting activity and interviews,

verify:

• The type of hoisting equipment (i.e., personnel platform,

Infeasibility

The threshold for infeasibility has not changed from similar

requirements in the old crane standard, of Subdivision N of 1926.

boatswain’s chair, marine-hoisted personnel transfer

device, etc.) used to hoist personnel.

• The construction activity for which the personnel are being

hoisted to support (i.e., drilling, pile driving, marine

personnel transfer, chimney work, tank construction, work

in a shaft, etc.).

• That power distribution and transmission work is being

done when personnel are hoisted by a crane/derrick closer

than 50 feet of a power line over 350 kV, or 20 feet if the

line is 350 kV or less.

• That the equipment was uniformly level and the surface

beneath the equipment was firm and stable.

• That all required safety devices and operational aids are on

the equipment and working properly.

• That a qualified person made determinations regarding the

ground support beneath the crane/derrick and the safety of

the operation in bad weather, and designed the hoisting

equipment (i.e., personnel platform, boatswain’s chair,

marine-hoisted personnel transfer device, etc.) and its

attachments.

• That a competent person: conducted the duties required for

a trial lift, proof testing, and inspection.

• That pre-lift meetings were conducted and attended by the

operator, signal person, employees to be hoisted, and the

person responsible for the task to be performed.

• The type of fall protection used by personnel when hoisted

by the crane/derrick.

• The conditions of the worksite, such as the project’s

proximity to power lines and heavily traveled roads and

sidewalks that could limit where access equipment and

personnel hoists (1926.552) could be used.

• The use of personnel hoists and access equipment (other

than cranes) and where this equipment is being used.

B. Ask the employer to describe why it is not feasible for employees

to use other equipment, such as aerial lifts, stairways, ladders,

scaffolds, or personnel hoists, to access work positions. Document

this rationale.

Citation Policy

C. 1926.1431(a) through (n). Unless specified otherwise under this

Citation Policy section, when requirements of 1926.1431(a)

through (m) have not been met, consider citations of the specific

requirements. If the citation is for some requirement for the

operator, signal person, or other employee, group each with

1926.1400(f).

D. 1926.1431(d)(5). If personnel hoisting operations began but:

• The required devices were not used, consider citations of

specific requirements of 1926.1431(d)(5); or

• The required devices were not working properly when the

crane/derrick was operated, consider citations of

1926.1431(d)(5)(vii); group this citation with 1926.1400(f).

2. Provisions that are Specific to Personnel Hoisting in Drill Shafts.

Inspection Guidance

A. Using the inspection guidance provided above for general

requirements of this section, and through interviews and

observation of the hoisting activity, verify that employees have

been hoisted by crane/derrick in or out of drill shafts.

Citation Policy

B. 1926.1431(o). Unless specified otherwise under this Citation

Policy section, when requirements of 1926.1431(o) have not be

met, consider citations of the specific requirements.

C. 1926.1431(o)(2). Section 1926.1431(o)(2) would not be cited when

the employer did not meet all requirements of 1926.1431(a)

through (n) for the use of a crane/derrick to hoist personnel in a

drill shaft using a personnel platform. Section 1926.1431(o)(2) is

only informational and clarifies what supplemental hoisting

requirements of 1926.1431 are applicable to drill shaft work when

a personnel platform is used. For violations of provisions

referenced by 1926.1431(o)(2), consider citations of specific

requirements of 1926.1431(a) through (n).

D. 1926.1431(o)(3)(i). Section 1926.1431(o)(3)(i) would not be cited

when the employer did not meet all requirements it references for

the use of a crane/derrick to hoist personnel in a drill shaft using a

boatswain’s chair. Section 1926.1431(o)(3)(i) is only informational

and clarifies what supplemental hoisting requirements of

1926.1431 are applicable to drill shaft work when a boatswain’s

chair is used.

For violations of provisions referenced by 1926.1431(o)(3)(i),

consider citations of specific requirements of the referenced

provisions. The term “boatswain’s chair” must be used in the AVD

in place of “personnel platform” anywhere it appears in the

regulatory text of the provisions violated.

3. 1926.1431 (p). Provisions that are Specific to Personnel Hoisting for

Pile Driving Operations.

Inspection Guidance

A. Using the Inspection Guidance provided above for general

requirements of this section, and through interviews and

observation of the hoisting activity, verify that employees have

been hoisted by crane/derrick during the performance of pile-

driving work.

Citation Policy

B. 1926.1431(p). Unless specified otherwise under this Citation

Policy section, when requirements of 1926.1431(p) have not be

met, consider citations for violations of the specific requirements.

C. 1926.1431(p)(3). Section 1926.1431(p)(3) would not be cited when

the employer did not meet all requirements of 1926.1431(b)

through (n) for the use of a crane/derrick to hoist personnel when

performing pile driving work using a personnel platform. Section

1926.1431(p)(3) is only informational and clarifies what

supplemental hoisting requirements of 1926.1431 are applicable to

pile-driving work when a personnel platform is used. For

violations of provisions referenced by 1926.1431(p)(3), consider

citations for violations of specific requirements of 1926.1431(b)

through (n).

D. 1926.1431(p)(4)(i). Section 1926.1431(p)(4)(i) would not be cited

when the employer did not meet all requirements it references for

the use of a crane/derrick to hoist personnel during the

performance of pile driving work using a boatswain’s chair.

Section 1926.1431(p)(4)(i) is only informational and clarifies what

supplemental hoisting requirements of 1926.1431 are applicable to

pile-driving work when a boatswain’s chair is used.

For violations of provisions referenced by 1926.1431(p)(4)(i),

consider citations for violations of specific requirements of the

referenced provisions. The term “boatswain’s chair” must be used

in the AVD in place of “personnel platform” anywhere it appears

in the regulatory text of the provisions violated.

4. 1926.1431(r). Provisions that are Specific to Hoisting Personnel for

Marine Transfer.

Inspection Guidance

A. Using the Inspection Guidance provided above for general

requirements of this section, and through interviews and

observation of the hoisting activity, verify that employees have

been hoisted by crane/derrick during marine transfer.

Citation Policy

B. 1926.1431(r). Unless specified otherwise under this Citation

Policy section, when requirements of 1926.1431(r) have not been

met, consider citations of the specific requirements.

C. 1926.1431(r)(2). Section 1926.1431(r)(2) would not be cited when

the employer did not meet all requirements of 1926.1431(a)

through (n) for the use of a crane/derrick to hoist personnel for

marine transfer using a personnel platform. Section

1926.1431(r)(2) is only informational and clarifies what

supplemental hoisting requirements of 1926.1431 are applicable to

marine transfer when a personnel platform is used. For violations

of provisions referenced by 1926.1431(r)(2), consider citations of

specific requirements of 1926.1431(a) through (n).

D. 1926.1431(r)(3)(i). Section 1926.1431(r)(3)(i) would not be cited

when the employer did not meet all requirements it references for

the use of a crane/derrick to hoist personnel during marine transfer

using a marine-hoisted personnel transfer device. Section

1926.1431(r)(3)(i) is only informational and clarifies what

supplemental hoisting requirements of 1926.1431 are applicable to

marine transfer when a marine-hoisted personnel transfer device is

used.

For violations of provisions referenced by 1926.1431(r)(3)(i),

consider citations of specific requirements of the referenced

provisions. The term “marine-hoisted personnel transfer device”

must be used in the AVD in place of “personnel platform”

anywhere it appears in the regulatory text of the provisions

violated.

5. 1926.1431(s). Provisions that are Specific to Hoisting Personnel for

Storage-Tank, Shaft, and Chimney Work.

Inspection Guidance

Determine Oregon OSHA jurisdiction when marine transfer of

personnel is observed.

Marine transfer is the transferring of personnel to and from

marine construction sites. [75 FR 48044]

A. Using the Inspection Guidance provided above for general

requirements of this section, and through interviews and

observation of the hoisting activity, verify that employees have

been hoisted by crane/derrick during the performance of storage-

tank, shaft, and chimney work.

B. Ask the employer to describe why it believes it is not feasible to

use a personnel platform when employees must be hoisted or

lowered by a crane/derrick to access work positions and whether it

considered alternate protective measures. Document this rationale.

Citation Policy

C. 1926.1431(s). Unless specified otherwise under this Citation

Policy section, when requirements of 1926.1431(s) have not be

met, consider citations of the specific requirements.

D. 1926.1431(s)(2). Section 1926.1431(s)(2) must not be cited when

the employer did not meet all requirements of 1926.1431(a)

through (n) for the use of a crane/derrick to hoist personnel for

marine transfer using a personnel platform. Section

1926.1431(s)(2) is only informational and clarifies what

supplemental hoisting requirements of 1926.1431 are applicable to

storage tank, chimney, and shaft work when a personnel platform

is used. For violations of provisions referenced by

1926.1431(s)(2), consider citations of specific requirements of

1926.1431(a) through (n).

E. 1926.1431(s)(3)(i). Section 1926.1431(s)(3)(i) would not be cited

when the employer did not meet all requirements it references for

the use of a crane/derrick to hoist personnel during the

performance of shaft, chimney, and storage tank work using a

boatswain’s chair. Section 1926.1431(s)(3)(i) is only informational

and clarifies what supplemental hoisting requirements of

1926.1431 are applicable to shaft, chimney, and storage tank work

when a boatswain’s chair is used.

For violations of provisions referenced by 1926.1431(s)(3)(i),

consider citations of specific requirements of the referenced

provisions. The term “boatswain’s chair” must be used in the AVD

in place of “personnel platform” anywhere it appears in the

regulatory text of the provisions violated.

1926.1432. Multiple Crane/Derrick Lifts—Supplemental Requirements.

This section describes the requirements for development and

implementation of a plan when more than one crane/derrick supports the

load. The most important aspect of this section is to ensure that qualified

persons make determinations regarding the capacity and safe use of the

equipment and that the work practices and employee protections are

effectively communicated to the employees involved in the hoisting job.

1. 1926.1432(a). Plan Development.

When more than one crane or derrick will support the load, employers

must plan the operation in accord with the following criteria:

• 1926.1432(a)(1). A qualified person must develop the plan.

• 1926.1432(a)(2). The plan design must ensure that the

requirements of Subdivision CC are met.

• 1926.1432(a)(3). The employer must ensure that engineering

expertise is provided when the qualified person determines that

it is needed for planning the lift.

Inspection Guidance

A. When a load is observed being hoisted by more than one crane,

determine whether the employer has developed a plan meeting the

requirements of 1926.1432(a)(1-3).

B. The multiple-crane lift plan does not have to be in writing. If the

plan is in writing, examine the plan. If not, interview the employer

and lift director to determine what the plan was and whether the

requirements in 1926.1432(a)(1-3) are met.

C. Confirm that a qualified person developed the lift plan. If possible,

interview the qualified person to assess their qualifications.

D. Through review of the written or described multi-crane lift plan,

confirm that the plan was designed to meet the requirements of

Subdivision CC. For example, consider whether the plan addresses

hazards such as:

• Ground conditions.

• Proximity to power lines.

• Hazardous weather conditions.

• Rigging (any custom rigging).

• Work area control.

• Worksite communication.

E. Through interviews, determine if there were problems with the lift

plan and if the qualified person requested engineering expertise

from the employer.

Citation Policy

F. 1926.1432(a). Consider a citation for violation of 1926.1432(a) if

more than one crane/derrick is supporting the load and the

employer has no plan for a multiple-crane lift.

G. 1926.1432(a)(1). Consider a citation of 1926.1432(a)(1) if a

qualified person did not develop the plan.

H. 1926.1432(a)(2). Consider a citation of 1926.1432(a)(2) if the

employer’s plan did not address part of Subdivision CC related to

multiple crane lifts, such as but not exclusively:

• Ground conditions, 1926.1402

• Power line safety, 1926.1407 to 1926.1411

• Signal requirements, 1926.1419 to 1926.1422

• Work area control, 1926.1424

• Keeping clear of the load, 1926.1425

• Free fall and controlled load lowering, 1926.1426

The above list contains some requirements of the standard that

could be implicated by a multiple crane lift operation. When the

crane engaged in a multiple lift violated some part of Subdivision

CC, and the lift plan was not designed to prevent the violation,

consider a citation for 1926.1432(a)(2) grouped with each

applicable requirement of Subdivision CC violated.

I. 1926.1432(a)(3). Consider a citation of 1926.1432(a)(3) if the

qualified person determined that engineering expertise was

required to develop the plan, but the employer did not provide it.

2. 1926.1432(b). Plan Implementation.

The lift must be directed by a person (lift director) who satisfies the

requirements of a competent and qualified person or by a competent

person assisted by one or more qualified persons. The lift director must

review the plan in a meeting with all workers who are involved with

the lift before the lift takes place. The meeting must include employees

of other companies involved with the lift operation.

Inspection Guidance

A. Interview the lift director, if the employer has one, and other

employees involved in the lift to verify that that a person or

persons meeting the requirements of 1926.1432(b)(1) directed the

lift. If there are indications that the performance of a multiple-

crane lift is unsafe, evaluate whether the lift director was a

qualified person. Obtain information about the level of experience,

knowledge, training and authority of the lift director and gauge the

applicability of this knowledge and experience to the hoisting job

being performed. Interviews may cover subjects such as:

• A description of the multi-crane lift plan.

• How the load was calculated.

• What ground conditions were addressed and how they were

addressed.

• Who selected and did the rigging.

• Any determinations made about hazards identified and how

the lift director addressed these hazards.

• The lift director’s prior experience with similar lifts.

• The individuals designated to perform required inspections.

B. Interview the lift director, employer, and employees to determine

whether a meeting with all workers involved with the lift took

place, and whether employees were apprised of the plan during the

meeting. If the lift director modified the plan, did he or she hold

another meeting to present the modified plan.

Citation Policy

C. 1926.1432(b)(1). If the person or persons who directed the lift do

not meet the requirements of this standard, consider a citation for

1926.1432(b)(1). Specify in the AVD what deficiencies in the lift

director’s or directors’ qualifications were present (e.g., that the lift

director was qualified, but not competent). Also consider citing

this standard if no one was assigned to direct the lift.

D. 1926.1432(b)(2). If there was no pre-lift meeting or if the meeting

did not cover the multiple crane/derrick lift plan, consider a

citation of 1926.1432(b)(2). Group this citation with 1926.1400(f).

1926.1433. Design, Construction, and Testing.

Section 1926.1433 applies to equipment with manufacturer-rated

hoisting/lifting capacity of more than 2,000 pounds.

1. 1926.1433(a) through (c), 1926.1433(d)(7) through (d)(13), and

1926.1433(e).

Sections 1926.1433(a) through (b) incorporate by reference minimum

requirements for design, construction, and testing of mobile and

locomotive cranes. Section 1926.1433(a) applies to equipment

manufactured before November 8, 2010; 1926.1433(b) applies to

equipment manufactured on or after that date.

Section 1926.1433(c) provides requirements for the prototype testing

of mobile, locomotive, and tower cranes manufactured on or after

November 8, 2010. Prototype testing is the functional and safety

testing which takes place, most often at the place of manufacture or

specialized laboratories, of a model of a particular piece of equipment

before it is manufactured, mass produced, and/or allowed to enter the

marketplace.

Sections 1926.1433(d)(7)-(d)(13) provide additional requirements for

the design and construction of all equipment covered by 1926.1433.

Section 1926.1433(e) provides a “safe harbor” for employers who can

show manufacturer documentation indicating that the equipment is in

compliance with 1926.1433(a) through (c) and 1926.1433(d)(7)

through (d)(13). This provision does not apply if the equipment is

modified, unless said modifications are in compliance with 1926.1434

(Equipment Modifications).

Inspection Guidance

A. Inspect the equipment and interview the employer and operator to

determine whether the equipment is manufacturer-designed and

built, employer-modified, or employer-built. If the employer

modified the equipment, ensure compliance with the requirements

of 1926.1434.

B. If a manufacturer designed and constructed the equipment, the

employer does not need to independently determine whether its

equipment meets the requirements of 1926.1433(a)-(c) and

1926.1433(d)(7)-(d)(13). The employer can rely on documentation

from the manufacturer, provided such documentation exists. The

employer is not required to maintain copies of the manufacturer’s

documentation on site.

C. If there are concerns that manufactured equipment does not

comply with 1926.1433(a)-(c) or 1926.1433(d)(7)-(d)(13), contact

the equipment manufacturer to obtain the manufacturer’s

documentation.

Citation Policy:

D. 1926.1433(a) through (c) and 1926.1433(d)(7) through (d)(13). If

the equipment is employer-made or otherwise altered in violation

of 1926.1434, or if the employer is unable to refer to

documentation from the equipment manufacturer, consider

citations for violations of the relevant provisions of 1926.1433(a)

through (c) and 1926.1433(d)(7) through (d)(13). Do not consider

citations under 1926.1433(e). When appropriate, citations for

violations of 1926.1434 may be grouped with each citation under

this section.

If the manufacturer’s documentation reveals that the equipment

does not meet these requirements, advise the employer that it must

either bring the equipment into compliance or stop using it. The

employer may be subject to future citations under 1926.1433(a)-(c)

or 1926.1433(d)(7) through (d)(13) once this notice is provided.

Similarly, if the employer is otherwise on notice that manufactured

equipment is out of compliance with requirements under

1926.1433(a) through (c) and 1926.1433(d)(7) through (d)(13), for

example, if OSHA publishes a statement about a particular piece of

equipment that generally does not comply with 1926.1433(a)

through (c) and 1926.1433(d)(7) through (d)(13), or if the

employer’s RPE has given the employer notice that the equipment

is out of compliance with 1926.1433(a) through (c) and

1926.1433(d)(7) through (d)(13), the employer may be subject to

citations under these provisions.

E. 1926.1433(e). This is not a citable requirement. Under

1926.1433(e), if the employer has not changed the equipment

(except in accord with 1926.1434 (Equipment modifications)) and

the employer can refer to manufacturer documentation

demonstrating that the equipment meets the requirements of these

sections, then it satisfies its obligations under 1926.1433(a)

through (c) and 1926.1433(d)(7) through (d)(13). See the

Equipment Modifications section in this directive for additional

guidance regarding citations of 1926.1434.

Note: Oregon OSHA anticipates that in most cases, the manufacturer

will provide documentation consistent with the requirements of this

section. Noncompliance with 1926.1433(a) through (c) and

1926.1433(d)(7) through (d)(13) is thus most likely where the

equipment is designed or built by the employer or another non-

manufacturer entity.

2. 1926.1433(d)(1) through (d)(6). Sections 1926.1433(d)(1) through

(d)(6) contain requirements that apply to all equipment covered by

Subdivision CC with a manufacturer-rated hoisting/lifting capacity of

more than 2,000 pounds.

Inspection Guidance

A. Inspect the equipment and interview the employer and operator to

confirm compliance with 1926.1433(d)(1) through (d)(6). The

requirements under 1926.1433(d)(1) through (d)(6) may be used as

a checklist.

B. Ask the operator or other personnel to see the rated capacity and

related information that must be available in the cab under

1926.1433(d)(1). Review the information for the minimum

required information listed in 1926.1433(d)(1)(i) through (xvi).

C. Inspect the equipment and interview the employer and operator to

confirm that load hooks, ball assemblies and load blocks meet the

requirements of 1926.1433(d)(2) through (d)(3).

D. Ensure that all hooks are equipped with latches meeting the design

requirements of 1926.1433(d)(4)(iii), unless (A) a qualified person

determined that it was safer to hoist and place the load without

latches or with the latches removed/tied back; and (B) the route for

the load was pre-planned to ensure that no employee (except

employees necessary for hooking or unhooking the load) was in

the fall zone.

E. If latches are not used, interview the employer and operator to

identify the person who made safety determinations under

1926.1433(d)(4)(ii)(A), and verify that the person was qualified.

Observe the operation of the equipment to determine whether non-

essential personnel were in the fall zone in violation of

1926.1433(d)(4)(ii)(B).

F. Confirm that all posted warnings are maintained in a legible

condition consistent with 1926.1433(d)(5).

G. Ask the operator or other personnel to see the fire extinguisher and

verify that it is located on the equipment in accord with

1926.1433(d)(6).

Citation Policy

H. 1926.1433(d)(1) through (6). If the employer has not satisfied one

of the requirements listed in 1926.1433(d)(1) through (d)(6),

consider a citation for violation of that provision. The citation

should reference the most specific applicable provisions. If the

employer violates multiple requirements listed in 1926.1433(d)(1)

through (d)(6), consider separate citations for each violation.

Citations may be grouped for penalty purposes.

1926.1434. Equipment Modifications.

1. 1926.1434(a). Manufacturer’s Approval of the Modification

Proposal.

Section 1926.1434(a) provides that modifications or additions that

affect the capacity or safe operation of the equipment are prohibited

except where one of the five options listed in 1926.1434(a)(1) through

(5) is met.

Modifications/additions must be approved by the manufacturer; or, if a

manufacturer is unavailable or unwilling to provide approval, an

employer may obtain approval from a registered professional engineer

(RPE) who is a qualified person with respect to equipment.

This section uses the term modification/addition to clarify that an

addition to the equipment is a type of modification. For example, the

addition of a generator to the back of the cab of a crane may be an

addition that affects the capacity or safe operation of the equipment

because it alters backward stability.

1926.1434(a)(1) permits modification/additions affecting the capacity

or safe operation of the equipment with manufacturer review and

written approval. Load charts, procedures, manuals and

plates/tags/decals must all be updated to reflect the modification.

1926.1434(a)(2) through (4) provides three situations in which the

employer can make modifications/additions affecting the capacity or

safe operation of the equipment without manufacturer review and

written approval. These situations are: the manufacturer refuses to

review the request, the manufacturer is unavailable, or the employer

requests review, but the manufacturer does not complete it within 120

days.

1926.1434(a)(5) permits modifications without manufacturer review

and written approval and without the employer attempting to obtain

approval, if the equipment is used for marine work sites and contains

major structural components from more than one manufacturer.

Inspection Guidance

A. Determine by observation and interview whether modifications or

additions affecting the capacity or safe operation of the equipment

have been made.

B. If any modifications or additions have been made, ask the

employer if it has obtained written approval from the

manufacturer. Ask to see any written approval to ensure that it

conforms to the modifications or additions made.

C. If the employer does not have written approval from the

manufacturer, ask whether the employer requested manufacturer

approval and whether any of the situations in 1926.1434(a)(2)

through (4) applied. The employer must have provided a detailed

description of the proposed modification to the manufacturer and

asked the manufacturer to approve the particular

modification/addition.

• Ask the employer for copies of written requests for

approval sent to the manufacturer.

• Ask the employer what response it received after requesting

manufacturer approval. Review any documentation that the

employer received from the manufacturer.

• Did the manufacturer refuse the request to review approval,

and if so, why?

• Was the manufacturer unavailable? Is the manufacturer out

of business? Has no successor company has taken over?

• When did the employer send the request to review to the

manufacturer? Did the manufacturer respond within 30

days to acknowledge the request or initiate the review?

• Did the manufacturer agree to review the request? If so,

when? Have 120 or more days elapsed since the

manufacturer agreed? Does the employer have

documentation to show that the manufacturer agreed to

review the request?

• Is the equipment designed for use on marine work sites

(construction worksites located in, on or above the water),

with major structural components from more than one

manufacturer?

D. If the employer obtained written approval from the manufacturer,

or if one of the circumstances in 1926.1434(a)(2) through (5)

exempts the employer from obtaining manufacturer approval,

inspect load charts, procedures, manuals and plates/tags/decals for

updates that reflect changes as a result of the modification/addition

and confirm that the safety factor of equipment was not reduced.

E. If the employer did not obtain written approval from the

manufacturer, but one of the circumstances in 1926.1434(a)(2)

through (5) applies, the employer must satisfy the requirements of

1926.1434(a)(2)(i) through (ii). This section allows an employer to

make modifications or additions that do not reduce the original

safety factor of the equipment by using a qualified RPE. The RPE

must also update load charts, procedures, manuals and

plates/tags/decals to reflect the modification.

• If modifications were made without manufacturer approval,

ask to see the written approval from the RPE for those

modifications. Sections 1926.1434(a)(2)(i) through (ii) do

not expressly require the RPE approval to be in writing, but

the RPE must formally approve the change and specify the

equipment configurations.

• Interview the employer to determine the RPE’s experience,

qualifications, and familiarity with the type of equipment

and modification. The RPE must be a qualified person with

respect to the equipment involved. This means that the RPE

must have specialized knowledge beyond that of a general

RPE to assess the particular modified equipment.

• Review the modification documentation and interview the

employer/operator to ensure that the modification

conformed to the RPE’s approval. An example of an

approval that satisfies this requirement would be: “This is

an approval to add an additional boom section of the above-

described design for a brand K lattice boom crane, model 1.

This approval applies only when the crane is configured

without a jib.”

Citation Policy

F. 1926.1434(a). If the employer has not obtained the manufacturer’s

written approval under 1926.1434(a)(1) and none of the

circumstances under 1926.1434(a)(2) through (5) applies, consider

a citation of 1926.1434(a).

G. 1926.1434(a)(1) through (5). If an employer has obtained the

manufacturer’s written approval under 1926.1434(a)(1) or an

exception under 1926.1434(a)(2) through (5) applies, but the

employer failed to meet one of the specific requirements under this

section, consider a citation for violation of the most specific

applicable provision. For example, if the employer obtained

written approval from the manufacturer, but the safety factor of the

equipment was reduced, consider a citation for violation of

1926.1434(a)(1)(iii). Likewise, if the employer requested

manufacturer approval, but the manufacturer refused to review the

request and the RPE who reviewed the modification was not

qualified, consider a citation of 1926.1434(a)(2)(i).

H. When considering citations under 1926.1434(a)(3) through (5), if

the employer failed to meet one of the specific requirements from

1926.1434(a)(2)(i) through (ii) that are incorporated by reference

into those standards, the citation should group the applicable

provision under 1926.1434(a)(3) through (5) that incorporates

1926.1434(a)(2)(i) through (ii) with the specific provision in

1926.1434(a)(2)(i) through (ii) that was not satisfied. For example,

if the employer has equipment that meets the requirements of

1926.1434(a)(3) because the manufacturer was unavailable, but the

RPE was not qualified, consider a citation of 1926.1434(a)(3)

grouped with 1926.1434(a)(2)(i).

2. 1926.1434(b). Manufacturer’s Rejection of the Proposed

Modification.

If the manufacturer rejects the proposed modifications and provides

reasons for the rejection in writing, the employer may not make

modifications or additions to the equipment.

Inspection Guidance

A. Determine by observation and interview whether modifications or

additions affecting the capacity or safe operation of the equipment

have been made.

B. If any modifications or additions have been made, ask the

employer if it obtained written approval from the manufacturer.

C. If the employer does not have written approval from the

manufacturer, interview the employer to determine whether the

employer requested manufacturer approval and whether the

employer received a response.

D. If the employer received a written response from the manufacturer

rejecting the proposed modification, interview the employer to

determine why the employer proceeded with the modification. Ask

to review the manufacturer’s response and read it to determine

whether it contains reasons for the rejection.

E. If the manufacturer rejects the proposed modifications, but does

not do so in writing, or does not explain the rejection in writing,

the employer should follow 1926.1434(a)(2). Refer to guidance for

enforcement of 1926.1434(a)(2), above.

Citation Policy

F. 1926.1434(a)(2)(i) through (ii). Consider a citation for violation of

1926.1434(a)(2)(i) through (ii) if the manufacturer rejects the

proposal for modification without explaining the rejection in

writing and the modification failed to meet one or more of the

requirements listed in 1926.1434(a)(2)(i) through (ii). For example,

if the manufacturer rejects proposed modifications in writing

without explaining the rejection and the RPE required under

1926.1434(a)(2)(i) is not qualified, but the employer proceeds with

the modification, consider a citation of 1926.1434(a)(2)(i).

Do not group the citation with 1926.1434(b) because the employer

has satisfied the requirements in 1926.1434(b), and the

manufacturer’s inadequate rejection notice is the equivalent of a

refusal to review the request in 1926.1434(a)(2).

G. 1926.1434(b). Consider a citation of 1926.1434(b) if the employer

modifies/adds to equipment after the manufacturer has rejected the

proposed modification/addition in writing and explained the

rejection.

1926.1435—Tower Cranes—Supplemental Requirements.

1. 1926.1435(a). Section 1926.1435 addresses the supplemental

requirements for tower cranes, as they are defined in 1926.1401. All

sections in Subdivision CC apply to tower cranes unless stated

otherwise.

Citation Policy

A. 1926.1435(a). This provision should not be cited because it is only

informational.

2. 1926.1435(b)(1). Assembly/Disassembly Process.

Sections 1926.1403 (Assembly/Disassembly—selection of

manufacturer or employer procedures), 1926.1404

(Assembly/Disassembly—general requirements (applies to all

assembly and disassembly operations)), 1926.1405 (Disassembly—

additional requirements for dismantling of booms and jibs (applies to

both the use of manufacturer procedures and employer procedures)

and 1926.1406.

Tower Crane: a type of lifting structure which utilizes a vertical

mast or tower to support a working boom (jib) in an elevated

position. Loads are suspended from the working boom. While the

working boom may be of the fixed type (horizontal or angled) or

have luffing capacity, it can always rotate to swing loads, either by

rotating on the top of the tower (top slewing) or by rotation of the

tower (bottom slewing). The tower base may be fixed in one

location or ballasted and moveable between locations. Mobile

cranes that are configured with luffing jib and/or tower attachments

are not considered tower cranes under this section.

Inspection Guidance

A. Inspect the rigging used for erecting and dismantling. Conduct this

inspection even if no erecting or dismantling is underway.

B. Verify if the manufacturer’s procedures call for specific rigging

fixtures for hoisting the sections.

• Are the fixtures in proper condition?

• If rigging does not match the manufacturer’s procedures,

are there employer procedures for the gear used?

Citation Policy:

C. 1926.1435(b)(1) and 1926.1403-.1406. When considering a

citation for violation of a requirement listed under 1926.1403

through 1926.1406, cite to the provision or provisions within those

standards containing the most specific applicable requirements.

Because 1926.1435(b)(1) amends 1926.1403-.1406 to address

hazards specific to cranes, each citation under 1926.1403-.1406

involving tower cranes should be grouped with 1926.1435(b)(1).

Assembly/disassembly (A/D): the assembly and/or disassembly of

equipment covered under this standard. With regard to tower

cranes, “erecting and climbing” replaces “assembly” and

“dismantling” replaces “disassembly.” Regardless of whether the

crane is initially erected to its full height or is climbed or jumped in

stages, the process of increasing the height of the crane is an

erection process.

All assembly and disassembly operations must comply with either

the procedures specified by the manufacturer or procedures

developed by the employer that meet the criteria listed in § 1406.

Under either alternative, they must comply with all manufacturer

prohibitions.

Climbing and/or jumping qualify as assembly.

Climbing or Jumping: these two terms, which have the same

meaning, refer to the process in which a tower crane is raised to a

new working height. In many cases, a tower crane is first erected

and used at one height, and then as the height of the structure being

built increases, the height of the tower crane is increased in stages

to keep pace with it, either by adding additional tower sections to

the top of the crane (top climbing), or by a system in which the

entire crane is raised inside the structure (inside climbing). (The

term “jumping” is also used in reference to derricks, but it has a

different meaning.)

3. 1926.1435(b)(2). Dangerous Areas for Self-erecting Tower Cranes:

During erection, climbing and dismantling, no one is permitted to be in

or under the tower, jib or rotating portion of the crane until a

competent person indicates it is safe and the crane is secured in a

locked position unless (1) the manufacturer’s instructions direct them

to be there, and (2) the personnel under the tower, jib or rotating

portions of the crane are necessary personnel.

Other personnel may enter the area in or under the tower, jib or

rotating portion of the crane only after the competent person in charge

indicates it is safe and the crane is secured in a locked position.

Inspection Guidance

A. If the crane is being erected, climbed or dismantled, determine by

observation and interview whether personnel are or were in the

area in or under the tower, jib or rotating portion of the crane, and

if so, how many personnel were in that area.

B. If personnel are or were in this area during erection, climbing or

dismantling, interview the employer or operator to determine

whether this was after the competent person in charge indicated

that it was safe, and after the crane was secured in a locked

position.

• Ask the operator or employer who the competent person

was, and, if possible, interview that person to verify that

person is competent. Ask the competent person how he or

she knew that it was safe to enter these areas.

• Verify by observation and interview that the crane is

secured in a locked position.

C. If the crane was not secure or a competent person did not indicate

it was safe to be in or under the tower, jib or rotating portion of the

crane:

• Review the manufacturer’s instructions to determine

whether erection, climbing or dismantling had tasks that

required employees to be in this area of the crane.

• Determine by interview of the employer, operator,

competent person and/or other employees what each person

under the tower, jib or rotating portion of the crane was

doing and whether it was a task required by the

manufacturer’s instructions.

A self-erecting tower crane is a tower crane that erects while

controlled from ground level without the assistance of another

crane.

• Determine who decided the number of personnel and which

personnel would be in the area under the tower, jib or

rotating portion of the crane before it was secured.

Interview that person to assess how he or she made that

determination.

• An employer has discretion in determining which or how

many personnel are necessary to complete the

manufacturer’s instruction, but the work being done by

personnel under the tower, jib or rotating portion of the

crane must correspond with the manufacturer’s

instructions.

Citation Policy:

D. 1926.1435(b)(2). Consider a citation for violation of this standard

if a self-erecting tower crane is not secured in a locked position or

a competent person did not determine it was safe to enter the area

under the tower, jib, or rotating portion of the crane, and one of the

following two circumstances is present:

• If there were personnel in the area under the tower, jib, or

rotating portion of the crane before it was secured, and the

manufacturer’s instructions do not require personnel to be

in this area in order to erect, climb, or dismantle the crane,

• If there were personnel in the area under the tower before it

was secured, but they were not determined to be necessary

personnel by the employer, operator or other competent

person involved in the erecting, climbing, or dismantling of

the crane, or they are not performing tasks required by the

manufacturer’s instructions.

• Specify in the AVD which circumstance gave rise to the

citation.

4. 1926.1435(b)(3). Foundation and Structural Supports.

Foundation and structural supports must be designed by the

manufacturer or a registered professional engineer (RPE). Structural

supports include the portions of the structure used for support of the

tower and the means of attachment.

Inspection Guidance

A. Determine through interview of the employer, operator and/or

other personnel, whether the foundation and structural supports of

the tower crane were designed by the manufacturer or an RPE.

• Request and inspect any documentation that shows who

designed the foundation and structural support of the crane.

(The building department’s approval documentation may

be evidence.) Note that the employer is not required to have

such documentation on site.

• Examine any documentation and/or ask the employer to

describe how the crane’s foundation was built. Look at the

foundation and supports. Is there evidence that it was built

according to the engineer’s plans and specifications?

• If an RPE designed the foundation and structural supports,

verify the RPE’s credentials, if possible.

• If there are doubts that the foundation or structural support

were designed by the manufacturer or an RPE, or that they

comply with that design, request that the employer obtain

records of the foundation and structural support design

from the manufacturer or RPE and make those available for

inspection.

• Some structural support work may be considered steel

erection if it meets the scope of the standard as described in

1926.750(b).

Citation Policy:

B. 1926.1435(b)(3). If the foundation and structural supports were not

standard.

5. 1926.1435(b)(4). Hazards Specific to Tower Cranes that must be

addressed by the A/D Director.

This section incorporates the requirements for specific hazards from

1926.1404(h)(1) through (h)(9) and adds additional requirements in

1926.1435(b)(4)(i) through (iii) for the A/D director. See section on

Assembly/Disassembly in this directive for additional inspection

guidance regarding citations for violations of the requirements of

1926.1404(h)(1) through (h)(9).

Inspection Guidance

A. When inspecting or investigating the erection process for tower

cranes, consider asking the following questions to obtain

information regarding the erection operation and the qualifications

of the A/D director:

• Who is the A/D director? Is he or she present on site?

• Whose procedures are being used for the climb/jump—the

manufacturer’s or the employer’s?

• Can the A/D director explain the procedures?

• Were the procedures for climbing/jumping reviewed by the

A/D director?

• How many tower crane climbs/jumps has the A/D director

performed/directed?

• Has the A/D ever directed climbs/jumps before and was he

or she the only one directing?

• If the A/D director did not direct the climb/jump, who did?

• What kind of training or education does the A/D director

have to qualify him or her for climbing/jumping cranes?

• What type of slings does the A/D director use?

• How does the A/D director inspect slings before jumping?

• Has the crew been trained on the hazards of the erection for

their respective roles?

• Who trained the A/D director?

Citation Policy:

B. 1926.1404(h)(1) through (h)(9) and 1926.1435(b)(1). If the A/D

director failed to address specific hazards listed in 1926.1404(h)(1)

through (h)(9), consider citations under the specific provision or

provisions of 1926.1404(h)(1) through (h)(9) that were violated,

and group each with a citation of 1926.1435(b)(1), as discussed

above. Citations under 1926.1404(h)(1) through (h)(9) should not

be issued under 1926.1435(b)(4).

C. 1926.1435(b)(4)(i) through (iii). If the A/D director failed to

address one of the supplemental hazards in this section, consider a

citation for violation of the specific provision which the A/D

director failed to address. If multiple provisions were not

addressed, consider separate citations for each violation. Multiple

citations under 1926.1435(b)(4)(i) through (b)(4)(iii) may be

grouped for penalty purposes.

6. 1926.1435(b)(5). Towers must meet manufacturer’s plumb

tolerance, or where not specified, a minimum plumb tolerance of

1:500. A qualified person must verify plumb tolerance.

Inspection Guidance

A. Determine how plumb tolerance was verified. If possible,

interview the employees involved in determining plumb tolerance,

and whether the employee was qualified in accord with the

definition of qualified person in 1926.1401, and what plumb

tolerance was used.

Citation Policy:

B. 1926.1435(b)(5). Consider a citation for violation of this standard

if (1) the manufacturer’s plumb tolerance was specified but not

met, or (2) the manufacturer’s plumb tolerance was not specified

and a minimum tolerance of 1:500 was not used, or (3) a non-

qualified person verified plumb tolerance.

7. 1926.1435(b)(6). Where there is more than one fixed jib

(hammerhead) tower crane, cranes must not be able to come in

contact with one another. Cranes may pass over one another without

violating the standard.

Inspection Guidance

A. If there are multiple cranes, determine if they may be able to

contact one another. If so, address this during employer and

operator interviews.

Citation Policy

B. 1926.1435(b)(6). If there are multiple fixed jib tower cranes that

could potentially come in contact with one another, consider a

citation of this standard.

8. 1926.1435(b)(7). This paragraph contains requirements for climbing

procedures in 1926.1435(b)(7)(i) through (b)(7)(ii). Employers must

comply with manufacturer prohibitions and have an RPE verify that

the host structure can sustain imposed forces to prevent collapse

hazards. Examples of typical host structures include a building,

parking garage, bridge or pier.

Inspection Guidance

A. Determine if the manufacturer’s procedures or the employer’s

procedures are being used for climbing. Request to review the

instructions used.

B. Determine by interview who verified the structural stability.

Request any available documentation which verifies the RPE’s

credentials and/or if the RPE is available on site; interview to

Climbing: the process in which a tower crane is raised to a new

working height, either by adding additional tower sections to the

top of the crane (top climbing), or by a system in which the entire

crane is raised inside the structure (inside climbing).

verify credentials. Note that the employer is not required to

maintain a record of the RPE or that person’s credentials on site.

Citation Policy:

C. 1926.1435(b)(7)(i). Consider a citation of this standard if the

employer did not comply with the manufacturer’s climbing

requirements.

1926.1435(b)(7)(ii). Consider a citation of this standard if the

employer did not have an RPE verify the structure’s ability to

sustain imposed forces prior to a climb.

9. 1926.1435(b)(8). This paragraph contains requirements for the

counterweight and/or ballast on a tower crane. Equipment must not

be erected, dismantled or operated without the amount and position

of counterweight/ballast specified by the manufacturer or RPE in

place. The maximum weight may not be exceeded.

Inspection Guidance

A. Find out if the manufacturer’s procedures or RPE specifications for

amount and position of counterweight/ballast are being used. Does

the amount and position of counterweight/ballast conform to these

specifications?

Citation Policy

B. 1926.1435(b)(8)(i). Consider a citation of this standard if the

employer did not meet the manufacturer’s or RPE specifications

for the amount and position of counterweight/ballast being used.

C. 1926.1435(b)(8)(ii). Consider a citation of this standard if the

employer exceeded the maximum counterweight/ballast permitted

by the manufacturer or RPE.

10. 1926.1435(c). Signs, banners, or similar items on tower cranes must

be in accord with the manufacturer’s specifications, or if unavailable,

an RPE must approve their size and location in writing.

Inspection Guidance

A. Verify the location of signs and interview the employer to

determine whether the manufacturer’s specifications or RPE

specifications were used.

B. Request to review the manufacturer’s instructions, if available, to

determine whether placement and size are correct.

C. If RPE provided size and location requirements for signs, ask to

review written specifications.

Citation Policy

D. 1926.1435(c). Consider a citation of this standard (1) if the

location or size of signs/banners is inconsistent with the

manufacturer’s instructions, or (2) if the manufacturer’s

instructions are unavailable and RPE has not provided written size

and location specifications, or (3) if signs/banners do not conform

with RPE specifications. Specify in the AVD which of these

circumstances gave rise to the citation.

11. 1926.1435(d). The safety devices requirements of 1926.1415 does

not apply to tower cranes (see 1926.1435(d)(1)). Instead, Section

1926.1435(d) contains the requirements for safety devices that are

applicable to tower cranes:

• 1926.1435(d)(2). The safety devices in 1926.1435(d)(2)(i)

through (d)(2)(x) are mandatory on tower cranes.

• 1926.1435(d)(3). Operations must not begin unless devices in

1926.1435(d)(2)(i) through (d)(2)(x) are in proper working

order. If a device stops working, the operator must safely stop

operations. Equipment must be taken out of service until the

device is working properly.

• Section 1926.1417(f) contains requirements for proper tag-out

procedures which must be followed when the employer takes

equipment or a function of the equipment out of service, such

as, for example, when a safety device in 1926.1435(d)(2)(i)

through (d)(2)(x) is not functioning. Under 1926.1417(f)(1), a

tag must be placed in the cab stating that the equipment is out

of service and not to be used, or if only a specific function is

out of service, the tag must be located conspicuously and

identify the function that is out of service. Under

1926.1417(f)(2), the operator must not start the equipment or

use the function until the sign has been removed by an

authorized person or the equipment otherwise meets the

requirements of this section. See section on Operation and

Authority to Stop in this directive for additional guidance

regarding citations for violations of the requirements of

1926.1417.

Inspection Guidance

A. Verify through operator interview that safety devices are present

on the equipment and that they are functioning properly. The

devices listed in 1926.1435(d)(2) can be used as a checklist. Ask

the operator to point out the devices listed.

B. If a device listed in 1926.1435(d)(2)(i) through (d)(2)(x) is missing

or not functioning, check:

• Whether the equipment is being operated, and if not, when

the equipment was last operated.

• Whether a proper tag-out procedure under 1926.1417 has

been followed;.

• When the safety device was removed/when the safety

device ceased to function.

• When repair is scheduled to occur, or when replacement

was ordered and is scheduled to arrive.

C. If a device malfunction is observed, note whether the operator

ceases operations and how they are stopped.

D. For the application of this provision, “safely stop operations” gives

notice to the employer that the operator is not necessarily expected

to stop the equipment immediately if doing so would create a

hazardous situation. Under this provision, the operator must rely

on her or his knowledge and skills to determine when stopping the

hoisting operation would create a greater hazard. Operations may

not resume until such time as the aid or device has been repaired or

replaced.

• For example, when stopping the hoisting operations

immediately would suspend the load over people and the

equipment could be safely operated longer to allow the load

to be landed or swung and suspended in/over a location that

would not be a hazard.

• Another example could be when stopping the hoisting

operation immediately would not allow a structural

member of a building to be supported or moved so that the

member could be secured.

Citation Policy

E. 1926.1435(d)(2)(i) through (d)(2)(x). If a safety device required by

this section is missing, consider a citation for the provision which

requires the specific device. For example, 1926.1435(d)(2)(ix)

requires an emergency stop switch at the operator’s station. If there

is no such switch, consider a citation under 1926.1435(d)(2)(ix). If

multiple safety devices listed in 1926.1435(d)(2)(i) through

(d)(2)(x) are missing, consider issuing a separate citation for each

of the missing safety devices.

F. 1926.1435(d)(3). Consider a citation for violation of this standard

under the following circumstances:

• If a device or devices listed in 1926.1435(d)(2)(i) through

(d)(2)(x) is not functioning and the equipment is being

operated.

• If a device ceases to function and the operator does not stop

operations, group this citation with 1926.1400(f).

• If a device ceases to function, the operator stops operations

in a safe manner, but then the employer does not take

equipment out of service and resumes operations before the

device is working properly.

• If a device ceases to function and the operator stops

operations in an unsafe manner.

o Generally, when operations have been stopped and

it is determined that doing so created a hazardous

condition, this provision would not be cited by itself

because it is more likely that another applicable

provision of 29 CFR Part 1926 was violated.

Therefore, a grouped citation could be considered.

For example, a provision under 1926.1424, Working

Area Control, could have been violated. Consider

grouping citations for violations of 1926.1435(d)(3)

and the applicable requirement of 1926.1424.

The AVD of the citation should list the specific

safety devices in 1926.1435(d)(2)(i) through

(d)(2)(x) not functioning.

Even if multiple devices on one piece of equipment

are not functioning properly in violation of this

standard, only one citation under 1926.1435(d)(3)

may be issued.

G. 1926.1417(f). Consider citing 1926.1417(f) if proper tag-out

procedures are not followed when a safety device is missing or is

not functioning properly.

12. 1926.1435(e). The operational aids requirement of §1926.1416 does

not apply to tower cranes. Section 1926.1435(e) contains the

requirements for operational aids that are applicable to tower cranes:

• 1926.1435(e)(2). The operational aids in 1926.1435(e)(5)

through (e)(6) are mandatory on tower cranes.

• 1926.1435(e)(3). Operations must not begin unless devices in

this section are in proper working order or a temporary

alternative measure is used. More protective alternatives

recommended by the manufacturer must be followed.

• 1926.1435(e)(4). If a device stops working, the operator must

safely stop operations until temporary alternative measures are

implemented or the device is working properly.

• 1926.1435(e)(5) through (e)(6). When devices listed in

1926.1435(e)(5)(i) through (e)(5)(viii) are not working

properly and a temporary alternative measure has been

implemented, the faulty device must be repaired no later than 7

calendar days after they stop working. When devices listed in

1926.1435(e)(6)(i) through (e)(6)(vi) are not working properly

they must be repaired no later than 30 calendar days after they

stop working. Exception to the requirements of

1926.1435(e)(5) through (e)(6): if necessary parts were ordered

within 7 calendar days of a deficiency and the replacement is

not received in time, repair must be completed within 7 days of

receiving the part.

• 1926.1435(e)(5)(vi). When citing the employer for failure to

implement the temporary alternative measure, group with

1926.1400(f).

• 1926.1417(j). This section contains requirements for when

equipment adjustments or repairs are needed, including when

operational aids in 1926.1435(e)(5) through (e)(6) are missing.

Under 1926.1417(j)(1), the operator must inform each person

designated to receive notice of necessary repairs, including the

next operator, in writing, of the needed repair. Under

1926.1417(j)(2), the employer must also notify affected

employees. See section on Operation and the Authority to Stop

in this directive for additional guidance regarding citations for

violations of the requirements of 1926.1417.

Inspection Guidance

A. Verify that operational aids are present on the equipment and

functional. The equipment listed in 1926.1435(e)(5) through (e)(6)

can be used as a checklist. Ask the operator to point out the devices

listed.

Note that three of the operational aids are only required on

equipment manufactured after November 8, 2011 (hoist drum

lower limiting device under 1926.1435(e)(5)(iv), hook radius

indicators on hammerhead tower cranes under

1926.1435(e)(6)(i)(B), and load indicating devices under

1926.1435(e)(6)(vi)).

If an operational aid is missing or not functioning, determine if a

proper temporary alternative measure is in use.

B. Observe and note whether the tower crane is operated without the

operational aid or temporary alternative measure.

C. If a tower crane is being operated with a temporary alternative

measure, ask the employer about the date that the operational aid

ceased to function properly, the temporary alternative measure that

was put in place, and when replacement parts were ordered. (such

as an order confirmation)

Verify that the temporary alternative measure in place meets the

applicable requirements in 1926.1435(e)(5) through (e)(6), or those

of the manufacturer, if the manufacturer’s requirements are more

protective.

Verify that the procedures in 1926.1417(j) are also followed.

D. If the tower crane is not observed in operation, but an operational

aid listed in 1926.1435(e)(5) through (e)(6) is missing and no

temporary alternative measure is properly in place, determine:

• When the equipment was last operated.

• Whether inspections required by 1926.1412 were

conducted.

• Whether proper tag-out procedure under 1926.1417(f) has

been followed.

• When the operational aid was removed.

• The deadline for replacement pursuant to the 7-day

calendar requirements of 1926.1435(e)(5) or the 30-day

calendar requirements of 1926.1435(e)(6) and whether that

deadline has passed.

• When repair is scheduled to occur, or when replacement aid

was ordered and is scheduled to arrive; if a replacement

part is not available, the substitution of a device that

performs the same function would not be subject to

1926.1434 manufacturer or RPE approval.

E. If a device malfunction is observed, note whether the operator

ceases operations and how they are stopped. See guidance

concerning whether the operator “safely stopped operations” as

discussed in this directive under 1926.1435(d), Safety Devices.

F. If a wind speed device is not used, ask the employer and operator

who determined that wind was not a factor. Verify that the

individual who made the determination meets the definition of a

competent person for that task and if possible, ask for a description

of how the determination was made.

Citation Policy:

G. 1926.1435(e)(2). If an operational aid listed in 1926.1435(e)(5)

through (e)(6) is missing and no temporary alternative measure is

properly in place, consider a citation for violation of

1926.1435(e)(2). For example, if there is not an anti two-blocking

device and no temporary alternative measure is in place, consider a

citation of 1926.1435(e)(2).

H. 1926.1435(e)(3). If a device listed in 1926.1435(e)(5) through

(e)(6) is not functioning, no temporary alternative measure is

properly in place and the equipment is being operated, consider a

citation of 1926.1435(e)(3). If the device stops working and the

operator does not safely stop, group this citation with

1926.1400(f).

I. 1926.1435(e)(2) through (3). For citations under both of these

standards:

• The AVD of the citation should list the specific missing or

nonfunctioning operational aid noted in 1926.1435(e)(5)

through (e)(6).

• In addition, if a temporary alternative measure has been

established, but not successfully implemented, the AVD

should list the specific temporary alternative measure that

the employer attempted to use and explain why it was

inadequate.

• Even if multiple aids on one piece of equipment are not

present or not functioning on a particular tower crane, only

one citation under 1926.1435(e)(2) and one citation under

1926.1435(e)(3) or may be issued.

J. 1926.1435(e)(4). Consider a citation of this standard if: (1) a

device ceases to function, and the operator does not stop

operations; (2) the operator ceases operations in an unsafe manner;

or (3) the operator safely ceases operations, but resumes them

without implementing a temporary alternative measure. Group this

citation with 1926.1400(f).

Generally, when operations have been stopped and it is determined

that doing so created a hazardous condition, this provision would

not be cited by itself because it is more likely that another

applicable provision of 29 CFR Part 1926 was violated. Therefore,

a grouped citation could be considered. For example, a provision

under 1926.1424, Working Area Control, could have been violated

if the load is left suspended over employees. Consider grouping

citations for violations of 1926.1435(e)(4) and the applicable

requirement of 1926.1424.

Where the inspection reveals the operator halted operations upon

discovery of the deficiency, but then resumed operations, then this

provision may be grouped along with 1926.1435(e)(3).

K. 1926.1435(e)(2) or (e)(3) and 1926.1435(e)(5) or (e)(6). If the

employer is operating equipment with a temporary alternative

measure properly in place, but the applicable time limit established

by 1926.1435(e)(5) or (e)(6) has lapsed, consider a citation for

violation of the time limit.

• The citation should group 1926.1435(e)(2) for missing

operational aids or 1926.1435(e)(3) for nonfunctioning

operational aids with 1926.1435(e)(5) or (e)(6), depending

on the operational aid that is missing or not functioning.

• The AVD should list the specific provision in

1926.1435(e)(5)(i) through (e)(5)(viii) or

1926.1435(e)(6)(i) through (e)(6)(vi) requiring the missing

or non-functioning operational aid and the corresponding

temporary alternative measure used.

• If there are multiple operational aids in disrepair for more

than 7 days, only one citation should be issued.

L. 1926.1417(f). If proper tag-out procedures are not followed,

consider a citation for 1926.1417(f).

M. 1926.1417(j). If proper notification procedures are not followed

when an operational aid under 1926.1435(d)(2) is missing or is not

functioning properly, consider a citation for violation of this

standard.

13. 1926.1435(f)(1). The inspection requirements of sections 1926.1412

and 1926.1413 apply to tower cranes, except that “assembly” is

replaced by “erection.” See the Inspections and Wire Rope

Inspections sections in this directive for additional guidance

regarding citations for violations of requirements of 1926.1412 and

1926.1413.

Citation Policy

A. 1926.1435(f)(1) and 1926.1412. When considering a citation for

violation of a requirement listed under 1926.1412, cite the

provision or provisions within those standards containing the most

specific applicable requirements. Because 1926.1435(f)(1) amends

1926.1412, each citation under 1926.1412 involving tower cranes

should be grouped with 1926.1435(f)(1).

14. 1926.1435(f)(2). Components are often damaged during shipping to

a jobsite. This paragraph establishes the following requirements for a

pre-erection inspection:

• Under 1926.1435(f)(2)(i), before each crane component is

erected, it must be examined by a qualified person to determine

whether components are damaged or worn.

• Under 1926.1435(f)(2)(ii), if the qualified person determines

that a component is damaged/worn enough to create a safety

hazard, the component must not be erected until it is repaired

or replaced and re-inspected by a qualified person.

• Under 1926.1435(f)(2)(iii), if the qualified person determines

that the component should be monitored, it must be checked at

monthly inspections and documented.

Inspection Guidance

A. In the opening conference, ask the employer if a pre-erection

inspection was done.

B. Ask who conducted the inspection and verify if that person is

qualified.

C. If, during pre-erection inspection, the qualified person determined

that something should be monitored, ask to see records of the

monthly review of this issue.

Citation Policy

D. 1926.1435(f)(2)(i). If no pre-erection inspection was conducted, or

the pre-erection inspection was not conducted by a qualified

person, consider a citation of this standard.

E. 1926.1435(f)(2)(ii). If a qualified person determined that damage

presented a safety hazard and the component was erected without

repair or without re-inspection, consider a citation of this standard.

F. 1926.1435(f)(2)(iii). If a qualified person determined that a

component should be monitored during the pre-erection inspection,

and the employer is not checking this during monthly inspections,

consider a citation of this standard.

15. 1926.1435(f)(3) through (f)(5). This section specifies supplemental

requirements for the post-erection inspection, the monthly inspection

and the annual inspection.

Inspection Guidance

A. Ask for monthly and annual inspection reports for crane and wire

rope. Shift inspection reports are not required to be written, but

check if they are available.

B. Ask who conducted the required inspections and verify if that

person is competent/qualified.

C. If the person who conducted the inspection is on site, verify that

the specific items listed were checked during the inspection. If

there is a deficiency in one of the items listed for inspection, ask

whether or not that item was checked during the appropriate

inspection.

Citation Policy

D. 1926.1435(f)(3) through (f)(5). If an item which should have been

included in the inspection was not inspected, consider a citation for

violation of the specific provision. If multiple items were not

addressed, consider separate citations for each violation. Multiple

citations under 1926.1435(f)(3), (f)(4) or (f)(5) may be grouped for

penalty purposes. For example, if the post-erection inspection was

not conducted in accord with the manufacturer’s instructions as

required by 1926.1435(f)(3)(ii), consider a citation of that specific

requirement. If, however, in addition to this violation, the load test

did not use properly certified weights in violation of

1926.1435(f)(3)(i), citations of both provisions may be issued

separately or grouped.

1926.1441. Derricks, Supplemental Requirements

Introduction. Section 1926.1436 addresses the supplemental requirements

for derricks, both temporarily and permanently mounted. Most

requirements of this section apply to all derricks; however, some are only

applicable to a particular type of derrick. In this section of the directive,

the Inspection Guidance and Citation Policies for those general

requirements are discussed.

Climbing Tower Cranes

Only climb tower cranes after having received the field office

manager’s approval, proper training, and equipment.

1. 1926.1436(a). All sections in Subdivision CC apply to derricks

unless stated otherwise.

Citation Policy

A. 1926.1436(a). When requirements in other sections of Subdivision

CC are not met that are applicable to derricks, consider citations of

those applicable provisions. Section 1926.1436(a) must not be

cited because it merely notifies the employer of the scope of

Subdivision CC requirements that are applicable to derricks.

2. General Requirements that Apply to All Derricks.

All sections of Subdivision CC (other than 1926.1436) apply to

derricks unless specified otherwise.

Under section 1926.1436 the following general requirements apply to

all derricks as well:

• 1926.1436(b). Operation-procedures information on load chart

contents and its location on the worksite.

• 1926.1436(c)(1). General derrick strength and welding

requirements.

• 1926.1436(d)(1). Load anchoring data developed by the

manufacturer or by a qualified person.

• 1926.1436(e) through (q).

Inspection Guidance

A. Determine through interviews whether the derrick has been taken

out of service. If, so verify that the boom has been secured in

accord with one of the methods specified under 1926.1436(m)(2).

B. Observe the operation of the derrick, ask the employer, and use

Derrick: powered equipment consisting of a mast or equivalent

member that is held at or near the end by guys or braces (with or

without a boom) and its hoisting mechanism. The mast or load is

moved by the hoisting mechanism and operating ropes.

- Derricks include A-frame, basket, breast, Chicago boom, gin pole

(except when used for erection of communication towers), guy,

shearleg, and stiffleg derricks, as well as variations of such

equipment.

- Gin poles used to erect communication towers are not covered by

Subdivision CC (1926.1400(c)(12)).

information obtained from interviews to verify:

• The type of derrick used at the jobsite.

• The manufacturing date of the derrick and its capacity. For

equipment manufactured after November 8, 2011, ask the

operator whether the equipment has a load weight/capacity

device listed in 1926.1436(f)(3)(i), and verify whether the

device is functional. Ask the operator locate the device on

the derrick.

• The derrick is being used safely.

• The qualifications of the operator.

• That operation procedures from the manufacturer or

employer are available to the operator.

• Where the load charts are located.

• That the information specified in 1926.1436(b)(2) are on

the load chart.

• That anchoring data developed by the manufacturer or a

qualified person was used.

• That the operational aids listed in 1926.1416(d) (except as

modified by 1926.1436(f)(1)) and 1926.1436(f)(2) and

(f)(3) are present on the equipment and that they are

functioning properly. Ask the operator to locate the aides

on the derrick.

• Derrick anchorages (including the structure to which the

derrick is attached) were approved by a qualified person.

• That a qualified person determined if any special testing

Enforcement of 1926.1417(b) with Derricks

Section 1926.1417(a) requires that the employer comply with all

manufacturer procedures for operations. Section 1926.1417(b)(2)

provides that, if these procedures are unavailable, a qualified

person may develop procedures, and under 1926.1417(b)(3),

procedures related to capacity must be developed and signed by an

RPE who is familiar with the equipment.

In operations using derricks, the qualified person may or may not

be employed by the employer. Because many derricks are custom-

built, it is essential for derrick operators, inspectors, maintenance

personnel and hoisting crew to be able to access information

developed by a qualified person to assure safe use of the derrick.

was needed of any rock or hairpin anchorages that were

used.

• If the derrick has had any repairs or modifications that

would affect its capacity or safe use.

• That guys, if used, have been inspected for proper

tensioning.

• That the operator and employees have been trained in their

duties regarding the safe use of the derrick.

C. Ask for and review the monthly and annual inspection

documentation to verify that the required inspections have been

completed by a person meeting the requirements of either a

competent or qualified person as required to conduct the

inspection.

D. If the derrick is newly-installed, reinstalled, needed special testing

of rock or hairpin anchors, or has undergone repairs or

modifications that affect the capacity or safety of the derrick, ask

for and review available documentation of any required load

testing to verify that the tests were conducted and the derrick’s

safety was evaluated by a qualified person.

E. During interviews, identify the individual who ensured that the

derrick was designed and constructed in accord with

1926.1436(c)(1)(i). If possible, verify the qualifications of that

person.

F. Inspect the guy derrick and verify through interview that anchoring

data was developed by the manufacturer or a qualified person and

that information was used in accord with 1926.1436(d).

G. If there are observed deficiencies in the welds of the derrick’s load

sustaining members, refer to ANSI/AWS D14.3-94 and AWS

D1.1M:2002 and any other applicable guidance to verify that the

employer ensured the safety of those welds in accord with section

1926.1436.

H. Determine by inspection of the derrick and interviews of the

employer and operator whether swingers and hoists are suitable for

Hairpin anchor: a hairpin-shaped, guy-supporting anchor that is

placed in footings or walls before concrete is poured and is held in

place by the cured concrete.

Rock anchor: an anchoring device inserted in a hole drilled into

rock or concrete. The device is secured in the hole to withstand a

predetermined load.

the derrick used and properly anchored.

I. If a base mounted drum hoist is used, inspect the derrick to verify

the drum hoist’s compliance with incorporated provisions of ASME

B30.7-2001.

J. If power failure of the derrick is observed or has occurred,

determine by observation and interview of the operator whether the

requirements of 1926.1436(j)(1)-(j)(2) were met. Verify:

• When operations stopped and under what conditions. (See

discussion in this compliance directive of “safely stop” in

Citation Policy for 1926.1415 and 1926.1416.).

• That the brakes and locking devices were set.

• That the clutch and power controls were moved to the off

position.

Citation Policy

K. 1926.1436(b) through (q). Unless otherwise specified under the

citation policies of this and other sections that follow, when

requirements of 1926.1436(b) through (q) have not been met,

consider citations of the specific provisions.

L. 1926.1436(b)(1). This provision must not be cited because it

merely notifies the employer of the scope of 1926.1417,

Operations, requirements that are applicable to derricks.

M. 1926.1436(e)(2). When a base-mounted drum hoist does not meet

the requirements of ASME B30.7-2001 as referenced in this

provision, consider a citation of 1926.1436(e)(2). Describe the

provisions of ASME B30.7-2001 that were not met in the AVD.

N. 1926.1436(f)(1). This provision must not be cited because it

merely notifies the employer of the scope of 1926.1416,

Operational Aids, requirements that are applicable to derricks. If

requirements of 1926.1416 were not met, consider citations of

those specific provisions.

O. 1926.1436(f)(2). In operations involving derricks, if there is no

functioning boom angle indicator and neither 1926.1436(f)(2)(i)

nor 1926.1436(f)(2)(ii) is satisfied, consider a citation of

1926.1436(f)(2).

P. 1926.1436(f)(3)(i). For derricks manufactured after November 10,

2011, consider a citation of 1926.1436(f )(3)(i) if there is no load

weight/capacity device, or the device is not functioning and no

temporary alternative measure is in place.

Q. 1926.1436(f)(3)(ii). For equipment manufactured after November

10, 2011, consider a citation for violation of 1926.1436(f)(3)(ii) if

the load weight/capacity device is not working properly, more than

30 days has elapsed since the device was missing or dysfunctional,

and the 7-day allowance for ordered parts has passed.

R. 1926.1436(f)(3)(i) and (ii). If a load weight/capacity device is not

functioning, no temporary alternative measure is in place and the

30-day requirement of 1926.1436(f)(3)(ii) has lapsed, consider a

citation grouping both provisions rather than citing each provision

separately.

S. 1926.1436(j). Consider a citation of this standard if the derrick’s

power fails but the operator does not stop operations. Group this

citation with 1926.1400(f).

3. Requirements of 1926.1436 that only apply to guy derricks.

• 1926.1436(c)(2), Construction of guy derricks

• 1926.1436(d)(2), Anchoring and guying

• 1926.1436(m)(2)(iii), Securing the boom to the mast

Inspection Guidance

A. Determine through interviews whether the derrick has been taken

out of service. If, so verify that the boom has been secured in

accord with one of the methods specified under 1926.1436(m)(2).

B. Use the inspection guidance provided in bullets 1 and 2, above, for

general requirements that are applicable to guy derricks.

C. Inspect the guy derrick and verify that: the mast base is anchored

and guys are secured to the ground or firm anchorage in accord

with the requirements of 1926.1436(d); and the derrick is

supported by at least 6 guys.

D. If there are less than 6 guys or the guys are unequal, ask the

employer or operator who made the determination the guys were

sufficient to support the derrick and, if possible, document how

that determination was made.

E. When there are questions regarding the construction of the guy

derrick, ask for and review any information that the employer has

from the manufacturer or a qualified person regarding

specifications of the derrick. Verify that the employer has the

information required by 1926.1436(c)(2)(ii).

Citation Policy

F. 1926.1436(c)(2) through (d)(2). When requirements of

1926.1436(c)(2) or (d)(2) have not been met, consider citations for

violations of the specific provisions.

G. 1926.1436(m)(2)(iii). Even though this provision is specific to guy

derricks, compliance with 1926.1436(m)(2)(iii) is but 1 of 4

options for securing the boom of a guy derrick when taken out of

service for 30 days or more, consider a citation of 1926.1436(m)(2)

when none of the options have been met.

4. Requirements of 1926.1436 that only apply to Stiffleg Derricks.

• 1926.1436(c)(3). Construction of Stiffleg Derricks

• 1926.1436(d)(3). Anchoring and guying

• 1926.1436(m)(2)(iv). Securing the boom to a stiffleg

Inspection Guidance

A. Use the inspection guidance provided in bullets 1 and 2, above, for

general requirements that are applicable to stiffleg derricks.

B. Inspect the stiffleg derrick to verify that: the derrick is supported

by at least two stifflegs and a base as required by 1926.1436(c)(3);

and the mast base/stifflegs are anchored and designed in accord

with the requirements of 1926.1436(d)(3).

Citation Policy

C. 1926.1436(c)(3) through (d)(3). When requirements of

1926.1436(c)(3) or (d)(3) have not been met, consider citations for

violations of the specific provisions.

D. 1926.1436(m)(2)(iv). Even though this provision is specific to

stiffleg derricks, compliance with 1926.1436(m)(2)(iv) is but 1 of

4 options for securing the boom of a stiffleg derrick when taken

out of service for 30 days or more, consider a citation of

1926.1436(m)(2) when none of the options have been met.

5. Requirements of 1926.1436 that only apply to Gin Pole Derricks.

• 1926.1436(c)(4), Construction of Gin Pole Derricks

Inspection Guidance

A. Inspect the gin pole derrick, observe its operation, and through

interviews, verify whether the derrick was used in an unstable

position and that the gin pole and its anchorage meets the

requirements of 1926.1436(c)(4)(ii) and (c)(4)(iii).

Citation Policy

B. 1926.1436(c)(4). When requirements of 1926.1436(c)(4) have not

been met, consider citations for violations of its specific

provisions.

6. Requirements of 1926.1436 that only apply to Chicago Boom

Derricks.

• 1926.1436(c)(5). Construction of Chicago Boom Derricks

Inspection Guidance

A. Through observation of the derrick’s operation or based on

information obtained from interviews, verify that the fittings on the

boom and support structure allows the boom to lift, lower and

swing left and right the load without the boom or the fittings

becoming unattached or unseated. When there are questions

regarding the safety of the design of the derrick, ask the employer

or operator to describe how compliance with the requirements of

1926.1436(c)(5) was verified and who made that determination.

Citation Policy

B. 1926.1436(c)(5). When requirements of 1926.1436(c)(5) have not

been met, consider citations of its specific provisions.

1926.1437. Floating Cranes/Derricks and Land Cranes/Derricks on Barges Supplemental

Requirements

The requirements of this section primarily address the safety of the

methods of flotation that are used to support a crane. The other sections of

Subdivision CC cover the crane and where referenced in this section may

be replaced or supplemented by the requirements of 1926.1437. This

section does not apply to barges when the jacks are deployed to the sea,

lake, or river bed and the barge is fully supported.

Section 1926.1437 is divided into three parts.

• Paragraphs (a) through (k) of 1926.1437 apply to both cranes

and derricks unless otherwise specified.

• Paragraph (m) of 1926.1437 applies only to floating

cranes/derricks.

• Paragraph (n) of 1926.1437 applies only to land cranes/derricks

on barges, pontoons, vessels, or other means of flotation.

Oregon OSHA jurisdiction must be determined prior to opening an

inspection on a floating crane/derrick or a land crane/derrick on a barge.

See Figure 1437-1 below for guidance:

Jacks and Spuds

Jacks are long steel members that hold a vessel rigidly to a specific

vertical location relative to the sea bed. The vessel generally is no

longer supported by the water, but by the jacks.

Spuds are long steel members that prevent a floating vessel from

moving in a specific horizontal direction. Unlike a vessel on jacks,

one restrained by spuds remains floating on the water.

Barge with cranes held aloft on jacks.

Photo credit: Wikipedia commons, Author: Dbrouse.

http://en.wikipedia.org/wiki/File:NewCarissa_dismantled_by_KarlissaA_and_B_July_2008_panoram

a_merge.jpg

1. General Requirements that Apply to both Cranes on Barges and

Floating Cranes.

Inspection Guidance

A. By observation, through interviews, and/or a review of its

operations procedures/related documents, determine whether the

crane is a floating crane/derrick or a land crane/derrick used on a

barge. Making this distinction is necessary because there are

requirements of 1926.1437 that are specific to only floating

crane/derrick or to only land crane/derrick on a barge, pontoon,

vessel or other means of flotation.

B. When possible, observe the hoisting operation, documenting and

taking video/pictures of the instances and conditions when there

are any indications that the safety of the operation may be

compromised due to the lack of buoyancy and instability of the

means of flotation. For example, when it is evident during the

hoisting operation that equipment may be overloaded or the means

of flotation appears to be taking on water, listing badly, or sitting

hazardously low in the water.

C. When there are concerns about the safety of the means of flotation

or the hoisting operation being performed, ask for and review any

information available from the employer regarding any hazardous

condition observed. Interview the employer, operator, and lift

director (if any) to confirm that required equipment specifications

were developed by the manufacturer or a qualified person and have

been made available by the employer. If necessary and possible,

contact the manufacturer or the qualified individual to discuss any

concerns about the observed conditions.

D. Inspect the area on the barge/means of flotation for hazardous

areas in which a person can be struck, pinched, or crushed when

the equipment is operated and are demarcated by one of the

methods allowed under 1926.1437(c), Work Area Control. If one

of the options allowed for work area control has been

implemented, verify and document which option the employer

selected.

Note: Due to the limited space available for equipment on the

decks of barges and other means of flotation, the requirements of

1926.1425, Keeping Clear of the Load, do not apply to hoisting

jobs performed with equipment covered by 1926.1437.

A qualified person (floating cranes/derricks) is a qualified

person whose expertise is with the respect to vessel/floatation

devices.

E. Through interviews and observation of hoisting activities

performed by employees, verify that employees were trained to

understand the struck-by, crush/pinch-by hazards and the methods

used to demarcate those areas.

F. Ask for and review any required documentation of inspections to

verify that the inspections were conducted and documented in

accord with 1926.1437(h).

G. Every four years, the internal portion of the barge, pontoons,

vessels, or other means of flotation must be surveyed for

deficiencies by one of the following:

• Marine engineer.

• Marine architect.

• Licensed surveyor.

• Other qualified persons who has expertise with respect to

vessels/flotation devices.

Through interviews and review of the inspection records, verify the

qualifications of the individual who conducted the required four-

year inspection.

H. During inspection record reviews, look for descriptions in the

required documents of any apparent deficiencies monitored during

annual inspections or observed during the four-year inspection.

Purpose of 1926.1437(h)

Inspections required by 1926.1437(h) ensure the safety of the

means of attachment and flotation for floating cranes/derricks or

land cranes/derricks on barges or other means of flotation. The

inspection requirements of 1926.1437(h) are supplemental to those

of 1926.1412, which ensure the safety of the crane/derrick and the

hoisting activity performed. Mating a crane to a new method of

flotation does not automatically trigger the need for a new four year

inspection of the flotation device.

Four-Year Inspection Start Dates

One four year inspection must be conducted before November 10,

2014 unless the floating crane/derrick or land crane on a barge or

other means of flotation was first put into service after November,

8, 2010. Under such circumstances, at least one four year

inspection of that equipment must be conducted four years from the

date the equipment was put into service after.

Verify via the document review and interviews that the safety of

the apparent deficiencies was evaluated by the surveyor or other

qualified persons specified in 1926.1437(h)(5)(i).

I. If a deficiency is observed in one of the requirements listed in

1926.1437(h)(2), and the vessel is still in service, interview the

employer, operator, maintenance personnel, or inspector (if

available) to determine if a competent person considered the safety

implications of the deficiency.

If a competent person has made a determination, confirm the

identity of the competent person and obtain and document a

description of the reasons why the deficiency was not a safety

hazard.

This information only has to be documented by the employer when

the competent person has determined that the deficiency must be

tracked on the monthly inspection records. If the employer has

documented this information, obtain a copy of it and review it to

confirm the employer’s compliance with 1926.1437(h)(3).

J. Through interviews, visual inspection of the crane/derrick, review

of inspection records, and observation of hoisting activities:

• verify that required safety devices are on the equipment and

function properly. If necessary, ask the operator to show

where the devices are located on the equipment.

• verify that required operational aids are on the equipment

and function properly. If necessary, ask the operator to

show where the aids are located on the equipment, noting

that:

o Load weighing devices are not required when

dragline, clamshell (grapple), magnet, drop ball,

container handling, concrete bucket, and pile-

driving work is performed with this equipment.

o Anti two-blocking devices are only required when

personnel are hoisted or loads are hoisted over an

occupied cofferdam or shaft. Document when

personnel are hoisted or when loads are hoisted over

a cofferdam or shaft.

K. Observe the jobsite and worksite activities to determine whether

the work performed is likely to require the use of a diver and

crane/derrick. If so, interview the employer and operator to

confirm whether or not a diver has or is being used to perform the

job. If a diver is being used at the time of the compliance

inspection, observe operations to verify the employer’s compliance

with the requirements of 1926.1437(j). For example, note and

document:

• When the diver is in the water.

• Where the operator is and what he or she is doing when the

diver is in the water.;

• Whether the operator has a clear line of sight to the diver,

and whether a tender was used.

• Any other jobs performed by the crane/derrick when

working with a diver.

• Who is giving the operator signals and how those signals

are being communicated.

• How much the crane/derrick is allowed to move around on

its means of flotation.

Note: the diving requirements of 1926.1437(j) are in addition to

those found in Division 2, Subdivision T, Commercial Diving

Operations.

L. Determine if the crane/derrick has a cab and verify that the

procedures for operation of the equipment, including operating

speed, load charts, etc., have been made accessible to the operator

in accord with 1926.1417 (with a cab) or 1926.1437(g) (without a

cab). If necessary, have the operator or employer show you where

the procedures are located.

Citation Policy

M. 1926.1437(c) through (l). Unless specified otherwise under this

Citation Policy section, when requirements of 1926.1437(b)

through (l) have not been met, consider citations of the specific

requirements.

N. 1926.1437(a). This paragraph should not be cited as it is only

informational and clarifies the scope of Subdivision CC’s

requirements as they pertain to floating crane/derricks or land

cranes/derricks on barges or other means of flotation.

O. 1926.1437(b). Paragraph (b) of 1926.1437 should not be cited

because it is only informational and clarifies that 1926.1437(c)

through (k) apply to both floating crane/derricks or land

cranes/derricks on barges or other means of flotation.

P. 1926.1437(c). When the employer :

• Did not meet the requirements of 1926.1424, Work Area

Control, consider citations of applicable requirements of

1926.1424. Section 1926.1437(c)(1) only references the

requirements of 1926.1424. Therefore, 1926.1437(c)(1)

should not be cited for these violations.

• Has not met the requirements of one of the two options for

work area control specified by 1926.1437(c)(2), consider a

citation of 1926.1437(c)(2). (i.e., used control lines,

warning lines, barriers, or a combination of warning signs

and markings)

The AVD should specify how the employer’s implementation of

the applicable provisions of paragraph 1926.1437(c)(2) were

deficient.

Q. 1926.1437(d). Paragraph (d) of 1926.1437 should not be cited as it

only informs the employer that 1926.1425 does not apply to

floating crane/derricks or land cranes/derricks on barges or other

means of flotation.

R. 1926.1437(e). If a device (or devices) required by 1926.1437(e)

was:

• Missing from the equipment, consider citations for

violations of applicable provisions of 1926.1437(e)(1)

through (e)(3).

• Not working properly, consider a citation of 1926.1415(b).

S. 1926.1437(f). When the equipment was operated without:

• Operational aids required by 1926.1437(f)(1) and (f)(2),

consider a citation of 1926.1416(a).

• An operational aid required by 1926.1437(f) that was not

functioning and no temporary alternative measure was

implemented, consider a citation of 1926.1416(b).

Note: For citations of 1926.1416(a) and (b), refer to

1926.1416, Operational Aids, in this directive for

additional guidance.

• The AVD of the citation should list the specific missing or

nonfunctioning operational aid noted in paragraphs (f) of

1926.1437.

• If a temporary alternative measure has been established, but

not implemented correctly, the AVD should describe the

temporary alternative measure that the employer attempted

to use and explain why it was inadequate.

• Even if multiple operational aids on one piece of equipment

are not on the equipment or are not functioning, only one

citation should be issued for 1926.1416(a).

T. 1926.1437(g). When the equipment:

• Has a cab and the operating procedures and load charts are

not readily available in the cab at all times , consider a

citation of 1926.1417(c). Section 1926.1437(g) must not

be cited when the crane/derrick has a cab.

• Has no cab, and the operating procedures are not readily

available on board the vessel or the load charts are not

posted at the operator’s station, or on the equipment if the

operator’s station is moveable, consider citations of

applicable provisions of 1926.1437(g).

U. 1926.1437(h). When required inspections of means of flotation and

crane/derrick attachment:

• Have not been conducted or were not conducted by a

competent or qualified person as specified by 1926.1412,

consider citations of specific provisions of 1926.1412.

• Have been conducted but apparent deficiencies exist in the

items that must be inspected in accord with 1926.1412,

consider citations of specific inspection provisions of

1926.1412.

• Have been conducted but apparent deficiencies exist in the

supplemental items regarding the means of flotation and

crane/derrick attachment that must be inspected, consider

citations of specific inspection provisions of 1926.1437.

• Have not been documented or made available in accord

with applicable inspection provisions of 1926.1412,

consider citations of 1926.1437, and the AVD of the

citation should describe the provisions of 1926.1412 that

were violated.

V. 1926.1437(j)(2). When the operator does not remain at the controls

while working with a diver, consider a citation for 1926.1437(j)(2)

grouped with 1926.1400(f).

W. 1926.1437(k). When a means of flotation is used

• Within the manufacturer’s specifications and limitations to

support equipment covered by Subdivision CC and the

means of flotation cannot withstand environmental,

operational, and transit loads at worksite consider a citation

for 1926.1437(k)(1).

• To support equipment covered by Subdivision CC and the

manufacturer’s specifications or limitations are exceeded

for environmental, operational, and in-transit loads,

consider a citation for 1926.1437(k)(2).

• To support equipment covered by Subdivision CC, the

specifications or limitations (unavailable from the

manufacturer but developed by a qualified person) are

exceeded for environmental, operational, and in-transit

loads, consider a citation for 1926.1437(k)(3).

2. 1926.1437(m). Requirements that are Specific to Floating Cranes

and Derricks.

The requirements of 1926.1437(m) are applicable to the use of

equipment designed by the manufacturer or employer for marine use

only by permanent attachment to its means of flotation.

Inspection Guidance

A. Through interviews, visual inspections of the floating equipment,

and review of any available information from the manufacturer or

employer, determine whether the crane/derrick is permanently

attached to its means of flotation.

B. Ask to see the manufacturer’s load chart to verify the availability

of the information and that the chart includes considerations for

minimum wind speeds.

C. If the equipment is employer made, obtain the documents required

by 1926.1437(m)(4) (i.e., load charts, maximum allowable list and

trim, and equipment stability verification) that ensures compliance

with paragraphs (m)(1) through (m)(3) of 1926.1437. Verify that

the documentation was signed by a registered professional

engineer with respect to the design of that type of floating

equipment.

D. When the observed design and structural integrity of the means of

flotation are questionable, ask the employer to provide any

information available to verify compliance with the requirements

of 1926.1437(m)(5) such as any available equipment design or

relevant maintenance manuals. If necessary, the manufacturer or

Regional Maritime Coordinator may need to be consulted.

Citation Policy

E. 1926.1437(m). When equipment covered by Subdivision CC is

designed to be permanently attached to its means of flotation by

the manufacturer or employer and the employer did not meet the

requirements of 1926.1437(m), consider citations of the applicable

provisions of 1926.1437(m).

3. 1926.1437(n). Requirements that are Specific to Land

Cranes/Derricks Used on Barges, Pontoons, Vessels, or Other Means

of Flotation.

The requirements of 1926.1437(n) are applicable to the use of land

cranes/derricks used on a means of flotation. This section:

• Requires the modification of load charts to account for

maritime conditions and reduction in the lifting capacity of the

equipment.

• Specifies limits for the leveling of the land crane/derrick and its

means of flotation.

• Specifies four options for securing/attaching the land

crane/derrick to its means of flotation.

Inspection Guidance

A. Through interviews, visual inspection of the floating equipment,

and review of any available information from the manufacturer or

employer:

• Determine if the floating equipment is a mobile auxiliary

crane or a land crane/derrick that is not permanently

attached to its means of flotation. Confirm this

determination during interviews with individuals such as

the employer, operator, maintenance personnel, or

equipment inspectors (if available).

• Verify that the rated capacity was modified by a qualified

person to address the maritime factors specified in

1926.1437(n)(1) and (n)(2) and its availability on the

equipment.

• Verify that the employer meets the list/trim and buoyancy

requirements specified in 1926.1437(n)(3) and (4).

• Verify the employer’s compliance with 1926,1437(n)(5).

For example, ask the employer or operator to describe how

the land crane is physically attached to its means of

flotation and use the documentation and interviews to

verify this information. If necessary, when the means of

attachment are in question, contact the Regional Maritime

Coordinator.

• Verify that the employer has documented an alternate

attachment plan and can demonstrate that the means of

physically attaching an auxiliary crane to its means of

flotation meets the requirements of 1926.1437(n)(6). Only

under those circumstances are the requirements of

1926.1437(n)(4), Physical attachment, not required for the

use of an auxiliary crane on a means of flotation.

• Verify that the means of attachment allowed by

1926.1437(n)(5) and (n)(6) were designed by a marine

engineer, a registered professional engineer, or qualified

person familiar with the floating equipment’s design.

B. When there are concerns about the structural sufficiency of the

means of flotation due to an incident that is observed or reported,

or if an apparent deficiency is observed, it may be necessary to

contact the marine engineer/registered professional engineer who

designed the attachment system.

Citation Policy

C. 1926.1437(n). Unless otherwise specified in the citation policy of

this section, when requirements of 1926.1437(n) are not met,

consider citations of the specific requirements of 1926.1437(n).

D. 1926.1437(n)(1)(iii). When a land crane/derrick is used on a means

of flotation and the employer did not meet the requirements of

1926.1437(n)(3) through (n)(4), consider a citation for

1926.1437(n)(1)(iii) Describe in the AVD the provisions of

1926.1437(n)(3) and (n)(4) that were not met.

E. 1926.1437(n)(5). Consider a citation of 1926.1437(n)(5) when the

railing, cabling, corralling, or attachment system used to secure a

land crane/derrick on its means of flotation does not meet the

requirements of one of the options described in 1926.1437(n)(5)(i)

through (n)(5)(iv) or the exception provided under

1926.1437(n)(6), for floating auxiliary cranes.

If the employer attempted to use one of the options or the

exception allowed under 1926.1437(n)(5) but there was some

deficiency in its implementation, describe the option implemented

and how it was deficient in the AVD of the citation.

F. 1926.1437(n)(5)(v). When the employer attempted to use one of

the options or the exception allowed under 1926.1437(n)(5), and

there was some deficiency in its implementation, or the option was

not developed by a marine engineer/registered professional

engineer, consider citing 1926.1437(n)(5).

G. 1926.1437(n)(6). When an auxiliary crane is used on the deck of a

floating crane/derrick and the employer cannot demonstrate

implementation of a plan and procedures that meet the

requirements of 1926.1437(n)(6), consider a citation for

1926.1437(n)(5).

If an employer made efforts to meet the requirements of

1926.1437(n)(6) but there was some deficiency in its

implementation, the AVD for the violation of 1926.1437(n)(5)

must describe the provisions under 1926.1437(n)(6) that the

employer failed to satisfy.

1926.1438. Overhead and Gantry Cranes.

This section clarifies what standards apply to overhead and gantry cranes

used in construction. Overhead and gantry cranes have requirements based

on the type of installation.

1. 1926.1438(a). Permanently Installed Overhead and Gantry Cranes.

Subdivision CC does not apply to permanently installed overhead

and gantry cranes used in construction. Instead, the substantive

requirements of 1910.179 (Overhead and gantry cranes) apply,

except for 1910.179(b)(1) (the general industry scope section was

excluded in the rulemaking to prevent confusion).

Inspection Guidance

A. First, determine whether an overhead or gantry crane is

permanently installed as part of the facility. Permanently installed

overhead and gantry cranes are considered an irremovable part of

the property and are primarily used in general industry but may, in

rare situations, be used for construction activities. They are

generally not easy to assemble or disassemble and are usually

physically fastened to a building.

On the other hand, most overhead and gantry cranes used for

construction activities are not permanently installed. They tend to

be easier to assemble or disassemble. For example, if an employer

merely attaches the base of a gantry crane to a concrete slab for use

in constructing the building, it is not permanently installed.

When the overhead or gantry crane is permanently installed, refer

to 1910.179 and the interpretative materials on that standard for

guidance and citation policy.

Citation Policy

B. 1910.179 and 1926.1438(a). If an employer fails to satisfy the

requirements of 1910.179 in a construction operation involving a

permanently installed overhead or gantry crane, consider a citation

under the applicable provisions of that standard. Group each

applicable citation for a violation of 1910.179 with a citation for

1926.1438(a).

2. 1926.1438(b). Overhead and Gantry Cranes That Are Not

Overhead and gantry cranes:

This term includes overhead/bridge cranes, semigantry, cantilever

gantry, wall cranes, storage bridge cranes, launching gantry cranes,

and similar equipment, irrespective of whether it travels on tracks,

wheels or other means.

Permanently Installed in a Facility.

For overhead and gantry cranes used in construction not permanently

installed in a facility, 1926.1438(b) lists the applicable requirements

from Subdivision CC, 1910.179, and ASME standards incorporated

by reference.

• 1926.1438(b)(2)(i). All sections of Subdivision CC apply,

except: 1926.1415 (Safety devices), 1926.1416 (Operational

aids), 1926.1426 (a) through(c) (Free fall and controlled load

lowering), 1926.1435 (Tower cranes), 1926.1436 (Derricks),

and 1926.1440 (Sideboom cranes).

• 1926.1438(b)(2)(ii). This section specifies the portions of

1910.179 applicable to non-permanently installed overhead and

gantry cranes (see 1926.1438(b)(2)(ii) for a list of applicable

sections), and modifies some of those requirements. Section

1910.179(b)(2), which incorporates by reference design and

construction requirements for overhead and gantry cranes from

ANSI B30.2.0-1967, applies only to equipment manufactured

before September 19, 2001.

• 1926.1438(b)(2)(iii). Several sections of ASME B30.2-2005

apply to equipment manufactured on or after September 19,

2001 (see 1926.1438(b)(2)(iii) for a list of applicable sections).

These ASME sections discuss foundations and anchorages,

crane runways, welded construction of cranes, service

platforms, bumpers, rail sweeps, hoist control braking, lifting

magnets, drums, ropes, hooks, and warning devices.

Inspection Guidance

A. If the employer is using a non-permanently installed overhead or

gantry crane, verify the equipment’s date of manufacture to

determine whether 1910.179(b)(2) or the ASME provisions listed

in 1926.1438(b)(2)(iii) applies. Ask to examine any documentation

the employer has that includes the equipment’s date of

manufacture.

B. Refer to the applicable sections in this directive, 1910.179 and

available guidance, and if applicable, incorporated ASME

provisions for guidance on whether the standards applicable to

non-permanently installed overhead and gantry cranes have been

met.

Citation Policy

C. Subdivision CC. If the employer violates a Subdivision CC

standard applicable to non-permanently installed overhead and

gantry cranes, consider a citation under the applicable provision of

that standard.

D. 1910.179 and 1926.1438(b)(2)(ii)(A). If the employer violates

1910.179 as incorporated by 1926.1438(b)(2)(ii)(A) in a

construction operation, consider a citation under the applicable

provision of 1910.179. Group each applicable citation for a

violation of 1910.179 with a citation for 1926.1438(b)(2)(ii)(A).

E. 1910.179(b)(2) and 1926.1438(b)(2)(ii)(C). If the employer

violates the ANSI B30.2.0-1967 requirements incorporated by

reference in 1910.179(b)(2) in a construction operation involving a

non-permanently installed overhead or gantry crane manufactured

before September 19, 2001, consider a citation under

1910.179(b)(2). Group each applicable citation for a violation of

1910.179 with a citation for 1926.1438(b)(2)(ii)(C). List the

applicable ANSI provisions violated in the AVD.

F. 1926.1438(b)(2)(iii). Consider a citation under 1926.1438(b)(2)(iii)

if the employer has violated one of the ASME standards

incorporated by reference in this standard. List the specific ASME

provisions violated in the AVD.

1926.1439. Dedicated pile drivers—Supplemental Requirements.

Dedicated pile drivers are included in the list of specific equipment

covered by Subdivision CC in 1926.1400(a), even though pile drivers are

not always traditional cranes. Pile drivers were included in Subdivision

CC due to certain mechanical similarities that present hazards similar to

those associated with traditional cranes. In addition to the requirements of

Subdivision CC, pile-driving equipment continues to be covered by

1926.603 (Pile driving equipment) in cases where the equipment in

question is not designed to function exclusively as a pile driver. Note that

vibratory pile drivers are not dedicated as they can be used to extract piles.

1. 1926.1439(a). Section 1926.1439 addresses the supplemental

requirements for dedicated pile drivers, as defined in 1926.1401. All

sections in Subdivision CC apply to dedicated pile drivers except

those exempted in 1926.1439(b) through (d).

Inspection Guidance

A. Request documentation such as the manufacturer’s specifications

or operating manual to determine whether the equipment is

Dedicated pile driver: A machine that is designed to function

exclusively as a pile driver. These machines typically have the

ability to both hoist the material that will be pile-driven and to pile

drive that material. Dedicated pile drivers include, but are not

limited to, hydraulic and diesel hammers, post pounders, and other

similar equipment. 1926.1401.

designed to function exclusively as a pile driver. If the equipment

is a dedicated pile driver, only consider citations for violations

under the applicable provisions of Subdivision CC. If the

equipment has other uses, including, but not limited to continuous

flight augering or drilling, then only violations of the applicable

provisions of Subdivision O, 1926.600, should be considered.

Citation Policy

B. Where there is a failure to meet requirements under Subdivision

CC in operations involving a dedicated pile driver, consider

citations under the specific section or sections violated, but do not

cite to 1926.1439(a).

2. 1926.1439(b). This section exempts requirements under

1926.1416(d)(3) (Anti two-blocking device).

Citation Policy:

A. 1926.1416. In operations involving a dedicated pile driver, if there

is a failure to meet requirements under 1926.1416 other than

1926.1416(d)(3), cite to the specific section or sections violated,

but not 1926.1439(b), except as provided below in the citation

policy for 1926.1439(c).

3. 1926.1439(c). This section limits requirements under

1926.1416(e)(4) (load weighing and similar devices) to dedicated

pile drivers manufactured after November 8, 2011.

Section 1926.1416 contains the requirements for operational aids

which are required on equipment covered by Subdivision CC. Section

1926.1416(e)(4) contains requirements for load weighing and similar

devices for equipment manufactured after March 29, 2003 with a rated

capacity over 6,000 pounds, and for articulating cranes manufactured

after November 8, 2011. The requirements of 1926.1416(e)(4) are

therefore only applicable to dedicated pile drivers with a rated capacity

over 6,000 pounds manufactured after November 8, 2011. See the

Safety Devices and Operational Aids sections in this directive for

additional guidance regarding citations of 1926.1416(e)(4).)

Inspection Guidance

A. If the employer is using a dedicated pile driver, verify the date of

manufacture for the equipment and the rated capacity. Ask the

employer for any documentation which includes this information.

B. For dedicated pile drivers manufactured after November 8, 2011

with a rated capacity over 6,000 pounds, determine whether the

equipment has at least one of the devices required by

1926.1416(e)(4) (load weighing device, load moment (or rated

capacity) indicator, or load moment (or rated capacity) limiter), or

whether a temporary alternative measure is properly in place

consistent with 1926.1416(b) and (e).

Citation Policy

C. 1926.1439(c). For dedicated pile drivers manufactured on or

before November 8, 2011, citations should not be issued for failure

to meet the requirements under 1926.1416 related to the equipment

required in 1926.1416(e)(4). For dedicated pile drivers

manufactured after November 8, 2011, consider a citation

grouping 1926.1439(c ) with:

• 1926.1416(a) for failure to have the operational aid

required in 1926.1416(e)(4);

• 1926.1416(b) for operating the equipment when the

equipment required in 1926.1416(e)(4) is not functioning

properly and a temporary alternative measure is not in

place; or

• 1926.1416(a) or (b) and 1926.1416(e) for failing to replace

non-functioning or missing equipment in 1926.1416(e)(4)

as required by 1926.1416(e) within the 30 calendar day

time frame.

When grouping citations, consider the most specific applicable

provision or provisions in 1926.1416 with 1926.1439(c). Review

and apply the citation policy provided in the Safety Devices and

Operational Aids sections in this directive for additional guidance

regarding citations for the requirements of 1926.1416.

4. 1926.1439(d). This section exempts requirements under 1926.1433

(design, construction, and testing), except 1926.1433(d) and (e).

Citation Policy

A. 1926.1433(d) and (e). In operations involving a dedicated pile

driver, when considering a citation for failure to meet requirements

under 1926.1433(d) and (e), cite to the specific section or sections

violated, but not to 1926.1439(d). Citations should not be issued

for operations involving a dedicated pile driver for non-compliance

with other requirements in 1926.1433.

1926.1440. Sideboom Cranes—Supplemental Requirements.

1. 1926.1440(a). Section 1926.1440 addresses the supplemental

requirements for sideboom cranes, as defined in 1926.1401. All

sections in Subdivision CC apply to sideboom cranes except for

1926.1402 (Ground conditions), 1926.1415 (Safety devices),

1926.1416 (Operational aids), and 1926.1427 (Operator qualification

and certification).

Inspection Guidance

A. Although operators do not have to be certified under 1926.1427,

they must be trained in accordance with 1926.1430(c), and

operator qualification requirements under ASME B30.14-2004,

section 14-3.1.2 incorporated by 1926.1440(c)(10). If there are

doubts about the operator’s qualifications, verify that the operator

satisfies the requirements of B30.14-2004 14-3.1.2.

Citation Policy

B. When considering a citation for failure to meet requirements under

Subdivision CC in operations involving a sideboom crane,

consider citations under the specific section or sections violated,

but not under 1926.1440(a).

2. 1926.1440(b). Section 1926.1426 (Free fall and controlled load

lowering) applies to sideboom cranes, except that the requirements

of 1926.1426(a)(2)(i) are excluded, and sideboom cranes in which

the boom is designed to free fall (i.e., live booms) are only permitted

if they were manufactured before November 8, 2010. The

prohibition in 1926.1426(a)(2)(i) applies to equipment manufactured

on or after October 31, 1984. See the Free Fall of the Boom and

Controlled Load Lowering section in this directive for additional

inspection guidance regarding citations for requirements under

1926.1426.

Inspection Guidance

A. If the employer is using a sideboom crane with a boom that is

designed to free fall, verify the date of manufacture for the

equipment. Ask the employer to examine any documentation

Sideboom Crane: a track-type or wheel-type tractor having a boom mounted

on the side of the tractor, used for lifting, lowering or transporting a load

suspended on the load hook. The boom or hook can be lifted or lowered in a

vertical direction only.

The limited requirements for sideboom cranes in Subdivision CC, compared

to the requirements for other types of cranes, reflects the specific

construction and limited functions of a sideboom crane. Sideboom cranes are

limited in capacity and require relatively simple operation.

which includes this information.

Citation Policy

B. 1926.1426(b) and 1926.1440(b). If the employer is using a

sideboom crane that is designed to free fall that is manufactured

after November 8, 2010, and the employer has not satisfied one or

more of the requirements listed in 1926.1426(b)(1) through (4),

consider a citation. Because 1926.1440(b) replaces the

requirements of 1926.1426(a)(2)(i), 1926.1440(b) and the

requirement in 1926.1426(b)(1) through (4) that was violated

should be grouped. Cite to the most specific applicable provision

in 1926.1426(b)(1) through (4).

If an employer is using a sideboom crane manufactured prior to

November 8, 2010 and none of the circumstances described in

1926.1426(a)(1) are present, do not cite 1926.1426(b)(1) through

(4).

Review and apply the citation policy provided in the Free Fall of

the Boom and Controlled Load Lowering section in this directive

for additional inspection guidance regarding citations for

requirements under 1926.1426.

3. 1926.1440(c). Sideboom cranes mounted on wheel or crawler

tractors must also meet the requirements of ASME B30.14-2004

listed at 1926.1440(c).

Inspection Guidance

A. To evaluate compliance with this provision, consult ASME B30.14-

2004 standards and applicable guidance materials.

Citation Policy

B. 1926.1440(c). Consider a citation for violation of this section if the

employer has not complied with one of the applicable ASME

requirements incorporated in this standard. When considering a

citation, cite to the provision or provisions in 1926.1440(c)(1)

through (12) containing the most specific applicable requirements.

For example, for a violation of an incorporated ASME standard in

ASME 14-1.7.6, General Requirements—Clutch and Brake

Protection, which is incorporated at 1926.1440(c)(8), cite the

employer for a violation of 1926.1440(c)(8). List the specific

ASME provision or provisions violated in the AVD.

Each provision in 1926.1440(c)(1) through (12) incorporates a

section or portion of a section of ASME provisions. It is possible

that the employer may have violated multiple provisions within

one of these incorporated ASME sections. If so, consider only one

citation, under the provision of 1926.1440(c)(1) through (12)

which incorporates the violated ASME section, but list each ASME

provision that the employer violated in the AVD.

If the employer has violated ASME provisions under different

ASME sections that are incorporated into 1926.1440(c)(1) through

(12) under different standards, consider citations for each standard.

For example, for a violation of ASME standard 14-1.7.6, General

Requirements—Clutch and Brake Protection which is incorporated

at 1926.1440(c)(8), and a violation of ASME standard 14-3.1.3,

Operator Qualifications, which is incorporated at

1926.1440(c)(10), consider citations of 1926.1440(c)(8) and

1926.1440(c)(10).

1926.1441. Equipment With a Rated Hoisting/Lifting Capacity of 2,000 Pounds or Less.

This section specifies the requirements for employers using equipment

with a maximum rated hoisting/lifting capacity of 2,000 pounds or less.

These provisions cover equipment that is designed and built by the

employer, as well as manufactured equipment.

1. 1926.1441(a). Section 1926.1441(a) lists the other sections in

Subdivision CC which apply to this equipment. All sections of

Subdivision CC apply, except:

• 1926.1404 (Assembly/Disassembly – General requirements)

• 1926.1405 (Assembly/Disassembly – Additional requirements

for dismantling of booms and jibs)

• 1926.1412 (Inspections)- The employer must only comply with

(c): post assembly inspection.

• 1926.1415 (Safety devices)

• 1926.1416 (Operational aids)

• 1926.1417 (Operation)

• 1926.1424 (Work area control)

• 1926.1425(c)(3) (Qualified rigger)

• 1926.1427 (Operator qualification and certification)

• 1926.1428 (Signal person qualifications)

• 1926.1429 (Qualification of maintenance and repair

employees)

• 1926.1430 (Training)

• 1926.1431 (Hoisting personnel)

• 1926.1433 (Design, construction and testing)

• 1926.1439 (Dedicated pile drivers)

• 1926.1440 (Sideboom cranes)

Inspection Guidance

A. Before proceeding with an inspection related to these provisions,

determine the rated capacity of the crane/derrick. Request

documentation, such as a manufacturer’s manual, to verify the

capacity. Ensure that any load charts are consistent with this

capacity. If the crane or derrick has a rated capacity of 2,000

pounds or less, the requirements of 1926.1441 apply, as well as the

sections of Subdivision CC listed in 1926.1441(a).

B. Refer to the applicable sections in this directive for guidance on

whether the standards applicable to this equipment, listed in

1926.1441(a), have been met.

Citation Policy

C. Subdivision CC. For the Subdivision CC provisions listed in

1926.1441(a) that are applicable to equipment with a maximum

rated hoisting/lifting capacity of 2,000 pounds or less, when the

provisions are not met, consider citations under the provision

within that standard containing the most specific applicable

requirement.

2. 1926.1441(b). This section contains requirements for assembly and

disassembly of equipment with a maximum rated hoisting/lifting

capacity of 2,000 pounds or less. Under 1926.1441(b)(1), employers

must comply with the requirements of 1926.1441(b)(2) through (3)

in addition to the requirements of 1926.1403,

Assembly/disassembly— selection of manufacturer or employer

procedures and 1926.1406, Assembly/ disassembly—employer

procedures. See the applicable sections of this directive for

additional guidance regarding citations for violations of requirements

of 1926.1403 and 1926.1406. Under 1926.1441(b)(2), election of

components and configuration of equipment which affect the

capacity or safe operation of the equipment must comply with one of

the following:

• manufacturer’s instructions, recommendations, limitations and

specifications;

• if the manufacturer’s instructions are unavailable, the written

approval of an RPE who is familiar with the type of equipment;

• the equipment modification requirements of 1926.1434. See

Inspection Guidance and Citation Policy provided in the

Modifications section in this directive for additional guidance

regarding violations of requirements of 1926.1434.

• In addition, a post-assembly inspection must be completed

after an assembly in accordance with the requirements of

1926.1412(c) (1926.1441(b)(2)(ii)). See inspection guidance

and citation policy for 1926.1412(c) in this directive for

additional guidance regarding citations under 1926.1412(c).

Finally, under 1926.1441(b)(3), the employer must also comply with

any manufacturer prohibitions during assembly and disassembly.

Inspection Guidance

A. Determine what instructions or approval processes were followed

during assembly in the selection of components and the

configuration of the equipment.

B. Request manufacturer instructions and other written material from

the manufacturer. Determine whether the employer complied with

the instructions and prohibitions listed in these documents.

C. Verify by interview with the employer, operator, and other

personnel that manufacturer prohibitions were complied with

during the assembly or disassembly.

D. If an RPE gave written approval for the selection of components or

configuration of the equipment, interview personnel to determine

whether manufacturer instructions were available. This can include

physical written instructions or instructions accessible

electronically through use of an on-site computer. If the

instructions were unavailable, ask why.

E. When the manufacturer’s instructions, recommendations,

limitations, and specifications are unavailable:

• Request to review the written RPE approval and examine

the documentation for consistency with the components

and/or configuration.

• If possible, verify the RPE’s credentials. Interview the

employer, operator, or if possible, the RPE to verify

whether the RPE was familiar with the equipment.

F. If the employer followed the modification requirements of

1926.1434, determine whether those requirements were followed.

• Ensure that written approval was obtained from the

manufacturer or an RPE who is a qualified person with

respect to the equipment involved, consistent with

1926.1434.

• Ensure that load chart procedures, instruction manuals, and

instruction plates/tags/decals are revised as necessary in

accord with any modification.

G. Determine whether a post-assembly inspection was conducted and

whether the inspection requirements of 1926.1412(c) for a post-

assembly inspection have been met. Request documentation of the

inspection.

• If it appears that the manufacturer’s or RPE’s instructions

under 1926.1434(b)(2)(i) have not been complied with, ask

the employer whether those aspects were inspected, and if

so, why they were not followed.

• Refer to 1926.1412, Inspections, in this directive for

guidance related to the requirements of 1926.1412(c).

Citation Policy

H. 1926.1403 and 1926.1406. When considering a citation under

1926.1403 or 1926.1406 for equipment with a maximum rated

hoisting/lifting capacity of 2,000 pounds or less, consider citations

under the provision or provisions within that standard containing

the most specific applicable requirements. Do not cite

1926.1441(b)(1). Noncompliance under 1926.1441(b)(2) through

(3) should be cited under those standards as discussed below.

I. 1926.1441(b)(2)(i). Consider a citation for violation of

1926.1441(b)(2)(i) if the selection of components or configuration

of equipment violates both 1926.1441(b)(2)(i)(A) and

1926.1441(b)(2)(i)(B).

• If this is a modification which did not satisfy the

requirements of 1926.1434 (Modifications) incorporated by

1926.1441(b)(2)(i)(B), consider a citation which groups the

violation under 1926.1434 with 1926.1441(b)(2)(i).

J. 1926.1412(c) and 1926.1441(b)(2)(ii). Consider a citation

grouping 1926.1412(c) (Post-assembly inspection) and

1926.1441(b)(2)(ii) if the employer failed to complete a post-

assembly inspection at all or failed during that inspection to ensure

compliance with 1926.1434(b)(2)(i).

K. 1926.1412(c). If the employer completed a post-assembly

inspection that ensured compliance with 1926.1434(b)(2)(i), but

that inspection did not satisfy specific inspection requirements

under 1926.1412(c), consider a citation of the provision within

1926.1412(c) containing the most specific requirements that the

employer failed to satisfy. Do not consider a citation under

1926.1441(b)(2)(ii) in this situation.

L. 1926.1441(b)(3). Consider a citation of this standard if the

employer failed to comply with applicable manufacturer

prohibitions. List the prohibitions which the employer failed to

comply with in the AVD.

3. 1926.1441(c)(1-2). Section 1926.1441(c) contains requirements for

operation of equipment with a maximum capacity of 2,000 pounds or

less. Under 1926.1441(c)(1), the employer must comply with all

manufacturer procedures, including procedures for use with

attachments. If the manufacturer’s procedures are not available, the

employer must develop procedures in accord with the requirements

in 1926.1441(c)(2)(i) through (iii):

• The employer must develop and ensure compliance with all

procedures necessary for safe operation.

• The procedures must be developed by a qualified person.

• Employer-developed capacity procedures must be signed

by an RPE familiar with the equipment.

Inspection Guidance

A. Determine what operating procedures, if any, the employer is

following. If the operating procedures are employer-developed,

determine why the employer did not use manufacturer’s operating

procedures or whether these were unavailable.

B. Read the procedures and determine by observation and interview

whether operations appear consistent with these procedures. If

procedures are not in writing, ask the employer and/or operator to

explain what the operating procedures are.

C. Verify that the operator understands the procedures to be followed

and that the employer is enforcing these procedures.

D. If the operating procedures were developed by the employer, rather

than the manufacturer, determine:

• Who was responsible for developing the operating

procedures.

• Who was responsible for developing the procedures for

operational controls.

• What were that person’s qualifications, experience, and

authority.

• Whether that person meets the definition of a qualified

person.

• Whether procedures related to capacity are in writing and

signed by an RPE.

• Whether the RPE was familiar with the equipment and

what the RPE’s experience was. If possible, verify the

RPE’s credentials.

Citation Policy

E. 1926.1441(c)(1). Consider a citation of this standard if the

employer is not following the manufacturer’s operating

procedures. This includes circumstances in which the employer is

following employer-developed operating procedures, even though

the manufacturer’s operating procedures are available.

F. 1926.1441(c)(2). If the manufacturer’s operating procedures are

unavailable and:

• 1926.1441(c)(2)(i), if the employer has not developed or

ensured compliance with all procedures necessary for the

safe operation of the equipment or attachments, consider a

citation of this provision;

• 1926.1441(c)(2)(ii), if the procedures for operational

controls were not developed by a qualified person, consider

a citation of this provision; or

• 1926.1441(c)(2)(iii), if the capacity procedures were not

developed and signed by an RPE who was familiar with the

equipment, consider a citation of this provision.

Consider grouping multiple citations under 1926.1441(c)(2)(i-iii)

for penalty purposes, where appropriate.

4. 1926.1441(c)(3). The employer must ensure that the load chart is

available at the control station, and that procedure documents listed

in 1926.1441(c)(3)(ii) are readily available for the operator’s use. If

rated capacities are only available electronically, and they become

unavailable due to electronic failure, the operator must immediately

cease operations or follow safe shut-down procedures until this

information is restored.

Inspection Guidance

A. Verify that the load chart is located at the control station.

B. Verify that the documentation listed in 1926.1441(c)(3)(ii) is

readily available to the operator. Use 1926.1441(c)(3)(ii) as a

checklist, and ask the operator to point out the location of each of

the items.

C. Determine whether rated capacities are available electronically. If

electronic failure occurred, determine by observation and interview

whether operations were ceased in accord with

1926.1441(c)(3)(iii).

Citation Policy

D. 1926.1441(c)(3)(i). Consider a citation of this provision if the load

chart is unavailable or not located at the control station.

E. 1926.1441(c)(3)(ii). Consider a citation of this provision if any of

the documentation listed is unavailable or is not readily available

to the operator. Consider only one citation under this standard,

even if multiple items listed are unavailable or not readily

available. Note the specific deficiency in the AVD.

F. 1926.1441(c)(3)(iii). Consider a citation of this provision if rated

capacities are only electronically available, they become

unavailable because of electronic failure, and the employer fails to

cease operations immediately or with safe shut-down procedures,

or resumes operations before the rated capacity information is

available.

5. 1926.1441(d). This section contains two requirements for safety

devices and operational aids on equipment with a maximum rated

hoisting/lifting capacity of 2,000 pounds or less. These provisions

apply in place of the requirements of 1926.1415 and 1926.1416.

Sections 1926.1415 and 1926.1416 specifically exclude equipment

with a capacity of 2,000 pounds or less.

• Under 1926.1441(d)(1), all safety devices and operational aids

that are part of the original equipment must be maintained in

accordance with the manufacturer’s procedures. Note that this

requirement applies to anti two-block devices if it is part of the

original equipment for equipment manufactured on or before

November 8, 2011.

• Equipment manufactured after November 8, 2011 must have

an anti two-block device meeting the requirements of

1926.1416(d)(3) or must be designed so that if a two-block

situation occurs, no damage or load failure will occur. See

1926.1416, Safety Devices and Operational Aids, in this

directive for additional guidance regarding the application of

1926.1416(d)(3). Follow the citation policy in this section for

anti-two block devices used with equipment with a maximum

rated hoisting/lifting capacity of 2,000 pounds or less.

Inspection Guidance

A. Review the manufacturer’s procedures and determine safety

devices must be on the equipment, and whether these devices are

being maintained in accord with manufacturer’s procedures.

B. Ask the operator to point out all safety devices that are listed in the

manufacturer’s procedures.

C. Verify the date of manufacture for the equipment to determine

whether 1926.1441(d)(2) applies. Ask the employer for any

documentation which includes this information.

D. If the equipment is manufactured after November 8, 2011, ask the

operator or employer to point out the anti-two block device or to

explain what measures are in place to mitigate a two-block

situation. Ask for manufacturer documentation and confirm that

the device meets the requirements of this section, and, if

applicable, 1926.1416(d)(3).

Citation Policy

E. 1926.1441(d)(1). Consider a citation of this standard if a safety

device or operational aid that is part of the equipment is not being

maintained in accord with the manufacturer’s procedures. The

AVD should specify the device or devices which are not being

properly maintained.

F. 1926.1441(d)(2). Consider a citation of this standard if equipment

with a maximum capacity of 2,000 pounds or less manufactured

after November 8, 2011 has no anti two-block device and is not

designed so that if a two-block situation occurred, no damage or

load failure would occur.

G. 1926.1416(d)(3)(i-iii) and 1926.1441(d)(2). Consider a citation

grouping these standards if equipment with a maximum capacity of

2,000 pounds or less manufactured after November 8, 2011 had an

anti two-block device listed under 1926.1416(d)(3), but the device

was not working, and the proper temporary alternative measure

was not in place, or was in place but it is seven calendar days after

the deficiency occurred and the exception in 1926.1416(d) for

ordered parts does not apply. Consider a citation grouping

1926.1441(d)(2) with the provision containing the most specific

requirements in 1926.1416(d)(3)(i) through (iii).

6. 1926.1441(e). This section contains training requirements which

apply in place of the requirements of 1926.1427, Operator

Qualification and Certification. Under 1926.1441(e), employers

must train each operator on the safe operation of the type of

equipment being used.

Inspection Guidance

A. Determine if the operator has been properly trained by the

employer.

• Observe operations and interview the operator to see

whether the operator has knowledge and understanding of

the equipment. For example, ask the operator to

demonstrate her or his ability to use the operator’s manual,

load chart, and other written materials in the cab. Ask

questions about the equipment and the functions being

performed.

• Interview the operator to determine whether he or she was

trained and what the training included.

• Ask the employer for the training program for operators. If

there is no written program, interview the employer to

determine whether the program is adequate to meet the

requirements of this section.

Citation Policy

B. 1926.1441(e). Consider a citation of this standard if the employer

did not train each operator on the safe operation of the equipment

being used.

7. 1926.1441(f). This section contains training requirements which

apply in place of the requirements of 1926.1428, Signal person

qualifications. Under 1926.1441(f), employers must train each signal

person in proper signal use.

Inspection Guidance

A. Determine if there are indications that the signal person may not

have been properly trained by the employer.

• If operations are ongoing, observe whether the signal

person appears to understand how the crane and load will

move in response to various signals that the signal person

gives.

• Interview the signal person to determine whether he or she

was trained and what that training involved, including what

kinds of signals he or she was trained to give. Interview the

operator to ensure that the operator understood the signals

being given.

B. Ask the employer for the training program for signal persons. If

there is no written program, interview the employer to determine

whether the program is adequate to meet the requirements of this

section.

Citation Policy

C. 1926.1441(f). Consider a citation of this standard if the employer

did not train each signal person in the proper use of signals.

8. 1926.1441(h). Equipment must be inspected in accord with

manufacturer procedures.

Inspection Guidance

A. Review the manufacturer’s procedures to determine what

inspections, if any, are required. Interview personnel to determine

whether inspections are being conducted and with what frequency.

Request all inspection records.

Citation Policy

B. 1926.1441(h). Consider a citation of this standard if the

manufacturer procedures require certain inspections, and the

employer has failed to perform them.

9. 1926.1441(j). Equipment with a maximum rated hoisting/lifting

capacity of 2,000 pounds or less may not be used to hoist personnel.

Inspection Guidance

A. Determine whether equipment is being used to hoist personnel.

Citation Policy

B. 1926.1441(j). Consider a citation for violation of this standard if

the equipment covered by this standard is being used to hoist

personnel.

10. 1926.1441(k). The employer must ensure that the equipment is

ensure that if the employer builds a small crane or derrick, that the

design of such cranes is sufficient to protect employees.

Inspection Guidance

A. Determine by interview and observation whether equipment was

manufacturer should provide evidence that a qualified engineer

designed the equipment. If equipment is designed and built at the

jobsite, ask the employer for evidence that a qualified engineer

designed the equipment.

Citation Policy

B. 1926.1441(k). Consider a citation of this standard if the equipment

covered by this standard was not designed by a qualified engineer.

Appendix A – (Reserved)

Appendix B — Sample Crane Inspection Questionnaire

(Courtesy of OSHA Region VI (revised))

MOBILE CRANE INSPECTION CHECKLIST

Annual Inspection Report (1412(d)) ⁯ Monthly Inspection Report (1412(e))

Ground Condition Survey (1402(a)) Crane Installation Plan (Cribbing)

Load Chart Available (1417(b)) ⁯ Load Chart Location:

Qualified Rigger (1404(r)/1425(b)) Name:

Qualified Signalmen (1428) ⁯ Name:

Certified/Qualified Operator (1427) Name:

PPE for Rigger: PPE for Signal:

CRANE SET-UP

Overhead Power Lines (1407-11) Voltage: Distance:

Outriggers Extended % Extended:

Boom Length: Boom Angle:

Crane Level (1412(d)) Jib Used:

RIGGING/WIRE ROPE

Wire Rope Inspection (1413) ⁯ Rigging Inspection (251(a)) ⁯

Wire Rope Type (1414): Rigging Used:

Defective/damaged rigging or wire rope used:

How long in use:

Defect/damage occurred when:

LOAD INFORMATION

Rigger/Signalmen Crane Operator

# of Lifts: # of Lifts:

Weights lifted: 1) Weights lifted: 1)

2) 2)

3) 3)

4) 4)

5) 5)

Verify weights of lifts from Trucking Manifests, Weights/Specification on equipment, etc.

Check load charts and determine if lifts done in accord with Manufacturer’s specs (include

weight of rigging and all attachments used during lifts)

CRANE EQUIPMENT

Anti Two-block device (1416(d)) ⁯ Load Weighing Device (1416(e))

⁯

Hydraulic Oil Leaks (1412(d)) Damaged components/parts (1412(d))

⁯

Description of Safety Devices:

Damaged/defective Devices:

Devices out of service:

Date of damage/defect:

Sketch the Crane Set-up with Unloading and Landing Area below:

EFFECTIVE DATE: This directive is effective immediately and will remain in effect until

canceled or superseded.

This directive provides guidance for enforcement of the Cranes in Construction Standard. The

agency’s application of this policy in any particular matter will, however, depend upon all

relevant circumstances. For purposes of providing information and guidance, this directive

explains the provisions of the standard, which does not amend the standard or create new legal

duties, obligations or defenses.

History: Issued 04-16-2015, Revised 03-22-2016 and 10-28-2016 and 8-xx-2022