[Federal Register Volume 60, Number 49 (Tuesday, March 14, 1995)]
[Proposed Rules]
[Pages 13782-13831]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-5826]




[[Page 13781]]

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Part II





Department of Labor





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Occupational Safety and Health Administration



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29 CFR Part 1910, et al.



Powered Industrial Truck Operator Training; Proposed Rule

Federal Register / Vol. 60, No. 49 / Tuesday, March 14, 1995 / 
Proposed Rules 
[[Page 13782]] 

DEPARTMENT OF LABOR

Occupational Safety and Health Administration

29 CFR Parts 1910, 1915, 1917, and 1918

[Docket No. S-008]


Powered Industrial Truck Operator Training

AGENCY: Occupational Safety and Health Administration, Labor.

ACTION: Proposed rule.

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SUMMARY: The Occupational Safety and Health Administration (OSHA) is 
proposing to revise the general industry safety standard for training 
powered industrial truck operators and to add equivalent training 
requirements for the maritime industries. The existing standard in part 
1910 requires that only trained operators who are authorized to do so 
can operate powered industrial trucks and that methods of training be 
devised. The proposed training requirements would mandate the 
development of a training program that would base the amount, type, 
degree, and sufficiency of training on the knowledge of the trainee and 
the ability of the vehicle operator to acquire, retain, and use the 
knowledge and the skills and abilities that are necessary to safely 
operate the truck. A periodic evaluation of each operator's performance 
would be required. Refresher or remedial training also would be 
required, based primarily on unsafe operation, an accident or near 
miss, or deficiencies found in a periodic evaluation of the operator.

DATES: Written comments and requests for a hearing on this proposed 
rule must be postmarked by July 12, 1995.

ADDRESSES: Comments, information, and hearing requests should be sent 
in quadruplicate to: Docket Office, Docket No. S-008; Room N2624; U.S. 
Department of Labor, Occupational Safety and Health Administration; 200 
Constitution Avenue NW; Washington, DC 20210 (202-219-7894).

FOR FURTHER INFORMATION CONTACT: Mr. Richard P. Liblong, Office of 
Information and Consumer Affairs, U.S. Department of Labor, 
Occupational Safety and Health Administration, Room N3641; 200 
Constitution Avenue NW; Washington, DC 20210 (202-219-8148).

SUPPLEMENTARY INFORMATION:

I. Background

a. The General Industry Standard

    On May 29, 1971 (36 FR 10466), OSHA adopted some of the existing 
Federal standards and national consensus standards as OSHA standards 
under the procedures described in section 6(a) of the Occupational 
Safety and Health Act (OSH Act) (29 U.S.C. 655, et.al.). Section 6(a) 
permitted OSHA to adopt, without rulemaking, within 2 years of the 
effective date of the Act, any established Federal standard or national 
consensus standard.
    One of the consensus standards that was adopted under the 6(a) 
procedure was the American National Standards Institute (ANSI) B56.1-
1969 Safety Standard for Powered Industrial Trucks. Among the 
provisions adopted from that standard was the operator training 
requirement codified at 29 CFR 1910.178(l), which states:

    Only trained and authorized operators shall be permitted to 
operate a powered industrial truck. Methods of training shall be 
devised to train operators in the safe operation of powered 
industrial trucks.

    In that consensus standard, a powered industrial truck is defined 
as a mobile, power-driven vehicle used to carry, push, pull, lift, 
stack, or tier material. One truck may be known by several different 
names. Included are vehicles that are commonly referred to as high lift 
trucks, counterbalanced trucks, cantilever trucks, rider trucks, 
forklift trucks; high lift trucks, high lift platform trucks; low lift 
trucks, low lift platform trucks; motorized hand trucks, pallet trucks; 
narrow aisle rider trucks, straddle trucks; reach rider trucks; single 
side loader rider trucks; high lift order picker rider trucks; 
motorized hand/rider trucks; or counterbalanced front/side loader lift 
trucks. Excluded from the scope of the OSHA standard are vehicles used 
for earth moving or over-the-road haulage.

b. The Maritime Safety Standards

    In 1958, Congress amended the Longshoremen's and Harbor Workers' 
Compensation Act (LHWCA) (44 Stat. 1424; 33 U.S.C. 901 et seq.) to 
provide maritime employees with a safe work environment. The amendments 
(Pub. L. 85-742, 72 Stat. 835) required employers covered by the LHWCA 
to ``furnish, maintain and use'' equipment and to establish safe 
working conditions in accordance with regulations promulgated by the 
Secretary of Labor. Two years later, the Labor Standards Bureau (LSB) 
issued the first set of safety and health regulations for longshoring 
activities as 29 CFR part 9 (25 FR 1565, February 20, 1960). These 
regulations only covered longshoring activities taking place aboard 
vessels.
    Passage of the OSH Act (84 Stat. 1590; 29 U.S.C. 650 et seq.) 
authorized the Secretary of Labor to adopt established Federal 
standards issued under other statutes, including the LHWCA, as 
occupational safety and health standards under the OSH Act. 
Accordingly, the Secretary adopted the existing shipyard employment and 
longshoring regulations and recodified these rules as 29 CFR parts 1915 
and 1918 (39 FR 22074, June 19, 1974). Since the OSH Act 
comprehensively covered all private employment, the longshoring 
standards also applied to shoreside cargo-handling operations. (See 29 
CFR 1910.16.) The requirements for the use of mechanically powered 
vehicles used aboard vessels were codified at Sec. 1918.73. These 
provisions did not include a requirement for the training of vehicle 
operators.
    In addition, in accordance with established policy codified at 29 
CFR 1910.5(c)(2), OSHA has applied its general industry regulations to 
shoreside activities not covered by its older longshoring rules. 
Citations also have been issued under section 5(a)(1) (the General Duty 
Clause) of the OSH Act (84 Stat. 1593; 29 U.S.C. 654), since some 
serious hazards are not addressed by the requirements of part 1910, 
1915, or 1918.
    On July 5, 1983 (48 FR 30886), OSHA published its final standard 
for Marine Terminals. These rules were intended to address the 
shoreside segment of marine cargo handling. Section 1917.27 Personnel 
required that:

    (a) Qualifications of machinery operators.
    (1) Only those employees determined by the employer to be 
competent by reason of training or experience, and who understand 
the signs, notices and operating instructions and are familiar with 
the signal code in use shall be permitted to operate a crane, winch 
or other power operated cargo handling apparatus, or any power 
operated vehicle, or give signals to the operator of any hoisting 
apparatus.
    Exception: Employees being trained and supervised by a 
designated person may operate such machinery and give signals to 
operators during training.
    (2) No employee known to have defective uncorrected eyesight or 
hearing, or to be suffering from heart disease, epilepsy, or other 
ailments which may suddenly incapacitate him shall be permitted to 
operate a crane, winch or other power-operated cargo handling 
apparatus or a power-operated vehicle.

    The Marine Terminal Standards also had requirements for powered 
industrial [[Page 13783]] trucks at Sec. 1917.43 Powered industrial 
trucks. However, these requirements were for the operation, maintenance 
and outfitting of those vehicles and did not expand upon the training 
requirements found at Sec. 1917.27.
    On June 2, 1994, OSHA published in the Federal Register (59 FR 
28594) a Notice of Proposed Rulemaking (NPRM) for the revision of the 
longshoring and marine terminals standards.
    That NPRM did not propose to amend significantly the aforementioned 
training requirements of Sec. 1917.27 or to incorporate a training 
requirement for longshoring (on-board vessel) operations.

c. Updated Consensus Standard

    Since promulgation of the OSHA standards, the consensus standard 
(ANSI B56.1) has undergone four complete revisions (dated 1975, 1983, 
1988 and 1993). The current consensus standard (Ex. 3-1) states:

    4.18  Operator qualifications.
    Only trained and authorized persons shall be permitted to 
operate a powered industrial truck. Operators of powered industrial 
trucks shall be qualified as to visual, auditory, physical, and 
mental ability to operate the equipment safely according to 4.19 and 
all other applicable parts of Section 4.
    4.19  Operator training.
    4.19.1  Personnel who have not been trained to operate powered 
industrial trucks may operate a truck for the purposes of training 
only, and only under the direct supervision of the trainer. This 
training should be conducted in an area away from other trucks, 
obstacles, and pedestrians.
    4.19.2  The operator training program should include the user's 
policies for the site where the trainee will operate the truck, the 
operating conditions for that location, and the specific truck the 
trainee will operate. The training program shall be presented to all 
new operators regardless of previous experience.
    4.19.3  The training program shall inform the trainee that:
    (a) The primary responsibility of the operator is to use the 
powered industrial truck safely following the instructions given in 
the training program.
    (b) Unsafe or improper operation of a powered industrial truck 
can result in: death or serious injury to the operator or others; 
damage to the powered industrial truck or other property.
    4.19.4  The training program shall emphasize safe and proper 
operation to avoid injury to the operator and others and prevent 
property damage, and shall cover the following areas:
    (a) Fundamentals of the powered industrial truck(s) the trainee 
will operate, including:
    (1) characteristics of the powered industrial truck(s), 
including variations between trucks in the workplace;
    (2) similarities to and differences from automobiles:
    (3) significance of nameplate data, including rated capacity, 
warnings, and instructions affixed to the truck;
    (4) operating instructions and warnings in the operating manual 
for the truck, and instructions for inspection and maintenance to be 
performed by the operator;
    (5) type of motive power and its characteristics;
    (6) method of steering;
    (7) braking method and characteristics, with and without load;
    (8) visibility, with and without load, forward and reverse;
    (9) load handling capacity, weight and load center.
    (10) stability characteristics with and without load, with and 
without attachments;
    (11) controls-location, function, method of operation, 
identification of symbols;
    (12) load handling capabilities; forks, attachments;
    (13) fueling and battery charging;
    (14) guards and protective devices for the specific type of 
truck;
    (15) other characteristics of the specific industrial truck.
    (b) Operating environment and its effect on truck operation, 
including:
    (1) floor or ground conditions including temporary conditions;
    (2) ramps and inclines, with and without load;
    (3) trailers, railcars, and dockboards (including the use of 
wheel chocks, jacks, and other securing devices;
    (4) fueling and battery charging facilities;
    (5) the use of ``classified'' trucks in areas classified as 
hazardous due to risk of fire or explosion, as defined in ANSI/NFPA 
505;
    (6) narrow aisles, doorways, overhead wires and piping, and 
other areas of limited clearance;
    (7) areas where the truck may be operated near other powered 
industrial trucks, other vehicles, or pedestrians;
    (8) use and capacity of elevators;
    (9) operation near edge of dock or edge of improved surface;
    (10) other special operating conditions and hazards which may be 
encountered.
    (c) Operation of the powered industrial truck, including:
    (1) proper preshift inspection and approved method for removing 
from service a truck which is in need of repair;
    (2) load handling techniques, lifting, lowering, picking up, 
placing, tilting;
    (3) traveling, with and without loads; turning corners;
    (4) parking and shutdown procedures;
    (5) other special operating conditions for the specific 
application.
    (d) Operating safety rules and practices, including:
    (1) provisions of this Standard in Sections 5.1 to 5.4 address 
operating safety rules and practices;
    (2) provisions of this Standard in Section 5.5 address care of 
the truck;
    (3) other rules, regulations, or practices specified by the 
employer at the location where the powered industrial truck will be 
used.
    (e) Operational training practice, including;
    (1) if feasible, practice in the operation of powered industrial 
trucks shall be conducted in an area separate from other workplace 
activities and personnel;
    (2) training practice shall be conducted under the supervision 
of the trainer;
    (3) training practice shall include the actual operation or 
simulated performance of all operating tasks such as load handling, 
maneuvering, traveling, stopping, starting, and other activities 
under the conditions which will be encountered in the use of the 
truck.
    4.19.5  Testing, Retraining, and Enforcement.
    (a) During training, performance and oral and/or written tests 
shall be given by the employer to measure the skill and knowledge of 
the operator in meeting the requirements of the Standard. Employers 
shall establish a pass/fail requirement for such tests. Employers 
may delegate such testing to others but shall remain responsible for 
the testing. Appropriate records shall be kept.
    (b) Operators shall be retrained when new equipment is 
introduced, existing equipment is modified, operating conditions 
change, or an operator's performance is unsatisfactory.
    (c) The user shall be responsible for enforcing the safe use of 
the powered industrial truck according to the provisions of this 
Standard.

    Note: Information on operator training is available from such 
sources as powered industrial truck manufacturers, government 
agencies dealing with employee safety, trade organizations of users 
of powered industrial trucks, public and private organizations, and 
safety consultants.

(For an explanation of why OSHA decided to propose a somewhat different 
standard, see section entitled Summary and Explanation of the Proposed 
Standard, below.)
    Since 1971, the consensus committee has adopted other volumes for 
additional types of vehicles that fall within the broad definition of a 
powered industrial truck. Specifically, requirements have been adopted 
for guided industrial vehicles, rough terrain forklift trucks, 
industrial crane trucks, personnel and burden carriers, operator 
controlled industrial tow tractors, and manually propelled high lift 
industrial trucks. This rulemaking would adopt training requirements 
for all types of powered industrial trucks regardless of their usage 
and the industry in which they are operating.

d. Petitions and Requests

    On March 15, 1988, the Industrial Truck Association (ITA) 
petitioned OSHA to revise its standard requiring the training of 
powered industrial truck operators (Ex. 3-2). The petition contained 
suggested language for a proposed requirement along with a model 
operator training program by which compliance with the recommended 
requirement could be met. OSHA responded to the petition on April 8, 
1988, stating that work on the [[Page 13784]] revision of the OSHA 
powered industrial truck operator training requirement would begin as 
soon as other priority projects were completed.
    In addition to the petition, other interested persons have 
frequently asked questions about training operators of powered 
industrial trucks, such as:
    <bullet> What constitutes the necessary and sufficient training of 
forklift operators?
    <bullet> How can one ensure that all forklift operators have been 
trained?
    <bullet> What testing, if any, should be conducted as part of the 
training?
    <bullet> Should the prior experience of a newly hired employee be 
considered as fulfilling part or all of the training requirement or 
totally fulfilling the employer's obligation to train that employee?
    Some interested persons have suggested that OSHA develop a 
standardized training course or at least review and comment on or 
endorse various training courses, programs, agenda, or outlines. Others 
have suggested that OSHA license or certify all powered industrial 
truck operators to attest to their ability to properly operate powered 
industrial trucks. These concerns also were considered in the 
development of the proposed rulemaking. OSHA is proposing to amend the 
current powered industrial truck operator training requirements for 
general industry and to adopt the same requirement for the maritime 
industries.

e. Reasons for the Proposal

    As discussed in the benefits discussed below and in the Regulatory 
Impact Analysis, powered industrial truck accidents cause approximately 
85 fatalities and 34,900 serious injuries each year. It is estimated 
that approximately 20 to 25 percent are at least in part caused by 
inadequate training.
    As just discussed, the ITA and others have requested that OSHA 
improve its training requirement for powered industrial truck 
operators. ANSI has substantially upgraded its recommended training 
requirements. OSHA preliminarily concludes that upgrading the training 
requirements for powered industrial truck operators will substantially 
reduce a significant risk of death and injury from untrained operators 
driving powered industrial trucks.

II. The Powered Industrial Truck

    The term powered industrial truck is defined in the American 
Society of Mechanical Engineers, ASME B56.1 (formerly the ANSI B56.1 
standard) as a ``mobile, power propelled truck used to carry, push, 
pull, lift, stack, or tier material.''
    There are presently approximately 822,830 powered industrial trucks 
in use in American industry. This number was generated using the 
available information on truck shipments of powered industrial trucks 
and the percentage of market that ITA members control. This information 
was provided OSHA by the Industrial Truck Association.
    The Industrial Truck Association stated in conversations with OSHA 
representatives that it considers the average useful life of a powered 
industrial truck to be 8 years. The 8-year life cycle has been used 
throughout the preparation of this proposed rule and in the formulation 
of the Preliminary Regulatory Impact Analysis. The vehicle 
manufacturers also estimate that there are, on average, 1.5 operators 
for each industrial truck. A search of the available literature 
indicates that this number has not been disputed. OSHA believes that 
this number is a fair assessment of the number of powered industrial 
operators since many employers (particularly small employers) have one 
operator per truck and the vehicle is used only during one shift per 
day whereas other vehicles are used by multiple operators during 
multiple shifts.
    Powered industrial trucks are classified by the manufacturers 
according to their individual characters.
    There are seven classes of powered industrial trucks:

    Class 1--Electric Motor, Sit-down Rider, Counter-Balanced Trucks 
(Solid and Pneumatic Tires).
    Class 2--Electric Motor Narrow Aisle Trucks (Solid Tire).
    Class 3--Electric Motor Hand Trucks or Hand/Rider Trucks (Solid 
Tires).
    Class 4--Internal Combustion Engine Trucks (Solid Tires).
    Class 5--Internal Combustion Engine Trucks (Pneumatic Tires).
    Class 6--Electric and Internal Combustion Engine Tractors (Solid 
and Pneumatic Tires).
    Class 7--Rough Terrain Fork Lift Trucks (Pneumatic Tires).
    Each of these different types of powered industrial trucks has its 
own unique characteristics, and inherent hazards. To maximize the 
effectiveness of the training, it must be somewhat unique for each type 
vehicle. For example, an operator of a high lift rider truck must have 
an understanding of the basics of the vehicle's stability (including 
those factors which affect that stability), the need to not overload 
the vehicle, and the need to operate the vehicle according to 
established rules (such as not using the vehicle to elevate employees 
who are standing on its forks). On the other hand, order picker trucks 
elevate the operator along with a platform that is used to hold 
material destined for storage or retrieval from storage in high 
stacking racks or bins. The platforms on these trucks are not 
completely enclosed by railings, toe boards, or other similar fall 
protection devices to prevent an operator from falling off an elevated 
platform. To be protected, the operator must wear a body harness or 
belt with a lanyard affixed to the mast of the vehicle or the overhead 
guard. Therefore, training for employees who use order picker trucks 
must emphasize that the use of the body belt or harness and lanyard is 
essential whenever the operator is aloft.
    Powered industrial trucks may be powered by gasoline, propane, 
diesel or liquified petroleum gas engines or by electric motors. Each 
of the basic powerplants (except propane) and their associated 
components (such as mufflers on internal combustion engines and 
switches and wiring on electric trucks) may be upgraded and the entire 
truck may be approved by a nationally recognized testing laboratory for 
operation in certain classified hazardous areas. These classified 
hazardous areas are those parts of a plant, factory or other workplace 
where there exists or may exist concentrations of flammable gases or 
vapors, combustible dust, or easily ignitible flyings or fibers so that 
the risk of fire or explosion is increased. The current OSHA general 
industry standard for powered industrial trucks contains basic 
descriptions of the types of approved powered industrial trucks and the 
various classes, divisions, and groups of classified hazardous areas 
and some of the materials whose presence would cause classification of 
those areas. However, the number of substances whose presence causes 
the hazards of fire and/or explosion have increased greatly since 
promulgation of the OSHA standards. (For additional information on the 
properties and classifications of materials, see the National Fire 
Protection Association (NFPA) 505-1992 Fire Safety Standard for Powered 
Industrial Trucks Including Type Designation, Areas of Use, 
Maintenance, and Operation.) (Ex. 3-3).
     In addition to the general requirements for truck operation, such 
as vehicle stability and load carrying capability, training must be 
provided for unusual situations, such as training operators to handle 
asymmetrical loads when their work includes this activity. The only way 
that unusual loads may be moved safely with some powered 
[[Page 13785]] industrial trucks is for the operator to understand and 
apply the principles of moments and stability of the vehicle. (These 
principles are explained in more detail in the part of this preamble 
entitled ``Powered Industrial Truck Hazards.'') With many powered 
industrial trucks, the capacity is given as some weight at some load 
center [usually 24'' (61 cm)]. If the operator does not understand that 
the load center is the distance from the vertical face of the forks to 
the center of gravity of the load and that loads are usually 
symmetrical, then the operator may pick up a load incorrectly. If the 
operator understands that the capacity of the vehicle decreases as the 
load center increases, then some asymmetrical or off-center loads may 
be safely picked up and moved using a high lift truck. Other type 
trucks, such as low lift platform trucks, can handle asymmetrical or 
off-center loads with minimum danger to an employee because the load is 
not raised far above the ground. However, because these type trucks are 
unable to raise loads far above the ground, they are of little or no 
use when working in a workplace that has high stacking racks or bins 
where powered industrial trucks must be able to deposit and retrieve 
loads from considerable distances above the ground or floor.
    Powered industrial trucks also are used to move large items or many 
smaller items about the workplace without the restrictions that 
generally exist with other mechanical material handling equipment. 
Other material handling equipment, like overhead cranes or conveyors, 
are restricted to moving material along a particular, predetermined 
pathway. A powered industrial truck, on the other hand, may operate 
along any aisleway or passageway provided it is wide enough to 
accommodate the vehicle and can support the vehicle and its load. Once 
one of these trucks has left an area, there is no remaining obstruction 
to the flow of employee or vehicular traffic, as would normally occur 
when fixed equipment is used.
    Powered industrial trucks may be operated in and among employees 
with little or no inconvenience to the employees. Although it may be 
convenient to operate a powered industrial truck around employees, this 
can be dangerous, particularly when the employees may be hidden from 
view (for example, when they are working behind stored material.)
    These trucks may operate on almost any type surface, from smooth 
and level floors to rocky, uneven ground, provided they were 
manufactured to operate on that type floor or ground and the surface 
does not have an excessive slope. Different type trucks are designed 
and manufactured to operate in various work environments. Not only may 
powered industrial trucks be used for moving material about the 
workplace, high lift trucks are used to raise loads up to 30 or 40 feet 
above the floor and deposit the material on a rack, mezzanine or other 
elevated location and then retrieve and lower the material. Many trucks 
were designed specifically to operate in restricted areas such as 
narrow aisles and passageways.
    Because powered industrial trucks are intended to accomplish 
specific tasks in a particular manner, their use is restricted. For 
example, a powered industrial truck that was designed to operate in a 
restricted space (such as in a narrow aisle or passageway) must be 
manufactured with a narrow track (the distance between the two wheels 
on the same axle or at the same end of the vehicle). In many cases, the 
maximum width of a truck must be significantly less than the minimum 
width of the area in which it is operated since the vehicle will 
normally have to make turns so that loads may be deposited in and 
retrieved from racks or bins which are adjacent to the aisle or 
passageway. Narrow aisle trucks cannot be safely operated on a floor or 
the ground that is not smooth.
    Another design criterion, the maximum lateral dimension of the 
vehicle, usually dictates where the various components of the vehicle, 
such as the engine or motor, the transmission and the seat for the 
operator, will be placed. The placement of these components may be 
higher or lower than their most desirable locations. The placement of 
the various components at a higher point of the vehicle than is 
desirable, which is the usual case, raises the center of gravity of the 
entire vehicle, thereby making the vehicle less stable. The greater the 
distance that the center of gravity of the vehicle and its load is 
above the ground, the less stable the vehicle (if all other factors 
remain constant). A more stable design of a powered industrial truck 
would require a wider track. This would allow installing the engine, 
transmission, and other components at a lower level of the truck, 
thereby lowering the center of gravity of the vehicle.
    Because the powered industrial truck is a motor vehicle, its 
operation is similar to the automobile and some of its hazards are the 
same as those experienced during operation of the automobile. Like the 
automobile, the internal combustion engine powered industrial truck 
will move when the gas pedal depressed, and stop when the brake is 
applied. Some internal combustion engine and electric powered 
industrial trucks have both the accelerator and brake functions 
combined in one pedal or other controller providing restriction to 
movement of the vehicle when no pressure is applied to the pedal (or 
when the controller is in the neutral position). As pressure is applied 
to the pedal or other controller, the brake is gradually released, 
until at a given point of controller travel, the brake is completely 
disengaged. At this point, the vehicle can coast without restriction 
from the brake. Finally, as the pedal or other controller is actuated 
further, the motor or engine is engaged and the vehicle moves under the 
power supplied by the engine or motor. The vehicle then moves 
progressively faster as the pedal or controller is further actuated. 
Clearly good training is needed when design characteristics may reduce 
stability, limit vision or cause non-uniform methods of control.
    Powered industrial trucks also may come equipped with, or can be 
modified to accept, attachments that allow movement of odd shaped 
materials or permit the truck to carry out tasks that may not have been 
envisioned when the truck was designed and manufactured. Many of these 
attachments may be added to or installed on the vehicle by the dealer 
or by the employer. For example, there are powered industrial truck 
attachments for grasping barrels or drums of material. Some of these 
attachments will not only grasp a barrel or drum but allow the vehicle 
operator to rotate the barrel or drum to empty the vessel or lay it on 
its side. Another attachment that looks like a long spike may be 
positioned within rolled material, such as carpeting. This attachment 
allows the movement of material without causing damage to the material 
being handled. All of these attachments may adversely effect the 
ability of a powered industrial truck to perform its primary function 
or may cause the vehicle to be used safely only under limited operating 
conditions, such as under reduced speed or load-carrying capacity. OSHA 
recognizes that certain attachments may limit the safe use of the 
vehicle. To ensure that modifications or additions do not adversely 
affect the safe use of the vehicle, OSHA requires at 
Sec. 1910.178(b)(4) that:

    (4) Modifications and additions which affect capacity and safe 
operation shall not be performed by the customer or user without the 
manufacturer's prior written approval. Capacity, operation, and 
maintenance instruction plates, tags, or decals shall be changed 
accordingly.

    [[Page 13786]] When the use of specialized attachments restricts 
the use of the powered industrial truck or when the truck is used to 
lift people, it is essential that operator training must include 
instruction on the safe use of the vehicle so that the operator knows 
and understands the restrictions or limitations that are imposed upon 
the operation of the vehicle by the utilization of those attachments.
    Another type of attachment that alters the basic use of the vehicle 
and presents unique hazards is an overhead hoist attachment. It is made 
up of a rail (like an I-beam) that is attached to the truck and 
supports an overhead hoist. It is very easy for an operator to pick up 
a load with an overhead hoist attachment while the load is close to the 
vehicle and, without realizing it, exceed the moment of the vehicle by 
moving the load further from the body of the vehicle. In order to 
operate this type attachment successfully, the operator must have 
specific training in the use of this attachment, including training in 
calculating the maximum load at different points in front of the 
vehicle and instruction in the causes of longitudinal vehicle tipover 
and its prevention.
    In an attempt to improve the load carrying capability of the 
vehicle, some people add extra counterweights to powered industrial 
trucks. Although this will increase the ability of the vehicle to 
resist longitudinal tipover when the vehicle is overloaded, additional 
weight imposes extra stresses on the vehicle and its components. The 
added stresses also can cause changes in the driving characteristics of 
the vehicle and premature failure of the truck and its components, 
sometimes with catastrophic effects. Training is needed so that 
operators avoid creating those hazards.

III. Powered Industrial Truck Hazards

    Powered industrial trucks are used in all industries. Their 
principle utility lies in the fact that either a large number of 
objects confined in a large box, crate or other container or large 
objects may be moved about the workplace with relative ease. Since 
powered industrial truck movement is controlled by the operator and is 
not restricted by the frame of the machine or other impediments, 
virtually unrestricted movement of the vehicle about the workplace is 
possible.
    The hazards that are commonly associated with powered industrial 
trucks may not exist or be as pronounced for every type, make or model 
vehicle. For example, the hazard of tipping over the vehicle due to 
unstable operation does not exist (except in the most extraordinary 
circumstance) with the low lift platform truck, the motorized hand 
truck or the motorized hand/rider truck because each of these trucks 
does not allow the raising of the load to a point that will cause the 
vehicle to become unstable. On the other hand, the counterbalanced 
rider truck and the order picker truck allow the load to be raised very 
high, causing the vehicle to become less stable as the load is raised.
    Each type truck has different hazards associated with its 
operation. For example, the chance of a falling load accident occurring 
when the truck is a sitdown, counterbalanced rider truck is much 
greater than when the vehicle is a motorized hand truck because the 
height that the load can be raised on the sitdown rider truck is much 
greater than the hand truck.
    Correspondingly, the method or means to prevent the accident or to 
protect the employee from injury may be different with different type 
trucks. When a rider truck is involved in a tipover accident, the 
operator has the opportunity to remain in the operator's position on 
the vehicle during the tipover, thereby minimizing the potential for 
injury. In most cases, the operator of a rider truck is injured in a 
tipover accident when he or she attempts to jump clear of the vehicle 
when it begins to tip over. Because the natural tendency of the 
operator is to jump downward, he or she lands on the floor or ground 
and is then crushed by the overhead guard of the vehicle. Consequently, 
the operator should be trained to stay with the vehicle during a 
lateral tipover. On the other hand, when an order picker tips over with 
the platform in a raised position, generally the operator should 
attempt to jump clear of the vehicle, and should be trained 
accordingly.
    Because the powered industrial truck is a motor vehicle, its 
operation is similar to the automobile and some of its hazards are the 
same as those experienced during operation of the automobile. Both the 
automobile and the powered industrial truck are subject to some of the 
same hazards such as contacting both fixed and movable objects 
(including employees) and tipping over.
    Additionally, there are hazards associated with operating the 
vehicle at an excessive rate of speed and the hazard of skidding on a 
wet or otherwise slippery ground or floor. Driving a powered industrial 
truck at an excessive rate of speed may result in the loss of control 
of the vehicle, causing the vehicle to skid, tipover, or fall off a 
loading dock or other elevated walking or working surface. Failure to 
maintain control of the vehicle also may cause the vehicle to strike an 
employee or some stored material, causing the material to topple and 
possibly injure another employee. In these cases, training which 
reinforces driver training is necessary so that the operator will react 
properly to minimize the hazard to him or herself and to other 
employees.
    Although there are many similarities between the automobile and the 
powered industrial truck, there are also many differences. Here greater 
training is required so that operators are aware of the differences. 
Some of the characteristics of a powered industrial truck that have a 
pronounced effect upon its operation and safety that are outside their 
auto driving experience are its ability to change its dynamic 
stability, to raise, lower and tilt loads, and to steer with the rear 
wheels while powered by the front wheels. The capability to move loads 
upwards, downwards, forwards and backwards causes a shift of the center 
of gravity of the vehicle and can adversely affect the overall 
stability. When a load is raised or moved away from the vehicle, the 
vehicle's longitudinal stability is decreased. When the load is lowered 
or moved closer to the vehicle, its longitudinal stability is 
increased.
    To mitigate the hazards of stability caused by the movement of the 
material being handled, OSHA has seven provisions that address proper 
operation of a powered industrial truck. These provisions are 
Sec. 1910.178 (n)(15), (o)(1), (o)(2), (o)(3), (o)(4), (o)(5), and 
(o)(6). These provisions specify:

    (15) While negotiating turns, speed shall be reduced to a safe 
level by means of turning the hand steering wheel in a smooth, 
sweeping motion. Except when maneuvering at a very low speed, the 
hand steering wheel shall be turned at a moderate, even rate.
    (O) Loading. (1) Only stable or safely arranged loads shall be 
handled. Caution shall be exercised when handling off-center loads 
which cannot be centered.
    (2) Only loads within the rated capacity of the truck shall be 
handled.
    (3) The long or high (including multiple-tiered) loads which may 
affect capacity shall be adjusted.
    (4) Trucks equipped with attachments shall be operated as 
partially loaded trucks when not handling a load.
    (5) A load engaging means shall be placed under the load as far 
as possible; the mast shall be carefully tilted backward to 
stabilize the load.
    (6) Extreme care shall be used when tilting the load forward or 
backward, particularly when high tiering. Tilting forward with load 
engaging means elevated shall be prohibited except to pick up a 
load. An elevated load shall not be tilted forward except when the 
[[Page 13787]] load is in a deposit position over a rack or stack. 
When stacking or tiering, only enough backward tilt to stabilize the 
load shall be used.

Knowledge of, and adherence to these principles, as well as the other 
requirements of the OSHA standard, are essential for safe load handling 
and vehicle operation. Training is needed in these requirements.
    Each powered industrial truck has a different ``feel'' that makes 
its operation slightly different from the operation of other trucks. 
The workplaces where these trucks are being used also present 
particular hazards. For these reasons, a uniform or consistent set of 
hazards for all industrial trucks and their operation cannot be 
delineated. The hazards addressed in this section relating to the use 
of powered industrial trucks have been generalized rather than being 
make or model specific. For this reason, development of a single 
``generic'' training program which fits all powered industrial trucks 
and their operation is impractical. In developing an effective training 
program, there are three major areas of concern regarding the hazards 
of the operation of powered industrial trucks. The three major groups 
of hazards of powered industrial trucks and their operation are hazards 
associated with the particular make and model truck, hazards of the 
workplace, and general hazards that apply to the operation of all or 
most powered industrial trucks.
    There are other hazards caused by improper operation of a powered 
industrial truck. Among these hazards are: Falling loads caused by 
overloading or improperly loading powered industrial trucks (including 
carrying unbalanced or unstable loads); the vehicle falling from 
platforms, curbs, trailers or other surfaces on which the vehicle is 
operating; driving the vehicle while the operator has obstructed view 
in the direction of travel or the operator not paying full attention to 
the operation of the powered industrial truck; and the vehicle being 
operated at an excessive rate of speed. OSHA has identified several 
accidents that have occurred when an employee other than the operator 
is ``given a ride'' on a powered industrial truck. Most trucks were 
designed and are intended to allow only the operator to ride on the 
vehicle. The carrying of other persons may result in an accident when 
that other person either falls from the vehicle or contacts some 
obstruction when the vehicle is driven in proximity to that 
obstruction. Finally, powered industrial truck accidents have occurred 
because the vehicle was not maintained (most commonly, employees being 
overcome by excessive carbon monoxide exposure) or when the powered 
industrial truck was not being maintained properly.
    Each of these hazards may be more or less consequential based upon 
the method of operation of the powered industrial truck, the loads 
being carried, and the workplace where the vehicle is being operated. 
Truck operators must be trained to recognize unsafe conditions and how 
to react to them when they occur.
    Several features of a powered industrial truck contribute either 
directly or indirectly to the existence or severity of the hazards of 
the vehicle. Some of the factors, that would either create or enhance 
the hazards of the particular truck, are the placement of the critical 
components of the vehicle, the age of the vehicle, and the manner in 
which the vehicle is operated and maintained.
    There are other hazards related to the use of powered industrial 
trucks that are caused or enhanced by the characteristics of the 
workplace. Those hazards include the following: operating powered 
industrial trucks on rough, uneven or unlevel surfaces; operating 
powered industrial trucks with unusual loads; operations in hazardous 
(classified) areas; operation in areas where there are narrow aisles; 
where there is pedestrian traffic; or where employees are working in or 
adjacent to the path of travel of the powered industrial truck.
    The operation of a powered industrial truck presents hazards not 
only to the operator, but also endangers other employees working with 
or around the vehicle. As explained in the section entitled ``Accident, 
injury and other data'', below, employees other than operators have 
been injured or killed in accidents involving powered industrial 
trucks. Proper training can reduce accidents resulting from the above 
causes.

IV. Accident, Injury and Other Data

    This section of the preamble contains a discussion of the reports, 
studies and other sources of data and information that were analyzed to 
determine the magnitude and extent of the problems that powered 
industrial truck operator training can mitigate.
    A. The Bureau of Labor Statistics (BLS) maintains a database 
entitled, Census of Fatal Occupational Injuries (CFOI). The CFOI is a 
compilation of information on fatal work injuries that occurred in the 
50 States and the District of Columbia. The CFOI uses death 
certificates, workers compensation reports and other Federal and State 
records to gather pertinent information. Work relationships are 
verified by using at least two source documents.
    The program collects information on the workers and the 
circumstances surrounding each fatality. The data are compiled on an 
annual basis.
    In April, 1994, BLS published a booklet entitled, Fatal Workplace 
Injuries in 1992: A Collection of Data and Analysis (Ex. 3-4). In this 
booklet, there was an article written by Gary A. Helmer entitled, 
Fatalities Involving Forklifts and Other Powered Industrial Carriers, 
1991-1992. This report contains information contained in the CFOI on 
170 fatal powered industrial truck accidents. Table 1 lists the 
classifications of those powered industrial truck accidents.

    Table 1.--Classification of Forklift Fatalities, CFOI, 1991-1992    
------------------------------------------------------------------------
                How accident occurred                    No.     Percent
------------------------------------------------------------------------
Forklift overturned.................................        41        24
Forklift struck something, or ran off dock..........        13         8
Worker pinned between objects.......................        19        11
Worker struck by material...........................        29        17
Worker struck by forklift...........................        24        14
Worker fell from forklift...........................        24        14
Worker died during forklift repair..................        10         6
Other accident......................................        10         6
                                                     -------------------
      Total.........................................       170       100
------------------------------------------------------------------------
Source: Bureau of Labor Statistics, Fatal Workplace Injuries in 1992, A 
  Collection of Data and Analysis, Report 870, April 1994.              

    B. Measuring the Effectiveness of an Industrial Lift Truck Safety 
Training Program.
    In 1984, H. Harvey Cohen and Roger C. Jensen, working under 
contract with the National Institute for Occupational Safety and Health 
(NIOSH), published an article in the Journal of Safety Research (Fall 
1984, Vol. 15, No. 3, pps. 125-135) entitled, Measuring the 
Effectiveness of an Industrial Lift Truck Safety Training Program (Ex. 
3-5). The article contained an analysis of two studies that were 
undertaken to measure objectively the effects of safety training of 
powered industrial truck operators.
    This article detailed the results of an experiment that was 
conducted to evaluate the value of training powered industrial truck 
operators using a behavioral (work) sampling procedure to obtain 
objective data about work practices that correlate with injury risk. 
There were two separate studies conducted in this experiment, one at 
each of two similar warehouses. The [[Page 13788]] studies that 
comprised the experiment were conducted to assess the value of training 
and the influence of post training actions on the safety performance of 
workers.
    There were 14 criteria used in measuring the performance of the 
trainees. Each of the criterion was selected because it was (a) 
measurable, (b) frequently observable, (c) capable of being reliably 
observed, (d) related to accident occurrence, and (e) amenable to 
corrective action through training. The fourteen criteria observed 
were: Warns other operators, yields to trucks, warns co-workers, yields 
to co-workers, sounds horn at blind intersection, slows down at blind 
intersection, looks at blind intersection, looks in direction of 
travel, maintains moderate speed, avoids quick starts/changes of 
direction, keeps all body parts within truck, maintains forks in proper 
position, maintains balanced load, and drives properly in reverse. Each 
observation of the operation of the powered industrial trucks resulted 
in all criteria being evaluated (either correctly performed, 
incorrectly performed, or not observed). An error rate for each 
criterion was calculated by dividing the number of incorrect behaviors 
observed by the total behaviors observed.
    Each of the groups of employees were subdivided into smaller 
groups. These groups were then given training at different times during 
the study and, in some cases, additional feedback following the 
training.
    The first study was conducted in four phases. The pretraining phase 
was conducted with none of the operators having received special 
training. During the second phase, the control group remained 
untrained, the treatment group received training, and the treatment-
plus-feedback group received training and also received performance 
feedback. In the third phase, the control group received training so 
that all three groups had received training but only the training-plus-
feedback group received performance feedback. The retention phase 
started three months after the end of the third phase of the study and 
the performance of all operators was evaluated without regard to their 
previous categorization.
    The error rates of the various groups during the different phases 
of the study are given in Table 2.

                                     Table 2.--Summary of Mean Error Rates<SUP>1                                     
                                                  [Warehouse 1]                                                 
----------------------------------------------------------------------------------------------------------------
                                                                   Post-training   Post-training                
                      Group                        Pre-training          1               2           Retention  
----------------------------------------------------------------------------------------------------------------
Control.........................................             .34             .32             .23                
Training........................................             .33             .27             .26                
Training + Feedback.............................             .35             .27             .25                
All operators...................................             .34             .27             .25             .19
----------------------------------------------------------------------------------------------------------------
The mean error rate is defined in the study as the number of incorrect behaviors observed divided by the total  
  behaviors observed.                                                                                           
                                                                                                                
Note: The mean error rate for all operators began at .34, that is, in 34 percent of the observed criteria, the  
  tasks observed and evaluated were performed improperly.                                                       
                                                                                                                
Source: Measuring the Effectiveness of Industrial Lift Truck Safety Training Program, Journal of Safety         
  Research, Vol. 15, No. 3, Fall 1984, pp. 125-135.                                                             

    Following the initial training (post-training 1), all three groups 
showed a decrease in their mean error rates with the training-plus-
feedback group showing the largest decrease (from .35 to .27, a 23 
percent decrease) followed by the training-only (from .33 to .27, an 18 
percent decrease) and the control group (from .34 to .32, a 6 percent 
decrease). The reduction in the error rate of the control group from 
the pre-training to the post-training 1 phase of the study was 
attributed to a peer modeling influence, i.e., the control group 
operators were copying the behavior of their previously trained 
counterparts. Toward the end of the post-training 1 phase, the error 
rates of the three groups converged, suggesting that the effects of the 
training program had begun to wear off. Observers also noted that some 
behaviors were being compromised when employees of different knowledge 
levels were required to interact, particularly in conflict avoidance 
situations such as signaling and yielding at blind intersections.
    During the post-training 2 phase of the study, all groups improved 
in performance, particularly the original control group. This group's 
performance improved by 28 percent (from a mean error rate of .32 to 
.23). Additional evidence of the effect of peer modeling may be deduced 
from the fact that the performance of the other two groups (the 
training and the training and feedback groups) continued to improve 
although there was no additional instruction given to those groups.
    The retention phase of the study was conducted three months 
following the completion of the post-training 2 phase of the study. It 
was intended to determine the longer term effects of the training. The 
results of this phase of the study indicate an additional improvement 
in the performance of the operators with the mean error rate decreasing 
from .25 to .19, a 24 percent improvement in their performance. The 
total performance gain achieved during this study was a 44 percent 
improvement from the pre-training (baseline) phase through the 
retention phase (from a mean error rate of .34 to a final error rate of 
.19). The data indicate that there were significantly fewer errors at 
each successive phase of the study.
    The second study was conducted in order to verify and extend the 
findings of the first study. Consequently, a modified experimental 
design was used to eliminate the mitigating influence of the untrained 
control group. In the second study, all operators were trained at the 
same time and all received performance feedback. Comparisons were made 
only before and after training. The study was divided into three 
phases: Pre-training, post-training and retention. The retention phase 
of the study was again conducted three months after the conclusion of 
the prior phase. The mean error rates during the three phases of the 
study are given in Table 3.

              Table 3.--Summary of Mean Error Rates Study 2             
------------------------------------------------------------------------
      Pre-training            Post-training              Retention      
------------------------------------------------------------------------
.23....................                .09                      .07     
------------------------------------------------------------------------
Source: Measuring the Effectiveness of Industrial Lift Truck Safety     
  Training Program, Journal of Safety Research, Vol. 15, No. 3, Fall    
  1984, pp. 125-135.                                                    

    Following the training of the vehicle operators, there was a 61 
percent [[Page 13789]] improvement in performance scores (from an error 
rate of .23 to .09). Observation in the retention phase of this study 
showed an additional reduction of 22 percent in mean error rates (from 
.09 to .07 mean error rate). This corresponds closely to the 24 percent 
gain experienced in Study 1. The overall improvement in mean error 
rates between the pre-training error rate (.23) to that achieved during 
the retention phase (.07) was a reduction of 70 percent.
    C. In 1987, Nancy Stout-Wiegand of the National Institute for 
Occupational Safety and Health (NIOSH) published an article in the 
Journal of Safety Research (Winter 1987, Vol 18, No. 4, pp. 179-190) 
entitled, Characteristics of Work-Related Injuries Involving Forklift 
Trucks (Ex. 3-6). This article analyzed powered industrial truck 
injuries reported in two occupational injury databases--the National 
Electronic Injury Surveillance System (NEISS) and the Bureau of Labor 
Statistics' Supplementary Data System (SDS).
    The NEISS database is composed of records from a national sample of 
200 hospital emergency rooms and burn centers handling all types of 
injuries. The NEISS database was originally established by the Consumer 
Product Safety Commission, therefore, the original intent was to gather 
data about accidents involving commercial products rather than 
industrial injuries. The hospital emergency rooms were not necessarily 
those located in industrial areas that would predominantly treat 
industrial injuries and illnesses. The data from this sample are 
weighted to represent the nation in numbers and characteristics of 
traumatic injuries treated in emergency rooms and burn centers. A 
subset of this database--the work related injuries--is maintained by 
NIOSH. Since the NEISS database records only injuries treated in 
emergency rooms and burn centers, traumatic work injuries treated by 
private practitioners or by industry or private clinics are not 
included in the NEISS database. Moreover, chronic injuries, such as 
injuries due to overexertion, are not as likely to be treated in 
emergency room as are acute traumatic injuries, and, therefore are 
probably underrepresented in the NEISS database. Other probable sources 
of error in the calculation of accident rates include misclassification 
of the sources of injury or the agent of injury. For example, if an 
employee fell while elevated on the forks of a powered industrial 
truck, the accident could be misclassified as a fall from elevation 
rather than a fall from a forklift. Similarly, if an employee were 
struck in the head by part of a load which fell from a powered 
industrial truck, the accident could be classified as employee struck 
by falling object. In either case, the accident would have involved a 
powered industrial truck, but in neither case would the accident have 
been classified as one in which a powered industrial truck was 
involved.
    The Supplementary Data System (SDS) database is composed of 
workers' compensation claims for injuries involving lost workdays. 
There were 30 states that provided information to the SDS system. The 
SDS system reports the occupations of injured workers and states where 
the claim was filed. SDS includes only compensable injuries. The 
definition of a compensable injury varies from state to state, with 
some injuries being compensable, for example, if they result in one day 
or more away from work. In other states, the time away from work may be 
up to 7 days before the injury becomes compensable.
    The SDS and NEISS data do not necessarily represent the same 
injuries because injuries treated in emergency rooms do not always 
result in lost workdays. At the same time, compensable injuries 
included in SDS may not have been treated in emergency rooms and thus 
would not be represented in NEISS. However, both of these databases 
represent the more serious injuries involving powered industrial 
trucks, that is, those requiring treatment in emergency rooms and those 
which result in compensable injuries.
    In 1983, the SDS system identified 13,417 workers' compensation 
claims for lost-workday injuries involving powered industrial trucks 
that occurred in 30 states. Assuming that these 30 states represent an 
average of the whole population, then the number of accidents which 
occurred nationally would be five-thirds of the 13,417 accidents, or 
approximately 22,400 compensation claims for lost-workday injuries 
involving powered industrial trucks filed nationally. This number is 
comparable to the estimated 24,000 forklift-related injuries that were 
treated in U.S. emergency rooms in 1983 as reported by NIOSH from 
information gathered by the NEISS system. In 1985, the NEISS system 
figures were used to determine that about 34,000 powered industrial 
truck related accidents were treated in emergency rooms. This is an 
increase of about 39% over a three-year period of time.
    This report also contained a tabulation of the occupations of the 
injured workers. The breakdown of the occupations of those employees 
and the corresponding percentage of the accidents is listed in Table 4.

 Table 4.--Percentage Distribution of Powered Industrial Truck Injuries 
                    by Occupation of Injured Employee                   
------------------------------------------------------------------------
                          Occupation                             Percent
------------------------------------------------------------------------
Professional, technical and kindred workers...................       0.3
Managers and administrators (except farm).....................       2.0
Sales workers.................................................       0.8
Clerical and kindred workers..................................       5.0
Craftsmen and kindred workers.................................    (15.5)
  Mechanics...................................................       6.5
  Foremen.....................................................       3.0
  Other craftsmen and kindred workers.........................       6.0
Operatives (except transportation)............................    (17.5)
  Assemblers..................................................       1.4
  Packers/wrappers............................................       1.1
  Welders.....................................................       0.9
  Miscellaneous/unspecified operatives........................       9.2
  Other operatives............................................       4.9
Transportation equipment oper- atives.........................    (20.8)
  Powered industrial truck operators..........................      12.3
  Truck drivers...............................................       5.5
  Motormen....................................................       1.7
  Deliverymen.................................................       1.2
  Other transportation equipment operators....................       0.1
Laborers (except farm)........................................    (37.3)
  Warehousemen................................................      10.4
  Freight and material handlers...............................       7.3
  Stock handlers..............................................       4.4
  Construction laborers.......................................       2.2
  Miscellaneous/unspecified laborers..........................       8.0
  Other laborers..............................................       1.6
Farmers (managers and laborers)...............................       1.5
Service workers...............................................       1.8
Occupations unspecified.......................................       1.1
------------------------------------------------------------------------
Source: Characteristics of Work-Related Injuries Involving Forklift     
  Trucks, Journal of Safety Research, Vol. 18 No. 4, Winter 1987, pp.   
  179-190.                                                              

    D. Industrial Forklift Truck Fatalities--A Summary.
    The Office of Data Analysis (ODA) of OSHA's Directorate of Policy 
conducted an examination of 53 investigative case files involving 
powered industrial truck fatalities that occurred between 1980 and 1986 
(Ex. 3-7). The results of their analysis is summarized below.

 Table 5.--Office of Data Analysis Type Accidents--53 Powered Industrial
                            Truck Fatalities                            
------------------------------------------------------------------------
                    Type accident                        No.     Percent
------------------------------------------------------------------------
Crushed by tipping vehicle..........................        22        42
Crushed between vehicle and a surface...............        13        25
[[Page 13790]]                                                          
                                                                        
Crushed between two vehicles........................         6        11
Struck or run over by vehicle.......................         5        10
Struck by falling material..........................         4         8
Fall from platform on forks.........................         2         4
Accidental activation of controls...................         1         2
------------------------------------------------------------------------
Source: Industrial Forklift Truck Fatalities--A Summary, Report from    
  Office of Data Analysis, Directorate of Policy, OSHA, dated June 1990.

    The single largest cause of the accidents was vehicle tipovers. 
These tipovers were attributed to the following: (1) The vehicle being 
out of control (speeding, elevated loads, mechanical problems, etc.; 7 
instances--13 percent); (2) the vehicle being run off/over the edge of 
the surface (4 instances--8 percent); (3) attempting to make too sharp 
a turn (excessive speed, unbalanced load, etc.; 4 instances--8 
percent); (4) employee jumped from overturning vehicle being pulled by 
another vehicle (2 instances--4 percent); vehicle skidded or slipped on 
slippery surface (2 instances--4 percent); (5) wheels on one side of 
vehicle ran over raised surface or object (2 instances--4 percent); and 
(6) vehicle tipped over when struck by another vehicle (1 instance--2 
percent).
    The second highest number of fatalities reported in the ODA study 
was caused by an employee being crushed between a vehicle and a 
surface. The accidents were attributed to: (1) The operator getting off 
the vehicle while it was running (7 instances--13 percent); (2) worker 
on platform being crushed between platform and overhead surface (2 
instances--4 percent); (3) employees leg being caught when vehicle 
sideswiped metal surface (1 instance--2 percent); (4) employee 
attempting to prevent vehicle tipover by holding up overhead guard (1 
instance--2 percent); (5) employee changing tire and vehicle fell from 
jack (1 instance--2 percent) and (6) empty 55 gallon drum used for 
support vehicle during maintenance collapsed (1 instance--2 percent).
    The six accidents that were attributed to employees being crushed 
between two vehicles were caused by contact between two moving powered 
industrial trucks (4 cases) and between a powered industrial truck and 
a stationary vehicle in the other two instances.
    Of the five accidents which were identified as an employee being 
struck or run over by vehicle, four were accidents where employees 
other than the vehicle operator were struck by the vehicle. The 
remaining one was an operator trying unsuccessfully to board a free 
rolling vehicle.
    E. The OSHA Fatality/Catastrophe Reports. OSHA records a summary of 
the results of investigations of all accidents resulting in fatalities, 
catastrophes, amputations and hospitalizations of two or more days, and 
those accidents that have received significant publicity or property 
damage. These summaries are recorded on an OSHA Form 170 and include an 
abstract describing the activities taking place at the time of the 
accident and the causes of the accident. These reports are stored in a 
computerized database system.
    OSHA queried the computer for all reports that contained the 
keyword ``industrial truck''. There were 4268 total reports in the 
system that resulted in 3038 fatalities, 3244 serious injuries, and 
1413 non-serious injuries (many of the accidents resulted in multiple 
fatalities and/or injuries). The use of the keyword ``industrial 
truck'' produced a printout of 208 accidents (Ex. 3-8). These 208 
accidents resulted in 147 fatalities, 115 serious injuries and 34 non-
serious injuries.
    By adding the number of fatalities, serious injuries and non-
serious injuries and dividing by the number of accidents, it was 
determined that 1.4 injuries of some nature occurred per accident. OSHA 
also determined the percent of each of the three classes of accidents 
that involved powered industrial trucks. Those percentages are 4.8 
percent of the fatalities, 3.5 percent of the serious injuries and 2.4 
percent of the non-serious injuries were attributable to an accident 
that involved a powered industrial truck.
    OSHA looked at the OSHA 170s to determine the causes of the 
accidents that were attributable to the use of powered industrial 
trucks in general industry. Table 6 presents a compilation of the 
causes of those accidents.

  Table 6.--Causes of Accidents\1\--OSHA Investigation Summaries (OSHA  
                                  170s)                                 
------------------------------------------------------------------------
                                                                 No. of 
                             Cause                               reports
------------------------------------------------------------------------
No training\2\................................................        19
Improper equipment............................................        10
Overturn......................................................        53
Unstable load.................................................        45
Overload, improper use........................................        15
Obstructed view...............................................        10
Carrying excess passenger.....................................         8
Operator inattention..........................................        59
Falling from platform or curb.................................         9
Falling from trailer..........................................         6
Elevated employee.............................................        26
Operator struck by load.......................................        37
Other employee struck by load.................................         8
Accident during maintenance...................................        14
Vehicle left in gear..........................................         6
Speeding......................................................         5
Not powered industrial truck accident.........................        9 
------------------------------------------------------------------------
\1\The causes of the accidents were determined by the narrative in the  
  accident report. In most cases, the narrative emphasized the cause of 
  the accident, however, in a few cases, reasonable and appropriate     
  assumptions were made. In some cases, multiple accident causes were   
  described in the narrative portion of the report, or were assumed to  
  have caused the accident. (See Ex. 3-8.)                              
\2\ Of the 19 instances when the report contained the indication that a 
  lack of training was one of the causal factors of the accident, there 
  were 6 serious violations issued, 2 other (nonserious) violations and 
  11 instances where no citation was issued.                            
                                                                        
Source: Office of Electrical, Electronic and Mechanical Engineering     
  Safety Standards, Directorate of Safety Standards Programs, OSHA.     

    Using the OSHA Form 170 data, OSHA also compiled a listing of the 
industries in which accidents occurred. Table 7 presents a tabulation 
of the SIC codes, the description of the industry, and the number of 
times that accidents were identified as having occurred in those 
industries. For a complete listing of the individual industries, see 
Ex. 3-9.

    Table 7.--Industries Where Accidents Occurred--OSHA Investigative   
                     Summary (OSHA Form 170) Reports                    
------------------------------------------------------------------------
    SICP                                                          Times 
  division                       Description                      cited 
------------------------------------------------------------------------
B...........  Mining..........................................         4
C...........  Construction....................................        25
D...........  Manufacturing...................................        95
E...........  Transportation, communication and utilities.....        22
F...........  Wholesale trades................................        25
G...........  Retail trades...................................        18
I...........  Services........................................         7
J...........  Public administration...........................         4
------------------------------------------------------------------------
Note: The breakdown of accidents does not include agricultural accidents
  since establishments of 10 or less employees in this industry are     
  exempt from OSHA jurisdiction.                                        
                                                                        
 [[Page 13791]]                                                         
                                                                        
Source: Office of Electrical, Electronic and Mechanical Engineering     
  Safety Standards, Directorate of Safety Standards Programs, OSHA.     

    F. The OSHA Emergency Communications System Reports.
    OSHA has another internal system for collecting information about 
serious accidents. This is a telephone system which requires that 
serious and/or significant accidents be telephoned into the National 
Office.
    The telephone call system is part of the OSHA emergency 
communications system. Regional Administrators are required to file a 
first report of fatalities, catastrophes and other important events 
(such as those that receive significant publicity) to the National 
Office. The information contained in these reports is disseminated to 
the responsible officials in OSHA and to the directorates of the 
Agency. These reports are broken down within the various offices and 
distributed to the appropriate personnel. There are approximately 1200 
reports received by the National Office yearly. See Ex. 3-10.
    None of the reports are screened before the OSHA National Office 
receives them to eliminate those from a certain industry, occupation or 
because of other factors. Although these reports may not be considered 
statistically significant by themselves in attempting to determine the 
number of accidents that have occurred, the lack of prior screening 
indicates that they represent a reasonable sampling of the most serious 
type accidents and that the causes of the accidents closely parallel 
the distribution of the causes of all accidents.
    OSHA has examined the First Report of Serious Injury reports and 
identified 247 that involved powered industrial trucks. These accidents 
occurred between 1980 and the present. OSHA looked at the number of 
accidents reported through its telephonic system and determined the 
percentage of those accidents that involved powered industrial trucks. 
Table 8 contains a listing of the number of First Reports of Serious 
Accident reports which were received from 1980 to present, the number 
of those accidents which involved powered industrial trucks, and the 
corresponding percentage.

      Table 8.--Yearly Summary of First Report of Serious Accidents     
------------------------------------------------------------------------
                                     Total         Pit                  
              Year                  reports     accidents      Percent  
------------------------------------------------------------------------
1980............................          200            2           1  
1981............................          125            2           1.6
1982............................          113            0           0  
1983............................          115            3           2.6
1984............................          181            1            .6
1985............................          456           15           3.3
1986............................        1,147           44           3.8
1987............................        1,236           38           3.1
1988............................        1,330           47           3.5
1989............................        1,150           44           3.8
1990............................        1,105           41           3.7
1991............................       \1\215           10           4.7
                                 ---------------------------------------
      Totals<SUP>2...................        6,424          247           3.6 
------------------------------------------------------------------------
<SUP>1These are the number of total reports received between the first of the
  year until March 31.                                                  
<SUP>2The total number of reports, the number of accidents involving powered 
  industrial trucks and the percentage were calculated using the figures
  from 1985-1990. The number of accidents reported during the years 1980-
  1984 and those reported during 1991 were too few to be representative.
                                                                        
Source: Office of Electrical, Electronic and Mechanical Engineering     
  Safety Standards, Directorate of Safety Standards Programs, OSHA.     

    Each of these reports were examined to determine the causes of the 
accidents. In some instances, multiple causes were identified. Table 9 
lists the causes of the accidents and the number of accidents which 
were attributable to that cause.

 Table 9.--Causes of Accidents (Powered Industrial Trucks) First Reports
                           of Serious Accident                          
------------------------------------------------------------------------
                                                                  No.   
                    Cause of the accident                      Accidents
------------------------------------------------------------------------
Tipover......................................................         58
Struck by powered industrial truck...........................         43
Struck by falling load.......................................         33
Elevated employee on truck...................................         28
Ran off loading dock or other surface........................         16
Improper maintenance procedures..............................         14
Lost control of truck........................................         10
Truck struck material........................................         10
Employees overcome by carbon monoxide or propane fuel........         10
Faulty powered industrial truck..............................          7
Unloading unchocked trailer..................................          7
Employee fell from vehicle...................................          7
Improper use of vehicle......................................          6
Electrocutions...............................................          2
------------------------------------------------------------------------
Source: Office of Electrical, Electronic and Mechanical Engineering     
  Safety Standards, Directorate of Safety Standards Programs, OSHA.     

    G. The OSHA General Duty Clause Citation Analysis.
    The Office of Mechanical Engineering Safety Standards of OSHA, 
conducted an analysis of the citations which were issued between 1979 
and 1984 for violations of the general duty clause (section 5(a)(1)) of 
the Occupational Safety and Health Act. During that period, there were 
a total of 3637 inspections in which at least one 5(a)(1) citation was 
issued. See Ex. 3-11.
    Sixty-five general duty clause citations involved powered 
industrial truck operations. Each was examined to determine the nature 
of the violation. Table 10 lists the violation that was alleged to have 
occurred.

      Table 10.--Summary of General Duty Clause (5(a)(1)) Citations     
------------------------------------------------------------------------
                                                                  No.   
                          Violation                            instances
------------------------------------------------------------------------
Employee elevated on forks...................................         44
Improper operation of vehicle................................         13
Improper maintenance on vehicle..............................          5
No vehicle operator training.................................          2
[[Page 13792]]                                                          
                                                                        
Order picker without fall protection.........................          1
------------------------------------------------------------------------
Source: Office of Electrical, Electronic and Mechanical Engineering     
  Safety Standards, Directorate of Safety Standards Programs, OSHA.     

V. Basis for Agency Action

    OSHA believes that, as the above discussion indicates, that there 
is a sufficient body of data and information on which to base a 
revision of the existing standard for powered industrial truck operator 
training and the promulgation of the same requirement for powered 
industrial truck operator training in the construction, maritime and 
agriculture industries. These requirements would reduce the number of 
fatalities and injuries resulting from accidents involving powered 
industrial trucks operated by untrained or insufficiently trained 
employees.
    According to OSHA's data and information, powered industrial truck 
accidents account for approximately 4.8 percent of the fatalities, 3.5 
percent of the serious injuries and 2.4 percent of the non-serious 
injuries that occur in general industry each year. These accidents 
resulted in an average of 107 fatalities, 33,800 serious injuries, and 
61,800 non-serious injuries per year from 1981 through 1990.
    In analyzing its accident data, OSHA has derived two separate 
estimates of the number of fatalities and serious injuries that occur 
to employees due to powered industrial truck accidents. Because the two 
set of numbers are in the same range, the Agency has presented both. It 
should be noted that the number of fatalities is virtually identical 
using either method of derivation. However, slightly different 
definitions are used for estimating injuries. The other set of 
estimates are presented in the Preliminary Regulatory Impact Analysis, 
below.
    There are approximately 68,400 accidents involving powered 
industrial trucks in general industry per year. This figure was arrived 
at by totaling the fatalities, serious, and non-serious injuries and 
dividing this result by 1.4 (the number of injuries per accident 
determined from the OSHA Fatality/Catastrophe Reports). According to 
the Industrial Truck Association (ITA), there are currently 
approximately 855,900 powered industrial trucks in the United States, 
therefore approximately 8 percent of the powered industrial trucks will 
be involved in an accident this year (this assumes a truck is involved 
in only one accident this year). Since the ITA has stated that the 
useful life of a powered industrial truck is 8 years, that means that 
at some point during its useful life, almost two-thirds of the powered 
industrial trucks will be involved in some type accident (again, 
assuming there is only one accident per truck).
    OSHA also looked at the type accidents that were described in the 
section of this preamble entitled ``Accident, injury and other data.'' 
The three reports that contained that information were the ``Industrial 
Forklift Truck Fatalities--A Summary'' (ODA Study); ``The OSHA 
Fatality/Catastrophe Reports'' (Fat/Cat Study); and the ``OSHA 
Emergency Communications System Reports, First Reports.'' The number of 
different types of accidents are given in Table 12, below. Since the 
Industrial Forklift Truck Fatalities report was the only one that used 
a single causation methodology for categorizing the accidents, this is 
the only study for which percentages of the accidents were calculated. 
These percentages appear in parentheses following the numbers.

         Table 11.--Causes of Powered Industrial Truck Accidents        
------------------------------------------------------------------------
                                                       Study            
                                         -------------------------------
                  Cause                                           First 
                                           ODA study  Fat/cats   reports
------------------------------------------------------------------------
Tipovers................................    22 (42%)        53        58
Struck by vehicle.......................    24 (46%)  ........        43
Struck by falling material..............      4 (8%)        90       <SUP>143
Elevated employees......................      2 (4%)        26        28
Control activation......................      1 (2%)        <SUP>26  <SUP>........
Improper equipment or usage.............  ..........        10     \3\13
Vehicle overloaded......................  ..........        15  ........
Obstructed view.........................  ..........        10  ........
Maintenance acc.........................  ..........        14        14
Speeding................................  ..........         5  ........
Fell from platform......................  ..........  ........       <SUP>423
Lost control............................  ..........  ........        10
Overcome by CO..........................  ..........  ........        10
Employee fell from vehicle..............  ..........  ........         7
Electrocution...........................  ..........  ........         2
------------------------------------------------------------------------
<SUP>1This number represents the accidents due to material that was in the   
  powered industrial truck (a portion of the load) falling on an        
  employee-33 cases, and stacked material falling on an employee when   
  struck by a powered industrial truck-10 cases.                        
<SUP>2This number represents the accidents due to the operator leaving the   
  vehicle in gear, dismounting the vehicle and being struck when the    
  vehicle moved.                                                        
<SUP>3This number represents the number of accidents when either the vehicle 
  was used improperly (6 instances) or the vehicle was defective (7     
  instances).                                                           
<SUP>4This number represents the number of accidents when the operator drove 
  the vehicle off an elevated dock (16 instances) or fell against the   
  face of the dock when an unchocked trailer rolled away from the dock  
  when being loaded or unloaded.                                        
                                                                        
Sources: ``The Forklift Truck Fatalities--A Summary Report'' (ODA       
  Study); ``The OSHA Fatality/Catastrophe Reports'' (Fat/Cats); and     
  ``The OSHA Emergency Communications System Reports (First Reports)''. 

    In 9 percent of the accident investigations in which an OSHA 170 
was prepared (19 of 208), lack of training was identified as a causal 
factor. In more than half of these accident investigations (11 of 19), 
lack of training was not cited by OSHA compliance officers. However, 
OSHA's standard specifies that only trained and authorized operators 
are allowed to operate powered industrial trucks. Absence of a citation 
when lack of training was identified as a causal factor in the accident 
can only be attributed to the fact that many compliance officers 
believe that the powered industrial truck training requirement (29 CFR 
1910.178(l)) is vague and unenforceable in its present form.
    In addition, most of the accidents where lack of training was not 
mentioned, clearly could have been avoided through better training. 
When OSHA completes this rulemaking, in light of the large number of 
industrial truck accidents, based on priorities and resources, it will 
consider whether to revise the entire powered industrial truck 
standard. Persons also may wish to comment on whether OSHA should 
revise the entire standard in the future. [[Page 13793]] 

VI. The Need for Training

    Training is generally defined as making a person proficient through 
the use of specialized instruction and practice. Training is the means 
by which an employer ensures that employees have the knowledge, skills, 
and abilities that are necessary for the employees to do their jobs 
correctly.
    Once an employee acquires the basic knowledge, skills, and 
abilities, refresher or remedial training may be used to reinforce or 
improve those attributes, to provide new material, to provide material 
that was previously discussed in a new manner, or to simply maintain an 
awareness of the material that had previously been taught. Refresher or 
remedial training is normally conducted on a predetermined periodic 
basis, that is, on a monthly, semi-annual, or annual basis.
    Training may be as simple and informal as a supervisor pointing out 
either an error in the manner in which an employee is doing a job 
(making an on-the-spot correction) or showing an employee how to do a 
particular task (demonstrating the proper method to do the job). On the 
other end of the spectrum is the detailed, structured instruction that 
uses the classical methods of training (lectures, conferences, formal 
demonstrations, practical exercises, examinations, etc.). Formal 
training is usually used to impart a greater amount of, more 
complicated, or more detailed information to a trainee.
    For the most part, employees do not start out with the innate 
knowledge, skills, and abilities to perform many of the complicated or 
difficult practices and procedures that occur commonly in the 
workplace. For example, many states require potential car drivers to 
pass either driver training and/or driver education programs to qualify 
for a drivers license. Even with this training, young drivers are 
involved in a disproportionate number of accidents. It is only after 
the drivers have more experience that the number of accidents 
decreases. Although many employees who are selected or assigned to 
drive powered industrial trucks are licensed to drive automobiles, 
there are enough dissimilarities between these two types of vehicles 
and their operation to require additional knowledge, skills, and 
abilities to operate a powered industrial trucks safely. Operational 
characteristics of powered industrial trucks, such as using vehicles 
equipped with rear-wheel steering and front-wheel drive and the 
hoisting--moving--lowering of loads, require operator training and 
practice to master the different driving skills that must be used when 
an employee operates powered industrial trucks.
    Many of these accidents either can be prevented, or the seriousness 
of the injury to the employee can be mitigated by training employees. 
Effective training and supervision also can prevent the occurrence of 
unsafe acts such as speeding, failing to look in the direction of 
travel, and failing to slow down or stop and sound the vehicle's horn 
at blind intersections and other areas where pedestrian traffic may not 
be observable. Another example in which training can prevent or lessen 
the severity of an accident of this kind is directly related to the 
stability of powered industrial trucks when traveling with an elevated 
load. Effective operator training should include the admonition that 
the vehicle can only be moved when the load is at its lowest point. 
Even if this admonition is ignored and the vehicle tips over, the 
injury to the operator is usually minimal if the he or she stays with 
the vehicle. As previously discussed, the usual injury in a powered 
industrial truck tipover occurs when the operator attempts to jump off 
the vehicle when it is tipping over. Since the normal tendency is for a 
person to jump downward, the operator lands on the floor or ground in 
the path of the overhead guard and the usual injury is a crushing 
injury of the head, neck or back when the overhead guard contacts the 
employee. Training an employee to stay with the vehicle will reduce the 
severity of some of these injuries.
    In 1990, the Office of Technology Assessment of the U.S. Congress 
published a book at the request of the Senate Labor and Human Resources 
Committee, the House Education and Labor Committee, and the Senate 
Finance Committee. This book is entitled, Worker Training: Competing in 
the New International Economy, OTA-ITE-457 (Washington, DC: U.S. 
Government Printing Office, September 1990; Ex. 3-12) Although this 
book addresses the need for training so that American industry can 
remain competitive in the world marketplace, there were many salient 
facts presented, both about the state of training in the workplace and 
the need for additional training.
    To be effective, training must impart appropriate skills, must not 
include irrelevant information and must accommodate varying employee 
backgrounds and learning styles. Training is most effective when it is 
quickly reinforced on the job. Poor timing of training, lack of 
reinforcement at work, and other factors prevent effective transfer of 
knowledge to the job.
     The book also pointed out that small business access to new 
employees with good skills is limited. Employees hired by companies 
reflect the labor pool available and is dependent upon the size of the 
company. Small companies must draw their employees from the locally 
available talent pool whereas larger companies can attract prospective 
employees from a much larger geographical area. In order to make up for 
the limitations of the limited talent pool, small employers usually 
must provide additional training and education to achieve comparable 
employee performance.
    The OTA book pointed out that inadequate training costs firms and 
employers not only in health and safety risks, but also downtime, 
defective parts and equipment, wasted material, late deliveries, 
inferior quality products and poor customer service. To maximize its 
effectiveness, training must be focused on workplace problems because 
simply providing more generalized, non-directed training will not 
promote industrial competitiveness. If the work is not organized to tap 
employee skills, the training investment will be wasted.
    Finally, the book emphasized that employers historically have not 
trained their workers for several reasons. First, high labor turnover 
has mistakenly led employers to believe that skilled workers will leave 
so their companies will not recoup their training investment. Second, 
many employers believe that an increase in productivity will not offset 
the cost of training employees. As the book points out, that is not the 
case.
    The studies conducted by Cohen and Jensen, discussed under 
Accident, injury and other data earlier in this preamble, found a 
reduction in operator error rate of up to 70 percent. Although a 70 
percent error rate reduction can not be directly equated to a 
corresponding reduction in the number of accidents that this or any 
other group of operators will experience, improper or unsafe operation 
of a powered industrial truck is the major cause of the accidents and 
their resultant fatalities and injuries. Therefore, a reduction in the 
unsafe operation of a powered industrial truck will reduce the number 
of accidents, and the resultant fatalities and injuries.
    Many standards promulgated by OSHA explicitly require the employer 
to train employees in the safety and health aspects of their jobs. 
These requirements reflect OSHA's belief that training is an essential 
part of an effective employer's program for protecting workers from 
accidents and illnesses. (See Ex. 3-13 [[Page 13794]] for a complete 
list of the OSHA standards that require training.)
    Although not all powered industrial truck accident reports spell 
out the lack of training as a causal factor of the accidents, each 
accident can, in part, be attributed to either being caused or worsened 
by the actions or inactions of the operator. For example, when a 
powered industrial truck tips over, the accident is caused by one or 
more of several factors, including speeding, traveling with the load in 
an elevated position, or improperly negotiating a turn. Training can 
minimize the times that these events occur.
     Proper training of an employee must take into account the fact 
that different operating conditions (including the type and size of the 
load, the type and condition of the surface on which the vehicle is 
being operated, and other factors) can adversely affect vehicle 
operation. Operator training must emphasize two points regarding any 
potential accident scenario. These two factors are: (1) The employee 
should not engage in activities that may cause an accident, and (2) the 
employee should minimize the potential for injury (either to himself or 
herself or to other employees) by taking appropriate actions.
    OSHA is not proposing a program of licensing or certification of 
powered industrial truck operators either by itself or as an adjunct to 
operator training. OSHA does not have the resources to conduct such a 
program since there are close to 1.5 million employees who operate 
powered industrial trucks.

VII. Summary and Explanation of the Proposed Rule

    OSHA is proposing to revise the training requirement for powered 
industrial truck operators, 29 CFR 1910.178(l), contained in the 
general industry standards, and to add equivalent training requirements 
for the maritime industries. This proposal is intended to enhance the 
safe operation of powered industrial trucks in the workplace.
    On February 27, 1995, OSHA submitted to the Advisory Committee on 
Construction Safety and Health (AC) a draft of this document. The 
ACCOSH recommended to OSHA that the Agency not proceed with rulemaking 
for that industry until the Advisory Committee had sufficient time to 
completely study the document and provide further recommendations. 
Consequently, this rulemaking is limited to general industry and the 
maritime industries. The Agency intends to propose to adopt for the 
construction industry similar requirements for training the operators 
of powered industrial trucks after receiving and taking into account 
the recommendations of the ACCOSH.
    In developing this proposal, OSHA looked at the training 
requirements of the existing national consensus standard for powered 
industrial trucks, ANSI B56.1-1993, as well as training requirements 
from other standards (both industry and government). The non-training 
related requirements of those standards are beyond the scope of this 
proposal.
    OSHA has not included suggestive language contained at paragraph 
4.19.2 of the consensus standard because other enforceable language in 
the proposed standard covers the issue. This paragraph states, ``The 
operator training program should include the user's policies for the 
site where the trainee will operate the truck, the operating conditions 
for that location, and the specific truck the trainee will operate. The 
training program shall be presented to all new operators regardless of 
previous experience.''
    The Agency has not adopted the language contained in 4.19.3(a) of 
the consensus standard because the responsibility for providing a safe 
workplace (including the use of a powered industrial truck) is vested 
with the employer under the OSH Act. This paragraph specifies, ``The 
primary responsibility of the operator is to use the powered industrial 
truck safely following the instructions given in the training 
program.''
    The consensus standard, at 4.19.4(e) and 4.19.5 specifies the type 
of training and the testing that should be conducted, whereas the OSHA 
standard leaves the methods of training up to the employer. As 
explained elsewhere in this preamble, the employer is responsible for 
selecting the methods that are employed to train the operators. In some 
circumstances, the employee may be able to gain valuable information 
from reading the operators manual for the vehicle. In other 
circumstances, the employee may not be able to read and comprehend the 
contents of the manual and may have to be shown how to operate the 
truck safely.
    Many of the other OSHA standards and the consensus standards 
specify that some means be used to verify that training was conducted. 
Examples of such verification include: (1) Requiring documentation of 
the training, (2) the production and retention of lesson plans, (3) 
attendance rosters, and (4) the issuance of training certificates. When 
refresher or remedial training is specified, these other rules usually 
require that a set amount of training be conducted at a regular 
interval (for example, a certain number of hours of refresher training 
be conducted annually). OSHA is including evaluation by a designated 
person and certification that the employee has taken the training and 
can competently operate the truck. Course materials also must be kept. 
OSHA believes that this is the appropriate method of verification. As 
operators vary greatly in the experience and backgrounds and they will 
be required to operate different types of vehicles, different types and 
amounts of training are necessary and OSHA does not believe it can 
specify a rigid curriculum.
    This proposed revision of the training requirement found in 
Sec. 1910.178(l) for operators of powered industrial trucks and the 
imposition of the same requirement for operators of powered industrial 
trucks in other industries (construction and maritime) specifies that 
the employer develop a complete training program. This program consists 
of an evaluation of each potential truck operator and the training of 
the potential operator in those subject matters relating to the 
operation of the truck, the work environment in which the truck will be 
operated and the requirements of the OSHA standard. This training 
program also must include a periodic evaluation of the performance of 
the operator and refresher or remedial training as necessary. To 
maximize the effectiveness of the training, OSHA is proposing to allow 
the employer to avoid having to conduct training that is duplicative of 
other training the employee has previously received. Finally, the 
training provisions would require that the employer certify that the 
training and evaluations have been conducted.
    At paragraph (1)(i), OSHA specifies that each potential operator of 
a powered industrial truck must be capable of performing the duties 
that are required of the job after training and appropriate 
accommodation. This would include being able to climb onto and off of a 
truck, to sit on the vehicle for extended periods of time, and to turn 
his or her body to be able to look in the direction of travel when 
driving in reverse. Elements of this evaluation may include the 
employee having the physical and mental abilities to perform the job. 
Information obtained during the initial employee evaluation can be used 
to, among other things, determine how best to train the employee. For 
example, if the employee cannot read and comprehend the operator's 
manuals for the type trucks that the employee will operate, then this 
information would have to taught by means other than 
[[Page 13795]] having the employee try to read the truck manuals. The 
initial evaluation can be useful for the avoidance of duplicative 
training.
    Paragraph (1)(ii) provides that the employer shall assure that the 
employee has received required training, that the employee has been 
evaluated and that the potential operator can perform the job 
competently. The evaluation must be carried out after the training by a 
designated person so that the employer can assure that the potential 
operator can perform the duties required of an operator in a competent 
manner. The conduct of this evaluation during the training is known as 
a practical exercise or a performance test. OSHA believes that only 
through evaluation by a knowledgeable person after training can an 
employer know that the employee has been adequately trained and can 
safely perform the job.
    The designated person may be the employer if qualified. A small 
business person who has employees may send the employees to an outside 
training organization. Alternately, the employer may take or have 
training so that the employer is qualified as a designated person.
    At paragraph (2), OSHA is proposing to require that the employer 
implement a training program for all powered industrial truck 
operators. This program would ensure that only trained drivers who have 
successfully completed the training program would be allowed to operate 
these vehicles. An exception to the rule would allow trainees to 
operate powered industrial trucks provided the operation is under the 
direct supervision of a designated person and the operation is 
conducted where is minimum danger to the trainee or other employees.
    OSHA is proposing at paragraph (2)(ii) that the training consist of 
a combination of classroom instruction and practical training. The 
Agency believes that only by the use of a combination of training 
methods will the employee be adequately trained. Although classroom 
training is invaluable for the teaching of the principles of vehicle 
operation, it is the hands-on training and the evaluation of the 
operation of the vehicle that finally proves the adequacy of the 
training and the ability of the employee to use that training to 
successfully operate a powered industrial truck.
    At paragraph (2)(iii), OSHA is proposing to require that all 
training be conducted by a designated person. OSHA defines a designated 
person as one who has the requisite knowledge, training and experience 
to train powered industrial truck operators. As discussed elsewhere in 
this preamble, the employer may have the necessary prerequisites to 
qualify as a designated person or he or she may assign the training 
responsibility to another person (either a knowledgeable employee or an 
trainer from outside the company).
    To ensure that the training contains the appropriate information 
for the operator, OSHA has provided a list of subjects at paragraph 
(3). Under this rule, it is the responsibility of the employer to 
select the particular items that are pertinent to the type trucks that 
the employee will be allowed to operate and the work environment in 
which the vehicle will be operated. For example, if the employee will 
be allowed to operate an order picker, it is essential that he or she 
understand the location and function of the controls, the location and 
operation of the powerplant, steering and maneuvering, visibility, 
inspection and maintenance and other general operating functions of the 
vehicle. Additionally, it is essential that the employee know and 
understand that he or she must be restrained from falling when the 
platform of the truck is in an elevated position and that the truck 
must never be driven when the platform is elevated. Under this proposed 
requirement, it is the responsibility of the employer to select those 
elements of the training that are necessary for the type vehicle to be 
used and the workplace in which that vehicle will be operated. The 
employer may leave out elements if the employer can demonstrate that 
they are not relevant to safe operation in the employer's workplace.
    An additional component of the training program is a continuing 
evaluation of the operator. At paragraph (4), OSHA specifies that this 
evaluation be conducted on a periodic basis so that the employee 
retains and uses the knowledge, skills and abilities that are necessary 
for the safe operation of the vehicle. This evaluation need not be 
conducted continuously, however, the employer should conduct these 
evaluations at intervals that will ensure that the operators have not 
forgotten or chosen to disregard their training. This evaluation does 
not have to be formalized but must consist of a designated person 
observing the operation to ensure that the use of the powered 
industrial truck is being conducted safely. OSHA requires that this 
evaluation be carried out at least annually.
    OSHA is requiring at paragraph (5) that the employer certify that 
the required training and evaluations have been conducted. To minimize 
the paperwork burden on the employer, OSHA is specifying that the 
certification consist of the name of the employee, the date of the 
training or evaluation and the signature of the person conducting the 
training or evaluation.
    Under this paragraph, OSHA also specifies that all the current 
training materials used in the conduct of training or the name and 
address of the outside trainer, if one is used, be maintained.
    At paragraph (6), OSHA is proposing to allow the employer to forgo 
that portion of the training that an employee has previously received. 
The intent of these provisions is to allow the employer to not have to 
train an employee in those phases of the operation of a powered 
industrial truck if the employee knows the necessary information and 
has been evaluated and has proven to be competent to perform those 
duties.
    As previously discussed, there are three major areas of 
consideration that must be emphasized when conducting a powered 
industrial truck training program. These three areas are: (1) The 
characteristics, operation and limitations of the vehicles that the 
trainee will be authorized to operate, (2) the hazards due to the 
characteristics of the workplace in which these vehicles will operate, 
and (3) the general safety rules that apply to these vehicles and their 
operation.
    This proposed rule has been drafted in performance language to 
allow reasonable flexibility to the employer for developing the 
training program and conducting the training. OSHA recognizes the 
inherent differences in the capabilities and limitations of employees, 
both to assimilate the training and then to utilize the knowledge that 
has been gained. Therefore, the proposed regulation does not limit the 
employer by specifying the manner in which the training must be 
conducted. Similarly, the specific content of the training course has 
not been stated because there are different topics which must be taught 
due to variances in the operation of the many makes and models of 
vehicles and because there are different hazards in each workplace. 
However, OSHA has proposed the various subject matters that should be 
covered unless the employer determines they are not relevant to the 
employer's vehicle and workplace. Although some areas of concern may 
not be pertinent to any one workplace and vehicle, other areas are 
pertinent to all vehicles and workplaces.
    OSHA believes that a training program needs to be conducted before 
the employee begins to operate a vehicle. To this end, OSHA has 
required initial training of employees so that they [[Page 13796]] will 
acquire the knowledge and skills are necessary for the safe operation 
of the powered industrial truck before being allowed to operate the 
vehicle without close supervision.
    OSHA has left the particulars of the type of training (lecture, 
conference, demonstration, practical exercise, test or examination, 
etc.) to the employer. The length of the training and other variables 
must be based on the employee's experience and other qualifications and 
the nature of the work environment. The training must be based upon the 
type of vehicles the employee will be allowed to operate, the 
conditions that exist in the workplace, the general safety rules from 
this OSHA standard, the ability of the trainer to teach, and the 
ability of the trainee to learn. The ability of the employee to 
assimilate the information presented in the training must be used as 
the primary criterion for the length, type and other details of the 
training. Since each employee is different in his or her ability to 
comprehend, assimilate and use the information received in the 
training, OSHA believes that one standardized training course will not 
suffice for all employees.
    The employer may choose the training provider. This could include 
contracting with an outside professional training company to come into 
the company and train the powered industrial truck operators or the 
employer developing and conducting the training program. In either 
case, the employer can choose the method or methods by which the 
employees will be trained and when the training is conducted.
    The standard requires not only appropriate training but evaluation 
of the operators competency by a designated person with the knowledge 
to make that evaluation. This is the method that will most accurately 
prove that the operator has been trained and that the training has 
been, and continues to be, effective. Through observation of the 
operation of the vehicle, these questions can be answered.
    When a new employee claims prior experience in operating a powered 
industrial truck, the employer must ensure that the employee knows how 
to operate the vehicle safely. This can be ascertained by questioning 
the employee on various aspects of the operation of the truck and by 
requiring the operator to demonstrate his or her ability to operate the 
vehicle safely through the conduct of a practical exercise.
    In making a determination of an employee's claim of sufficient 
prior experience, the employer must consider the type of equipment that 
this employee professes to have operated, how long ago this experience 
was gained, and the type work environment in which the employee worked. 
Written documentation of the earlier training is also necessary to 
determine that proper training has been given. In addition, the 
competency of the employee must be evaluated. Based on the resolution 
of these issues, the employer can determine whether the experience is 
recent and thorough enough, the documentation complete, and the 
competency sufficient to forgo some or much of the initial training. 
Some training on the specific factors of the new employees workplace is 
always going to be necessary. Again, the major criterion of evaluation 
of the employee is: Does the person know how to do the job and does the 
vehicle operator use those knowledge, skills and abilities to do the 
job safely?
    OSHA also is proposing to add two non-mandatory appendices. These 
appendices are intended to provide guidance to employers in 
establishing a training program (Appendix A) and in understanding to 
basic principles of stability (Appendix B). In neither case is the 
information contained in these appendices intended to provide a 
exhaustive explanation of the techniques of conducting training or of 
understanding the principles of stability, but each appendix is 
intended to introduce the basic concepts so that the employer can 
utilize the material to provide basic training.

VIII. Statutory Considerations

A. Introduction

    Section 2(b)(3) of the Occupational Safety and Health Act 
authorizes ``the Secretary of Labor to set mandatory occupational 
safety and health standards applicable to businesses affecting 
interstate commerce'', and section 5(a)(2) provides that ``[e]ach 
employer shall comply with occupational safety and health standards 
promulgated under this Act'' (emphasis added). Section 3(8) of the OSH 
Act (29 U.S.C. 652(8)) provides that ``the term 'occupational safety 
and health standard' means a standard which requires conditions, or the 
adoption or use of one or more practices, means, methods, operations, 
or processes, reasonably necessary or appropriate to provide safe or 
healthful employment and places of employment.''
    OSHA considers a standard to be ``reasonably necessary or 
appropriate'' within the meaning of section 3(8) if it meets the 
following criteria:
    (1) The standard will substantially reduce a significant risk of 
material harm;
    (2) Compliance is technologically feasible in the sense that the 
protective measures being required already exist, can be brought into 
existence with available technology, or can be created with technology 
that can reasonably be developed;
    (3) Compliance is economically feasible in the sense that industry 
can absorb or pass on the costs without major dislocation or threat of 
instability; and
    (4) The standard is cost effective in that it employs the least 
expensive protective measures capable of reducing or eliminating 
significant risk. Additionally, safety standards must better effectuate 
the Act's protective purpose than any applicable national consensus 
standard, must be compatible with prior agency action, must be 
responsive to significant comment in the record, and, to the extent 
allowed by statute, must be consistent with applicable Executive 
Orders. OSHA believes that application of these criteria results in 
standards that provide a high degree of worker protection without undue 
burden on employers.
    OSHA has long interpreted section 3(8) of the OSH Act to require 
that, before it promulgates ``a health or safety standard, it must find 
that a place of employment is unsafe--in the sense that significant 
risks are present and can be eliminated or lessened by a change in 
practices [See Industrial Union Dep't, AFL-CIO v. American Petroleum 
Inst., 448 U.S. 607, 642 (1980) (plurality) (Benzene).'' When, as 
frequently happens in safety rulemaking, OSHA promulgates standards 
that differ from existing national consensus standards, it must explain 
``why the rule as adopted will better effectuate the purposes of this 
Act than the national consensus standard [29 U.S.C. 655(b)(8)].'' Thus, 
national consensus standards provide the minimum level of effectiveness 
for standards which OSHA may adopt (29 U.S.C. 655(a)).
    As a result, OSHA is precluded from regulating insignificant safety 
risks or from issuing safety standards that do not lessen risk in a 
significant way.
    The OSH Act also limits OSHA's discretion to issue overly 
burdensome rules, as the agency also has long recognized that ``any 
standard that was not economically or technologically feasible would a 
fortiori not be `reasonably necessary or appropriate' under the Act. 
See Industrial Union Dep't v. Hodgson, [499 F.2d 467, 478 (D.C. Cir. 
1974)] (`Congress does not appear to have intended to protect 
[[Page 13797]] employees by putting their employers out of business.') 
[American Textile Mfrs. Inst. Inc., 452 U.S. at 513 n. 31 (a standard 
is economically feasible even if it portends ``disaster for some 
marginal firms,'' but it is economically infeasible if it ``threaten[s] 
massive dislocation to, or imperil[s] the existence of,'' the 
industry)].''
    By stating the test in terms of ``threat'' and ``peril,'' the 
Supreme Court made clear in ATMI that economic infeasibility begins 
short of industry-wide bankruptcy. OSHA itself has placed the line 
considerably below this level. (See for example, ATMI, 452 U.S. at 527 
n. 50; 43 FR 27,360 (June 23, 1978). Proposed 200 <greek-m>g/m3 PEL for 
cotton dust did not raise serious possibility of industry-wide 
bankruptcy, but impact on weaving sector would be severe, possibly 
requiring reconstruction of 90 percent of all weave rooms. OSHA 
concluded that the 200 <greek-m>g/m3 level was not feasible for weaving 
and that 750 <greek-m>g/m3 was all that could reasonably be required). 
See also 54 FR 29,245-246 (July 11, 1989); American Iron & Steel 
Institute, 939 F.2d at 1003. OSHA raised the engineering control level 
for lead in small nonferrous foundries to avoid the possibility of 
bankruptcy for about half of small foundries even though the industry 
as a whole could have survived the loss of small firms.) Although the 
cotton dust and lead rulemakings involved health standards, the 
economic feasibility ceiling established therein applies equally to 
safety standards. Indeed, because feasibility is a necessary element of 
a ``reasonably necessary or appropriate'' standard, this ceiling 
boundary is the same for health and safety rulemaking since it comes 
from section 3(8), which governs all permanent OSHA standards.
    All OSHA standards must also be cost-effective in the sense that 
the protective measures being required must be the least expensive 
measures capable of achieving the desired end (ATMI, at 514 n. 32; 
Building and Constr. Trades Dep't AFL-CIO v. Brock, 838 F.2d 1258, 1269 
(D.C. Cir. 1988)). OSHA gives additional consideration to financial 
impact in setting the period of time that should be allowed for 
compliance allowing as much as ten years for compliance phase-in. (See 
United Steelworkers of Am. v. Marshall, 647 F.2d 1189, 1278 (D.C. Cir. 
1980), cert. denied, 453 U.S. 913 (1981).) Additionally, OSHA's 
enforcement policy takes account of financial hardship on an 
individualized basis. OSHA's Field Operations Manual provides that, 
based on an employer's economic situation, OSHA may extend the period 
within which a violation must be corrected after issuance of a citation 
(CPL. 2.45B, Chapter III, paragraph E6d(3)(a), Dec. 31, 1990).
    To reach the necessary findings and conclusions that a safety 
standard substantially reduces a significant risk of harm, is both 
technologically and economically feasible, and is cost effective, OSHA 
must conduct rulemaking in accord with the requirements of section 6 of 
the OSH Act. The regulatory proceeding allows it to determine the 
qualitative and, if possible, the quantitative nature of the risk with 
and without regulation, the technological feasibility of compliance, 
the availability of capital to the industry and the extent to which 
that capital is required for other purposes, the industry's profit 
history, the industry's ability to absorb costs or pass them on to the 
consumer, the impact of higher costs on demand, and the impact on 
competition with substitutes and imports. (See ATMI at 2501-2503; 
American Iron & Steel Institute generally.)
    Finally, general principles of administrative law require the 
Agency to justify significant departures from prior practice. (See 
International Union, UAW v. Pendergrass, 878 F.2d 389, 400 (D.C. 
1989)). In the twenty years since enactment of the OSH Act, OSHA has 
promulgated numerous safety standards--standards that provide 
benchmarks for judging risks, benefits, and feasibility of compliance 
in subsequent rulemakings. (OSHA's Hazardous Waste Operations and 
Emergency Response Standard, for example, required use of existing 
technology and well accepted safety practices to eliminate at least 32 
deaths and 18,700 lost workday injuries at a cost of about $153 million 
per year (54 FR 9311-9312; March 6, 1989). The Excavation standard also 
drew on existing technology and recognized safety practices to save 74 
lives and over 800 lost workday injuries annually at a cost of about 
$306 million. (54 FR 45,954; Oct. 31, 1989). OSHA's Grain Handling 
Facilities standard relied primarily on simple housekeeping measures to 
save 18 lives and 394 injuries annually, at a total net cost of $5.9 to 
$33.4 million (52 FR 49,622; Dec. 31, 1991).)
    B. The proposed amendment to the standard for the training of 
powered industrial truck operators and the promulgation of like 
requirements for the construction and maritime industries complies with 
the statutory criteria described above.
    As explained in Section I, Background, Section II, The Powered 
Industrial Truck, Section III, Powered Industrial Truck Hazards, 
Section IV, Accident, Injury and Other Data, and Section V, Basis for 
Agency Action, earlier in this preamble, and in Section IX, Summary of 
the Regulatory Impact and Regulatory Flexibility Analysis and 
Environmental Impact Assessment, later in this preamble, OSHA has 
determined that the operation of powered industrial trucks by untrained 
or inadequately trained operators pose significant risks to employees. 
There have been on average 85 fatalities, 34,900 serious injuries and 
61,800 non-serious injuries annually since 1981 due to unsafe powered 
industrial truck operation. OSHA estimates that compliance with the 
revised training requirement for powered industrial truck operator will 
reduce the risk of hazards to those operators and other employees by 25 
percent (preventing 17 to 22 fatalities, 10,898 to 14,118 serious 
injuries and 15,450 non-serious injuries annually). This constitutes a 
substantial reduction of significant risk of material harm.
    The Agency believes that compliance is technologically feasible 
because there exists a current rule for the training of powered 
industrial truck operators and the revised regulation specifies in more 
detail what is to be taught to those operators, and requires the 
employer to institute effective supervisory measures to ensure 
continued safe operation of those vehicles. In many companies, the 
training of vehicle operators and the subsequent supervisory measures 
required by the standard have already been implemented.
    Additionally, OSHA believes that compliance is economically 
feasible, because, as documented by the Regulatory Impact Analysis, all 
regulated sectors can readily absorb or pass on compliance costs.
    The standard's costs, benefits, and compliance requirements are 
reasonable, amounting to approximately 34.9 million in the first year 
and 19.4 million per year thereafter, preventing 17 to 22 fatalities, 
10,898 to 14,118 serious injuries and 15,450 non-serious injuries per 
year. As explained above, using another definition, OSHA estimates that 
it will eliminate between 11,968 and 15,504 lost workday injuries in 
addition to the fatalities prevented. These percentages are consistent 
with those of other OSHA safety standards.
    C. The requirement for the training of powered industrial truck 
operators is necessary to address the significant risks of material 
harm posed by the operation of those vehicles.
    OSHA believes that Section I, Background, Section II, The Powered 
Industrial Truck, Section III, Powered [[Page 13798]] Industrial Truck 
Hazards, Section IV, Accident, Injury and Other Data, and Section V, 
Basis for Agency Action, earlier in this preamble have clearly and 
comprehensively set out the Agency's bases for concluding that the 
operation of powered industrial trucks by untrained or inadequately 
trained employees pose significant risks and that the training of those 
operators is reasonably necessary to protect affected employees from 
those risks. In particular, as detailed in Section IX, Preliminary 
Regulatory Impact and Regulatory Flexibility Analysis and Environmental 
Impact Assessment, later in this preamble, OSHA estimates that the 
improper operation of powered industrial trucks causes 85 fatalities, 
34,902 serious injuries, and 61,800 non-serious injuries annually, and 
that revision of and compliance with the requirements of the OSHA 
standard for the training of powered industrial truck operators will 
reduce the risk of fatality and injury by 25 percent (preventing 17 to 
22 fatalities, 10,898 to 14,118 serious injuries and 15,450 non-serious 
injuries).
    OSHA emphasizes that its risk assessment is based on employee 
exposure to the hazards of the operation of powered industrial trucks, 
hazards that exists in a large range of industries. Although Section 
IX, Preliminary Regulatory Impact and Regulatory Flexibility Analysis 
and Environmental Impact Assessment, later in this preamble, presents 
OSHA's estimate of the costs and benefits of the revision of the 
training requirement in terms of the Standard Industrial Classification 
(SIC) codes for the industries regulated, OSHA does not believe that 
the risk associated with these hazards vary according to what SIC code 
a vehicle may be operated in. Thus, some of the industry categories 
within the scope of the final rule that will have compliance costs have 
had few or no documented powered industrial truck accidents or injuries 
or fatalities during the period covered by the PRIA. In this case, OSHA 
has considered developing a scope of the rule to cover those situations 
it has determined to be hazardous. As explained more fully below, OSHA 
has determined that the lack of prior documented injuries and deaths in 
some SIC Codes does not indicate that the employees in those industries 
are not exposed to significant risks from the unsafe operation of 
powered industrial trucks. As the summary of the PRIA explains in 
detail, OSHA has determined that it is appropriate to include those 
industries within the scope of the standard because employees in those 
industries are exposed to the same kinds of hazards as employees in 
industries for which there are reported injuries and fatalities.
    Even in industry sectors in which no injuries or fatalities have 
been reported, the Agency believes there is sufficient information for 
OSHA to determine that employees who work in areas in which powered 
industrial trucks are operated or operate those vehicles face 
significant risks, based on analysis of the elements of the hazards 
identified and of the similarity of hazard elements between industry 
sectors. Therefore, the Agency has determined that all employees who 
operate those vehicles or work in areas in which those vehicles are 
operated face a significant risk of material harm and that compliance 
with the powered industrial truck standard is reasonably necessary to 
protect affected employees from those risks, regardless of the number 
of accidents and injuries reported for the SIC code to which the 
employer has been assigned.
    Also, because of the difficulties the Agency has experienced in 
compiling a database for powered industrial truck accidents, injuries 
or fatalities may have occurred in industries, including those for 
which no incidents have been documented, without being recorded. In 
addition, the SIC code-based organization of incident data may mask 
actual or potential hazards of the operation of powered industrial 
trucks because, while a business is classified for SIC purposes 
according to its principal activity, the workplace may also contain 
warehousing areas where materials are stored as a ``secondary'' 
purpose, that have necessitated the use of powered industrial trucks 
with their resultant injuries or fatalities. For example, a new car 
dealer would be classified under the new car dealer SIC, even though 
the dealer may store a large number of auto accessories, such as tires 
and batteries. In many instances, large quantities of items like 
batteries are palletized for ease of handling. When these pallets of 
material are delivered to the dealer, the items are either removed from 
the pallet and handling manually, or the pallet and the material are 
moved with some type of powered industrial truck, such as a pallet 
jack. Although the workplace is a new car dealer, a powered industrial 
truck is in use and an accident would have nothing to do with selling 
new cars. Therefore, OSHA believes, based on the limitations of the 
accident data and the circumstantial nature of many vehicle accidents, 
that it is appropriate to require that employers protect affected 
employees from the hazards of vehicle operations in all workplaces 
where powered industrial trucks are used, rather than to characterize 
workplaces according to the injury or fatality experience of the SIC 
codes in which they have been classified.
    The Agency also notes that many accidents that occur as a result of 
powered industrial truck operations are not classified as an accident 
involving a truck. For example, if a powered industrial truck is used 
to lift an employee who is standing on the forks of the vehicle and the 
employee falls from those forks while aloft, the accident could be 
classified as a fall from height or a fall from an elevated platform. 
In both instances, the fact that the employee was unsafely taken aloft 
on the forks of a powered industrial truck and fell from those forks is 
not transferred to the accident report because the accident was 
attributed to other causes.
    Finally, it is well established in the OSH Act enforcement context 
that the lack of injuries or deaths to a particular employer's 
employees does not establish that the employees are not exposed to a 
hazard. In a frequently quoted passage, the Fifth Circuit long ago 
observed that ``the goal of the Act is to prevent the first accident, 
not to serve as a source of consolation for the first victim or his 
survivors'' (Mineral Industries & Heavy Construction Group v. OSHRC, 
639 F.2d 1289, 1294 (5th Cir. 1981)). This principle applies to 
regulatory actions as well. Once the agency determines that exposure to 
a particular condition constitutes a significant risk, it need not 
repeat that analysis for every situation or type of workplace in which 
the condition is found.
    In addition, those segments with fewer trucks and, consequently 
fewer accidents, will have lower costs for training and evaluation. 
However, the risk to each individual operator for each year of 
operation is approximately the same as in industries with more trucks 
and operators. This approach was upheld in International Union, UAW, v. 
OSHA, --F. 2d--, (D.C. Circ., October 21, 1994)
    For all of the foregoing reasons, OSHA has determined that it is 
inappropriate to exclude any of the SICs merely because they have not 
recently had documented powered industrial truck injuries or 
fatalities, insofar as those SICs contain workplaces where those 
vehicles are operated.

 D. Conclusion

    OSHA has determined that the powered industrial truck standard, 
like other safety standards, is subject to the constraints of section 
3(8) of the OSH [[Page 13799]] Act, that the standard is ``reasonably 
necessary or appropriate to provide safe or healthful employment and 
places of employment.'' But the standard is not subject to the section 
6(b)(5) requirement that it limit significant risk ``to the extent 
feasible.''
    The Agency believes that the use of powered industrial trucks in 
the workplace by untrained or poorly trained employees poses 
significant risks and that the need to require that only properly 
trained employees operate those vehicles is reasonably necessary to 
protect affected employees from those risks. OSHA also has determined 
that compliance with the standard for the training of those operators 
is technologically feasible because many companies offer the type 
training that the standard would require. In addition, OSHA believes 
that compliance is economically feasible, because, as documented by the 
Preliminary Regulatory Impact Analysis (Ex. 2), all regulated sectors 
can readily absorb or pass on initial compliance costs and economic 
benefits will ultimately exceed compliance costs. In particular, the 
Agency believes that compliance with the powered industrial truck 
training requirement will result in substantial cost savings and 
productivity gains at facilities that utilize powered industrial trucks 
that might otherwise be disrupted by accidents and injuries.
    As detailed in the Summary of the Preliminary Regulatory Impact 
Analysis, the standard's costs, benefits, and compliance requirements 
are consistent with those of other OSHA safety standards. For example, 
the Hazardous Waste Operations and Emergency Response standard (29 CFR 
1910.120) requires the use of existing technology and well accepted 
safety practices to eliminate at least 32 deaths and 18,700 lost 
workday injuries at a cost of about $153 million per year (54 FR 9311-
9312; March 6, 1989). The Excavations standard (29 CFR 1926, Subpart P) 
also drew on existing technology and recognized safety practices to 
save 74 lives and over 800 lost workday injuries annually at a cost of 
about $306 million (54 FR 45,954; Oct. 31, 1989). Additionally, the 
Grain Handling Facilities standard (29 CFR 1910.272) relied primarily 
on simple housekeeping measures to save 18 lives and 394 injuries 
annually, at a total net cost of between $5.9 million and $33.4 million 
(52 FR 49,622; Dec. 31, 1987). Also, compliance with the planning, work 
practice, and training provisions of the Process Safety Management 
standard (29 CFR 1910.119) will reduce the risk of catastrophic fire 
and explosion (330 fatalities and 1917 injuries and illnesses annually) 
by 80 percent, at an annualized cost of $888.7 million in the first 
five years and at an annualized cost of $470.8 million in the following 
five years.

IX. Summary of the Preliminary Economic, Feasibility and Regulatory 
Flexibility Analyses and Environmental Impact Assessment

A. Introduction

    Executive Order 12866 and the Regulatory Flexibility Act require 
Federal Agencies to analyze the costs, benefits and other consequences 
and impacts of proposed standards and final rules. Consistent with 
these requirements, OSHA has prepared a preliminary economic analysis 
for the proposed revisions to and adoption of the powered industrial 
truck operator training provisions which are proposed in this document.
    This analysis includes a description of the industries that would 
be affected by the regulation, an assessment of the benefits 
attributable to adoption of the proposal, a determination of the 
technological feasibility of the proposed revisions, estimation of the 
costs of compliance, a determination of the economic feasibility of 
compliance with the proposed provisions, and an analysis of the 
economic and other impacts of this rulemaking. The Advisory Committee 
on Construction Safety and Health is currently reviewing the proposed 
rule for applicability to the construction industry and based on the 
Advisory Committee's recommendations, OSHA may extend the coverage of 
the proposed rule to this sector in the future.
Affected Industries
    Using powered industrial truck sales data provided by the 
Industrial Truck Association (ITA), OSHA estimates that there are 
822,831 industrial trucks in use in industries covered by the proposed 
standard. Industries with the largest number of powered industrial 
trucks include wholesale trade-non-durable goods (SIC 51) with an 
estimated 109,232 powered industrial trucks, and food and kindred 
products (SIC 20) with an estimated 71,275 such trucks.
    The proposed OSHA revisions will cover workers who operate powered 
industrial trucks. This includes operators using these vehicles in the 
general industry and maritime sectors. The population-at-risk in 
powered industrial truck accidents consists primarily of the operators 
of these trucks. Operators of powered industrial trucks include workers 
employed as designated truck operators as well as those who might 
operate powered industrial truck as part of another job. These 
alternate users of powered industrial trucks include shipping and 
receiving clerks, order pickers, maintenance personnel, and general 
temporary workers. Non-driving workers such as warehousemen, materials 
handlers, laborers and pedestrians who work on or are present in the 
vicinity of powered industrial trucks are also injured or killed in 
powered industrial truck accidents. Estimates of the number of non-
driving employees are not included in the population-at-risk numbers 
presented in this economic analysis. However, non-driving employees are 
included in the number of preventable fatal and non-fatal injuries 
estimated to be associated with compliance with the proposed rule.
    OSHA estimates that approximately 1.2 million workers are employed 
as industrial truck operators in industries regulated by OSHA. 
Industries with the largest number of operators include wholesale trade 
(SIC 51) with 163,848 operators, and food and kindred products (SIC 20) 
with 106,913 operators.
Technological Feasibility
    OSHA could not identify any requirement in the proposed standard 
that raises technological feasibility problems for establishments that 
use industrial trucks. On the contrary, there is substantial evidence 
that establishments can achieve compliance with all requirements using 
existing methods and equipment. In addition, the standard introduces no 
technological requirements of any type. Therefore, OSHA has 
preliminarily concluded that technological feasibility is not an issue 
for the proposed standard.
Costs of Compliance
    The proposed OSHA industrial truck operator training standard would 
expand the initial training required by the existing standard to 
include information on the operating instructions and warnings 
appropriate to the type of truck used, the specific hazards in the 
workplace where the truck will be operated, and instructions pertaining 
to the requirements of the OSHA standard. Additionally, the proposed 
standard requires employers to monitor the performance of industrial 
truck operators through an annual evaluation and to provide remedial 
training when this evaluation suggests that such training is needed. 
[[Page 13800]] 
    OSHA estimates that the first year cost of compliance with the 
proposed standard will be $34.9 million and that the annual cost of 
compliance thereafter will be $19.4 million. Table 12 outlines the 
annual costs by each sector affected by the proposed standard. Industry 
sectors with the highest estimated annualized compliance costs are 
manufacturing, with $9.8 million, and wholesale and retail trade with 
$5.6 million. Existing industry practice was taken into consideration 
when calculating costs, i.e., where employers have already voluntarily 
implemented practices that would be required by the proposed standard, 
no cost is attributed to the standard. OSHA welcomes comments on the 
preliminary costs and assumptions presented in this Preliminary 
Economic Analysis.

  Table 12.--Estimated Annualized Compliance Costs for the Proposed Industrial Truck Operator Training Standard 
----------------------------------------------------------------------------------------------------------------
                                             Initial      Initial                      Remedial                 
                  Sector                    evaluation    training     Monitoring      training        Total    
----------------------------------------------------------------------------------------------------------------
Agriculture..............................       $2,457      $28,637         $39,404       $2,251         $72,749
Mining<SUP>a..................................        1,109       12,923          17,778        1,016          32,825
Manufacturing............................      332,222    3,872,651       5,327,726      304,441       9,837,040
Transportation and Utilities.............       91,344    1,064,777       1,464,847       83,706       2,704,674
Wholesale and Retail Trade...............      189,193    2,205,396       3,034,033      173,373       5,601,996
Finance, Insurance, & Real Estate........        2,607       30,389          41,807        2,389          77,192
Services.................................       37,477      436,859         601,001       34,343       1,109,679
                                          ----------------------------------------------------------------------
      Total..............................      656,408    7,651,632      10,526,595      601,519      19,436,154
----------------------------------------------------------------------------------------------------------------
<SUP>aOil and gas extraction.                                                                                        
                                                                                                                
Note: Costs are annualized over 10 years at a 7 percent interest rate (annualization factor 0.1424).            
Source: US Department of Labor, OSHA, Office of Regulatory Analysis, based on ERG [1, Section 3].               

Benefits
    An estimated 85 fatalities and 34,902 injuries result annually from 
industrial truck-related accidents. As presented in Table 13, OSHA 
estimates that full compliance with the proposed standard will prevent 
between 17 and 22 of these fatalities per year and between 10,898 and 
14,118 lost workday injuries. These preventable fatalities and injuries 
are in addition to lives saved and injuries prevented by OSHA's 
existing standard.
    The proposed standard will also reduce property damage and 
training-related litigation. OSHA's preliminary analysis of the impacts 
of improved training show reductions in property damage valued at an 
estimated $8 million to $42 million annually. In addition, OSHA 
estimates that approximately $770,018 will be saved annually in damages 
and settlements in court cases that would have been awarded as a result 
of injuries caused by deficiencies in industrial truck operator 
training.

 Table 13.--Number of Fatalities and Injuries Prevented by Compliance With the Proposed Powered Industrial Truck
                                                Training Standard                                               
----------------------------------------------------------------------------------------------------------------
                                       Total      Preventable fatalities      Total       Preventable injuries  
                                     number of    under proposed standard   number of    under proposed standard
          Industry group             industrial --------------------------  industrial -------------------------
                                       truck                                  truck                             
                                     fatalities      Low          High       injuries       Low          High   
----------------------------------------------------------------------------------------------------------------
Forestry, Fishing and Agricultural                                                                              
 Services.........................            0            0            0          219           68           88
Mining--oil and gas extraction....            1          0.2          0.3           84           26           34
Manufacturing.....................           30          5.9          7.7       14,895        4,651        6,025
Transportation, communication, and                                                                              
 utilities........................           20          3.9          5.1        4,265        1,332        1,725
Wholesale and retail trade........           25          4.9          6.4       12,012        3,751        4,859
Finance, insurance, and real                                                                                    
 estate...........................            0            0            0          212           66           86
Services..........................            9          1.8          2.3        3,215        1,004        1,300
                                   -----------------------------------------------------------------------------
      All industries..............           85           17           22       34,902       10,898       14,118
----------------------------------------------------------------------------------------------------------------
Source: U.S. Department of Labor, OSHA, Office of Regulatory Analysis, based on ERG Report (1, Section 4).      

Economic Impacts and Regulatory Flexibility Analysis
    OSHA assessed the potential economic impacts of compliance with the 
proposed standard and has preliminarily determined that the standard is 
economically feasible for all industry groups. Detailed information at 
the three-digit SIC level is presented in OSHA's Preliminary Economic 
Analysis. When an industry enjoys an inelastic demand for its products, 
an increase in operating costs can ordinarily be passed on to 
consumers. In this case, the maximum expected price increase is 
calculated by dividing the average estimated compliance cost in each 
industry by the average revenue for that industry. OSHA estimates that 
the average price increase would be negligible, about 0.0002 percent. 
Table 14 shows that the average price increase at the two-digit SIC 
level would be extremely small. (For impacts at the three-digit SIC 
level, see economic analysis, Table V-1). These estimates indicate that 
even if all costs were passed on to consumers through price increases, 
the proposed standard would have a negligible impact on prices overall.
    Given the minuscule price increases necessary to cover the cost of 
the proposed training requirements, employers should be able to pass 
along compliance costs to customers. However, even if all costs were 
absorbed by the affected firms, the average [[Page 13801]] reduction in 
profits would be only 0.007 percent. As presented in Table 14, the 
largest potential decrease in profits--0.038 percent--would occur in 
SIC 51, Nondurable Goods. Because most firms will not find it necessary 
to absorb all of the costs from profits and should be able to pass most 
if not all of the standard's costs on to consumers, average profits are 
not expected to decline to the extent calculated here. OSHA, therefore, 
does not expect the revised standard to have a significant economic 
impact on affected firms or industries.

         Table 14.--Economic Impact of the Proposed Powered Industrial Trucks Operator Training Standard        
----------------------------------------------------------------------------------------------------------------
                                           Value of                                                             
                                           industry                                                   Compliance
                                          shipments,    Annualized    Compliance costs    Pre-tax     costs as a
          SIC/Industry sector            receipts or    compliance     as a percent of   income ($    percent of
                                           sales ($        costs            sales        millions)     pre-tax  
                                          millions)                                                     income  
----------------------------------------------------------------------------------------------------------------
07  Agricultural services..............           NA         $72,749  ................  ...........  ...........
13  Mining--oil and gas extraction.....      $48,178          32,825  Negligible......  ...........  ...........
20  Food and kindred products..........      387,601       1,774,023  0.0005..........       36,213        0.005
21  Tobacco products...................       32,032          43,951  0.0001..........        (\1\)        (\1\)
22  Textile mill products..............       65,706         384,461  0.0006..........        5,102        0.008
23  Apparel and other textile products.       65,345         109,656  0.0002..........        3,548        0.003
24  Lumber and wood products...........       70,569         415,093  0.0006..........        2,881        0.014
25  Furniture and fixtures.............       40,027         194,006  0.0005..........        1,942        0.010
26  Paper and allied products..........      128,824         760,042  0.0006..........        7,307        0.010
27  Printing, publishing, and allied         156,685         435,959  0.0003..........       13,171        0.003
 industries.                                                                                                    
28  Chemicals and allied products......      292,326         931,407  0.0003..........       24,169        0.004
29  Petroleum refining and related           158,076          92,786  0.0001..........       11,193        0.001
 industries.                                                                                                    
30  Rubber and miscellaneous plastics        100,668         522,973  0.0005..........        5,366        0.010
 products.                                                                                                      
31  Leather and leather products.......        9,142          47,059  0.0005..........        (\2\)        (\2\)
32  Stone, clay, glass, and concrete          59,611         396,003  0.0007..........        2,664        0.015
 products.                                                                                                      
33  Primary metal industries...........      132,837         567,368  0.0004..........        3,133        0.018
34  Fabricated metal products..........      157,077         717,423  0.0005..........        7,660        0.009
35  Industrial and commercial machinery      243,479         900,774  0.0004..........  ...........  ...........
 and computer equip.                                                                                            
36  Electric and electronic equipment..      197,880         492,784  0.0002..........       15,378        0.003
37  Transportation equipment...........      364,032         691,674  0.0002..........        1,916        0.036
38  Instruments and related equipment..      127,160         141,176  0.0001..........        8,326        0.002
39  Miscellaneous manufacturing               37,131         218,423  0.0006..........        2,418        0.009
 industries.                                                                                                    
40  Railroad transportation............       44,422          69,042  0.0002..........  ...........  ...........
41  Local, suburban, and interurban            8,094          51,782  0.0006..........  ...........  ...........
 passenger transit.                                                                                             
42  Trucking and warehousing...........      110,103       1,800,849  0.0016..........  ...........  ...........
44  Water transportation...............       18,336         105,655  0.0006..........  ...........  ...........
45  Transportation by air..............       82,055         188,820  0.0002..........  ...........  ...........
46  Pipelines, except natural gas......        2,098           4,707  0.0002..........  ...........  ...........
47  Transportation services............       54,432         156,391  0.0003..........  ...........  ...........
48  Communications.....................      232,257          60,673  Negligible......  ...........  ...........
49  Electric, gas and sanitary services      292,280         266,754  0.0001..........  ...........  ...........
50  Durable goods......................      981,208       1,335,982  0.0001..........        4,880        0.027
51  Nondurable goods...................      943,174       2,201,118  0.0002..........        5,831        0.038
52  Building materials and garden            115,855         426,997  0.0004..........  ...........  ...........
 supplies.                                                                                                      
53  General merchandise stores.........      266,991         683,253  0.0003..........  ...........  ...........
54  Food stores........................      392,400         690,815  0.0002..........  ...........  ...........
55  Automatic dealers and service            587,890          67,212  Negligible......  ...........  ...........
 stations.                                                                                                      
56  Apparel and accessory stores.......      106,128          39,537  Negligible......  ...........  ...........
57  Furniture and home furnishings           113,673         136,581  0.0001..........  ...........  ...........
 stores.                                                                                                        
58  Eating and drinking places.........      211,036          28,035  Negligible......  ...........  ...........
59  Miscellaneous retails..............      249,463         265,974  0.0001..........  ...........  ...........
60  Banking............................       48,477          15,103  Negligible......  ...........  ...........
61  Credit agencies other than banks...       69,148           6,293  Negligible......  ...........  ...........
62  Security and commodity brokers and        41,226           5,034  Negligible......  ...........  ...........
 services.                                                                                                      
63  Insurance carriers.................      521,036          27,269  Negligible......  ...........  ...........
64  Insurance agents, brokers, and            31,623           2,937  Negligible......  ...........  ...........
 services.                                                                                                      
65  Real estate........................       96,942          13,425  Negligible......  ...........  ...........
67  Holding and other investment              47,301           7,132  Negligible......  ...........  ...........
 offices.                                                                                                       
70  Hotels and other lodging places....       64,630          13,486  Negligible......  ...........  ...........
72  Personal services..................       59,052          13,486  Negligible......  ...........  ...........
78  Motion pictures....................       43,838          17,164  Negligible......  ...........  ...........
79  Amusement and recreation services..       51,107          25,746  Negligible......  ...........  ...........
80  Health services....................      285,040          72,743  Negligible......  ...........  ...........
81  Legal services.....................       96,179           4,495  Negligible......  ...........  ...........
82  Educational services...............        4,617          64,569  0.0014..........  ...........  ...........
83  Social services....................       68,312          22,068  Negligible......  ...........  ...........
84  Museums, art galleries, botanical          3,551           1,226  Negligible......  ...........  ...........
 and zoological gardens.                                                                                        
86  Membership organizations...........       39,118           7,765  Negligible......  ...........  ...........
87  Engineering, accounting, research        224,238          52,309  Negligible......  ...........  ...........
 and management svcs.                                                                                           
89  Miscellaneous services, n.e.c......       23,871          15,938  0.0001..........  ...........  ...........
                                        ------------------------------------------------------------------------
                                                                                                                
                                                                                                                
      [[Page 13802]]Totals.............  ...........      19,436,154  0.0002..........  ...........        0.007
----------------------------------------------------------------------------------------------------------------
\1\=included under SIC 20.                                                                                      
\2\=included under SIC 23.                                                                                      
Negligible denotes less than 0.00001 percent.                                                                   
Source: US Department of Labor, OSHA, Office of Regulatory Analysis, based on ERG Report (1, Chapter 6).        

    In accordance with the Regulatory Flexibility Act of 1980 (5 U.S.C. 
601 et seq.), OSHA has also analyzed the economic impact of the 
proposed standard on small establishments (19 or fewer employees), 
looking particularly for evidence that the rule would have a 
significant impact on a substantial number of small entities. Small 
businesses will incur lower compliance costs than larger businesses 
because the compliance costs depend directly on the number of 
industrial truck operators in a given facility. OSHA has preliminarily 
concluded that it would not have a significant impact upon a 
substantial number of small entities. Assuming a 15 percent turnover 
rate, compliance costs for a typical small business in public 
warehousing and storage (SIC 422) will be $1,188 in the first year and 
$280 annually thereafter. OSHA estimates that the average price impact 
for small establishments will not exceed 0.12 percent. Similarly, OSHA 
estimates that, if the average establishment could not pass any of 
these costs to its customers through this very small price increase (a 
highly unlikely scenario), the costs would impact average profits by 
less than 1.2 percent. These impacts are judged to be relatively minor; 
therefore, the proposed standard is economically feasible for small 
establishments.

XI. Environmental Assessment

    The proposed rules have been reviewed in accordance with the 
requirements of the National Environmental Policy Act (NEPA) of 1969 
(42 U.S.C. 4321 et seq.), the regulations of the Council of 
Environmental Quality (CEQ) (40 CFR part 1500), and DOL NEPA procedures 
(29 CFR part 11). The provision of the standard focuses on the 
reduction and avoidance of incidents involving powered industrial 
trucks. Consequently, no major negative impact is foreseen on air, 
water or soil quality, plant or animal life, the use of land or other 
aspects of the environment. Therefore, this revision is categorized as 
an excluded action according to subpart B, Sec. 11.10 of the DOL NEPA 
regulations.

X. International Trade

    This revision of the OSHA standards on powered industrial trucks 
and the promulgation of the same standard for other industries is not 
likely to have a significant effect on international trade because of 
the small magnitude of any price increase that would be required for 
passing forward compliance costs. As shown above, the maximum price 
increases generated from the proposed rule would be less that 1.0 
percent for the majority of affected establishments. Further, none of 
the compliance requirements affect the demand for foreign-made safety 
equipment. It can be concluded, therefore, that there will be no 
measurable impacts on foreign trade.

XII. Federalism

    This proposed regulation has been reviewed in accordance with 
Executive Order 12612 (52 FR 41685, October 30, 1987), regarding 
Federalism. This Order requires that agencies, to the extent possible, 
refrain from limiting state policy options, consult with states prior 
to taking any actions which would restrict state policy options, and 
take such actions only when there is clear constitutional authority and 
the presence of a problem of national scope. The Order provides for 
preemption of state law only if there is a clear Congressional intent 
for the Agency to do so. Any such preemption is to be limited to the 
extent possible.
    Section 18 of the Occupational Safety and Health Act (OSH Act) 
expresses Congress' intent to preempt state laws relating to issues on 
which Federal OSHA has promulgated occupational safety and health 
standards. Under the OSH Act, a state can avoid preemption in issues 
covered by Federal standards only if it submits, and obtains Federal 
approval of, a plan for the development of such standards and their 
enforcement. Occupational safety and health standards developed by such 
Plan states must, among other things, be at least as effective in 
providing safe and healthful employment and places of employment as the 
Federal standards. When such standards are applicable to products 
distributed or used in interstate commerce they may not unduly burden 
commerce and must be justified by compelling local conditions.
    The Federal proposed standard on powered industrial truck operator 
training addresses hazards that are not unique to any one state or 
region of the country. Nonetheless, states with occupational safety and 
health plans approved under section 18 of the OSH Act will be able to 
develop their own state standards to deal with any special problems 
which might be encountered in a particular state. Moreover, because 
this standard is written in general, performance-oriented terms, there 
is considerable flexibility for state plans to require, and for 
affected employers to use, methods of compliance which are appropriate 
to the working conditions covered by the standard.
    In brief, this proposed rule addresses a clear national problem 
related to occupational safety and health in general industry. Those 
states which have elected to participate under section 18 of the OSH 
Act are not preempted by this standard, and will be able to address any 
special conditions within the framework of the Federal Act while 
ensuring that the state standards are at least as effective as their 
standard. State comments are invited on this proposal and will be fully 
considered prior to promulgation of a final rule.

XIII. Public Participation

    Interested persons are requested to submit written data, views and 
arguments concerning this proposal. These comments must be postmarked 
by July 12, 1995, and submitted in quadruplicate to the Docket Office; 
Docket No. S-008, Room N2624; U.S. Department of Labor, Occupational 
Safety and Health Administration; 200 [[Page 13803]] Constitution Ave., 
NW., Washington, DC 20210.
    All written comments received within the specified comment period 
will be made a part of the record and will be available for public 
inspection and copying at the above Docket Office address.
    Additionally, under section 6(b)(3) of the OSH Act and 29 CFR 
1911.11, interested persons may file objections to the proposal and 
request an informal hearing. The objections and hearing requests should 
be submitted in quadruplicate to the Docket Office at the above address 
and must comply with the following conditions:
    1. The objection must include the name and address of the objector;
    2. The objections must be postmarked by July 12, 1995;
    3. The objections must specify with particularity grounds upon 
which the objection is based;
    4. Each objection must be separately numbered; and
    5. The objections must be accompanied by a detailed summary of the 
evidence proposed to be adduced at the requested hearing.
    Interested persons who have objections to various provisions or 
have changes to recommend may of course make those objections and their 
recommendations in their comments and OSHA will fully consider them. 
There is only need to file formal ``objections'' separately if the 
interested person requests a public hearing.
    OSHA recognizes that there may be interested persons who, through 
their knowledge of safety or their experience in the operations 
involved, would wish to endorse or support certain provisions in the 
standard. OSHA welcomes such supportive comments, including any 
pertinent accident data or cost information which may be available, in 
order that the record of this rulemaking will present a balanced 
picture of the public response on the issues involved.

XIV. State Plan Standards

    The 25 States with their own OSHA approved occupational safety and 
health plans must adopt a comparable standard within six months of the 
publication date of the final standard. These States are: Alaska, 
Arizona, California, Connecticut (for State and local government 
employees only), Hawaii, Indiana, Iowa, Kentucky, Maryland, Michigan, 
Minnesota, Nevada, New Mexico, New York (for State and local government 
employees only), North Carolina, Oregon, Puerto Rico, South Carolina, 
Tennessee, Utah, Vermont, Virginia, Virgin Island, Washington, and 
Wyoming. Until such time as a State standard is promulgated, Federal 
OSHA will provide interim enforcement assistance, as appropriate, in 
those States.

List of Subjects

29 CFR Part 1910

    Motor vehicle safety, Occupational safety and health, 
Transportation.

29 CFR Part 1915

    Motor vehicle safety, Occupational safety and health, 
Transportation, Vessels.

29 CFR Part 1917

    Marine terminals, Motor vehicle safety, Occupational safety and 
health, Vessels.

29 CFR Part 1918

    Longshoring, Motor vehicle safety, Occupational safety and health, 
Vessels.

XV. Authority

    This document was prepared under the direction of Joseph A. Dear, 
Assistant Secretary of Labor for Occupational Safety and Health, U.S. 
Department of Labor, 200 Constitution Avenue, NW., Washington, DC 
20210.
    Accordingly, pursuant to section 4, 6(b), 8(c) and 8(g) of the 
Occupational Safety and Health Act of 1970 (29 U.S.C. 653, 655, 657), 
Secretary of Labor's Order No. 1-90 (55 FR 9033), and 29 CFR part 1911, 
it is proposed to amend 29 CFR parts 1910, 1915, 1917, 1918 and 1926 as 
set forth below.

    Signed at Washington, DC, this 24th day of February, 1995.
Joseph A. Dear,
Assistant Secretary of Labor.

PART 1910--OCCUPATIONAL SAFETY AND HEALTH STANDARDS

    1. The authority citation for subpart N of part 1910 would be 
revised to read as follows:

    Authority: Secs. 4, 6, 8 of the Occupational Safety and Health 
Act of 1970 (29 U.S.C. 653, 655, 657); Secretary of Labor's Order 
No. 12-71 (36 FR 8754), 8-76 (41 FR 25059), 9-83 (48 FR 35736) or 1-
90 (55 FR 9033), as applicable.
    Section 1910.177 also issued under 5 U.S.C. 553 and 29 CFR part 
1911.
    Sections 1910.176, 1910.178, 1910.179, 1910.183, 1910.184, 
1910.189, and 1910.190 also issued under 29 CFR part 1911.

    2. Section 1910.178 would be amended by revising paragraph (l) and 
by adding appendices A and B at the end of the section to read as 
follows:


Sec. 1910.178  Powered industrial trucks.

* * * * *
    (l) Operator training.
    (1) Operator qualifications. (i) The employer shall ensure that 
each potential operator of a powered industrial truck is capable of 
performing the duties that are required of the job.
    (ii) In determining operator qualifications, the employer shall 
ensure that each potential operator has received the training required 
by this paragraph (l), that each potential operator has been evaluated 
by a designated person while performing the required duties, and that 
each potential operator performs those operations competently.
    (2) Training program implementation.
    (i) The employer shall implement a training program and ensure that 
only trained drivers who have successfully completed the training 
program are allowed to operate powered industrial trucks. Exception: 
Trainees under the direct supervision of a designated person shall be 
allowed to operate a powered industrial truck provided the operation of 
the vehicle is conducted in an area where other employees are not near 
and the operation of the truck is under controlled conditions.
    (ii) Training shall consist of a combination of classroom 
instruction (Lecture, discussion, video tapes, and/or conference) and 
practical training (demonstrations and practical exercises by the 
trainee).
    (iii) All training and evaluation shall be conducted by a 
designated person who has the requisite knowledge, training and 
experience to train powered industrial truck operators and judge their 
competency.
    (3) Training program content. Powered industrial truck operator 
trainees shall be trained in the following topics unless the employer 
can demonstrate that some of the topics are not needed for safe 
operation.
    (i) Truck related topics.
    (A) All operating instructions, warnings and precautions for the 
types of trucks the operator will be authorized to operate;
    (B) Similarities to and differences from the automobile;
    (C) Controls and instrumentation: location, what they do and how 
they work;
    (D) Power plant operation and maintenance;
    (E) Steering and maneuvering;
    (F) Visibility (including restrictions due to loading);
    (G) Fork and attachment adaption, operation and limitations of 
their utilization;
    (H) Vehicle capacity;
    (I) Vehicle stability;
    (J) Vehicle inspection and maintenance; [[Page 13804]] 
    (K) Refueling or charging, recharging batteries;
    (L) Operating limitations; and
    (M) Any other operating instruction, warning or precaution listed 
in the operator's manual for the type vehicle which the employee is 
being trained to operate.
    (ii) Workplace related topics.
    (A) Surface conditions where the vehicle will be operated;
    (B) Composition of probable loads and load stability;
    (C) Load manipulation, stacking, unstacking;
    (D) Pedestrian traffic;
    (E) Narrow aisles and other restricted places of operation;
    (F) Operating in hazardous classified locations;
    (G) Operating the truck on ramps and other sloped surfaces that 
could affect the stability of the vehicle;
    (H) Other unique or potentially hazardous environmental conditions 
that exist or may exist in the workplace; and
    (I) Operating the vehicle in closed environments and other areas 
where insufficient ventilation could cause a buildup of carbon monoxide 
or diesel exhaust.
    (iii) The requirements of this section.
    (4) Evaluation and refresher or remedial training.
    (i) Sufficient evaluation and remedial training shall be conducted 
so that the employee retains and uses the knowledge, skills and ability 
needed to operate the powered industrial truck safely.
    (ii) An evaluation of the performance of each powered industrial 
truck operator shall be conducted at least annually by a designated 
person.
    (iii) Refresher or remedial training shall be provided when there 
is reason to believe that there has been unsafe operation, when an 
accident or a near-miss occurs or when an evaluation indicates that the 
operator is not capable of performing the assigned duties.
    (5) Certification.
    (i) The employer shall certify that each operator has received the 
training, has been evaluated as required by this paragraph, and has 
demonstrated competency in the performance of the operator's duties. 
The certification shall include the name of the trainee, the date of 
training, and the signature of the person performing the training and 
evaluation.
    (ii) The employer shall retain the current training materials and 
course outline or the name and address of the person who conducted the 
training if it was conducted by an outside trainer.
    (6) Avoidance of Duplicative Training.
    (i) Each current truck operator who has received training in any of 
the elements specified in paragraph (l)(3) of this section for the 
types of trucks the employee is authorized to operate and the type 
workplace that the trucks are being operated in need not be retrained 
in those elements if the employer certifies in accordance with 
paragraph (l)(5)(i) of this section that the operator has been 
evaluated to be competent to perform those duties.
    (ii) Each new truck operator who has received training in any of 
the elements specified in paragraph (l)(3) of this section for the 
types of trucks the employee will be authorized to operate and the type 
of workplace in which the trucks will be operated need not be retrained 
in those elements before initial assignment in the workplace if the 
employer has written documentation of the training and if the employee 
is evaluated pursuant to paragraph (l)(4) of this section to be 
competent.

    Note to paragraph (l): Appendices A and B at the end of this 
section provide non-mandatory guidance to assist employers in 
implementing this paragraph (l).
* * * * *

Appendixes to 31910.178

Appendix A--Training of Powered Industrial Truck Operators

(Non-mandatory appendix to paragraph (l) of this section)

A-1. Operator Selection

    A-1.1. Prospective operators of powered industrial trucks should be 
identified based upon their ability to be trained and accommodated to 
perform job functions that are essential to the operation of a powered 
industrial truck. Determination of the capabilities of a prospective 
operator to fulfill the demands of the job should be based upon the 
tasks that the job demands.
    A-1.2. The employer should identify all the aspects of the job that 
the employee must meet/perform when doing his or her job. These aspects 
could include the level at which the employee must see and hear, the 
physical demands of the job, and the environmental extremes of the job.
    A-1.3. One factor to be considered is the ability of the candidate 
to see and hear within reasonably acceptable limits. Included in the 
vision requirements are the ability to see at distance and 
peripherally. In certain instances, there also is a requirement for the 
candidate to discern different colors, primarily red, yellow and green.
    A-1.4. The environmental extremes that might be demanded of a 
potential powered industrial truck operator include that ability of the 
person to work in areas of excessive cold or heat.
    A-1.5. After an employee has been trained and appropriate 
accommodations have been made, the employer needs to determine whether 
the employee can safely perform the job.

A-2. The Method(s) of Training

    A-2.1. Among the many methods of training are the lecture, 
conference, demonstration, test (written and/or oral) and the practical 
exercise. In most instances, a combination of these methods have been 
successfully used to train employees in the knowledge, skills and 
abilities that are essential to perform the job function that the 
employee is being trained to perform. To enhance the training and to 
make the training more understandable to the employee, employers and 
other trainers have used movies, slides, video tapes and other visual 
presentations. Making the presentation more understandable has several 
advantages including:
    (1) The employees being trained remain more attentive during the 
presentation if graphical presentation are used, thereby increasing the 
effectiveness of the training;
    (2) The use of visual presentations allows the trainer to ensure 
that the necessary information is covered during the training;
    (3) The use of graphics makes better utilization of the training 
time by decreasing the need for the instructor to carry on long 
discussions about the instructional material; and
    (4) The use of graphics during instruction provides greater 
retention by the trainees.

A-3. Training Program Content

    A-3.1. Because each type (make and model) powered industrial truck 
has different operating characteristics, limitations and other unique 
features, an optimum employee training program for powered industrial 
truck operators must be based upon the type vehicles that the employee 
will be trained and authorized to operate. The training must also 
emphasize the features of the workplace which will affect the manner in 
which the vehicle must be operated. Finally, the training must include 
the general safety rules applicable to the operation of all powered 
industrial trucks.
    A-3.2. Selection of the methods of training the operators has been 
left to the reasonable determination of the employer. Whereas some 
employees can assimilate instructional material while seated in a 
classroom, other employees may learn best by observing the conduct of 
operations (demonstration) and/or by [[Page 13805]] having to 
personally conduct the operations (practical exercise). In some 
instances, an employee can receive valuable instruction through the use 
of electronic mediums, such as the use of video tapes and movies. In 
most instances, a combination of the different training methods may 
provide the mechanism for providing the best training in the least 
amount of time. OSHA has specified at paragraph (l)(2)(ii) of this 
section that the training must consist of a combination classroom 
instruction and practical exercise. The use of both these modes of 
instruction is the only way of assuring that the trainee has received 
and comprehended the instruction and can utilize the information to 
safely operate a powered industrial truck.

A-4. Initial Training

    A-4.1. The following is an outline of a generalized forklift 
operator training program:
    (1) Characteristics of the powered industrial truck(s) the employee 
will be allowed to operate:
    (a) Similarities to and differences from the automobile;
    (b) Controls and instrumentation: location, what they do and how 
they work;
    (c) Power plant operation and maintenance;
    (d) Steering and maneuvering;
    (e) Visibility;
    (f) Fork and/or attachment adaption, operation and limitations of 
their utilization;
    (g) Vehicle capacity;
    (h) Vehicle stability;
    (i) Vehicle inspection and maintenance;
    (j) Refueling or charging, recharging batteries.
    (k) Operating limitations.
    (l) Any other operating instruction, warning or precaution listed 
in the operator's manual for the type vehicle which the employee is 
being trained to operate.
    (2) The operating environment:
    (a) Floor surfaces and/or ground conditions where the vehicle will 
be operated;
    (b) Composition of probable loads and load stability;
    (c) Load manipulation, stacking, unstacking;
    (d) Pedestrian traffic;
    (e) Narrow aisle and restricted place operation;
    (f) Operating in classified hazardous locations;
    (g) Operating the truck on ramps and other sloped surfaces which 
would affect the stability of the vehicle;
    (h) Other unique or potentially hazardous environmental conditions 
which exist or may exist in the workplace.
    (i) Operating the vehicle in closed environments and other areas 
where insufficient ventilation could cause a buildup of carbon monoxide 
or diesel exhaust.
    (3) The requirements of this OSHA Standard.

A-5. Trainee Evaluation

    A-5.1. The provisions of these proposed requirements specify that 
an employee evaluation be conducted both as part of the training and 
after completion of the training. The initial evaluation is useful for 
many reasons, including:
    (1) the employer can determine what methods of instruction will 
produce a proficient truck operator with the minimum of time and 
effort;
    (2) the employer can gain insight into the previous training that 
the trainee has received; and
    (3) a determination can be made as to whether the trainee will be 
able to successfully operate a powered industrial truck. This initial 
evaluation can be completed by having the employee fill out a 
questionnaire, by an oral interview, or by a combination of these 
mechanisms. In many cases, answers received by the employee can be 
substantiated by contact with other employees or previous employers.

A-6. Refresher or Remedial Training

    A-6.1. (The type information listed at paragraph A-6.2 of this 
appendix would be used when the training is more than an on-the-spot 
correction being made by a supervisor or when there have been multiple 
instances of on-the-spot corrections having to be made.) When an on-
the-spot correction is used, the person making the correction should 
point out the incorrect manner of operation of the truck or other 
unsafe act being conducted, tell the employee how to do the operation 
correctly, and then ensure that the employee does the operation 
correctly.
    A-6.2. The following items may be used when a more general, 
structured retraining program is utilized to train employees and 
eliminate unsafe operation of the vehicle:
    (1) Common unsafe situations encountered in the workplace;
    (2) Unsafe methods of operating observed or known to be used;
    (3) The need for constant attentiveness to the vehicle, the 
workplace conditions and the manner in which the vehicle is operated.
    A-6.3. Details about the above subject areas need to be expanded 
upon so that the operator receives all the information which is 
necessary for the safe operation of the vehicle. Insight into some of 
the specifics of the above subject areas may be obtained from the 
vehicle manufacturers' literature, the national consensus standards 
[e.g. the ANSI B56 series of standards (current revisions)] and this 
OSHA Standard.

Appendix B--Stability of Powered Industrial Trucks

(Non-mandatory appendix to paragraph (l) of this section)

B-1. Definitions

    To understand the principle of stability, understanding definitions 
of the following is necessary:
    Center of gravity is that point of an object at which all of the 
weight of an object can be considered to be concentrated.
    Counterweight is the weight that is a part of the basic structure 
of a truck that is used to offset the weight of a load and to maximize 
the resistance of the vehicle to tipping over.
    Fulcrum is the axis of rotation of the truck when it tips over.
    Grade is the slope of any surface that is usually measured as the 
number of feet of rise or fall over a hundred foot horizontal distance 
(this measurement is designated as a percent).
    Lateral stability is the resistance of a truck to tipping over 
sideways.
    Line of action is an imaginary vertical line through the center of 
gravity of an object.
    Load center is the horizontal distance from the edge of the load 
(or the vertical face of the forks or other attachment) to the line of 
action through the center of gravity of the load.
    Longitudinal stability is the resistance of a truck to overturning 
forward or rearward.
    Moment is the product of the weight of the object times the 
distance from a fixed point. In the case of a powered industrial truck, 
the distance is measured from the point that the truck will tip over to 
the line of action of the object. The distance is always measured 
perpendicular to the line of action.
    Track is the distance between wheels on the same axle of a vehicle.
    Wheelbase is the distance between the centerline of the front and 
rear wheels of a vehicle.

B-2. General

    B-2.1. Stability determination for a powered industrial truck is 
not complicated once a few basic principles are understood. There are 
many factors that influence vehicle stability. Vehicle wheelbase, 
track, height and weight distribution of the load, and the location 
[[Page 13806]] of the counterweights of the vehicle (if the vehicle is 
so equipped), all contribute to the stability of the vehicle.
    B-2.2. The ``stability triangle'', used in most discussions of 
stability, is not mysterious but is used to demonstrate truck stability 
in rather simple fashion.

B-3. Basic Principles

    B-3.1. The determination of whether an object is stable is 
dependent on the moment of an object at one end of a system being 
greater than, equal to or smaller than the moment of an object at the 
other end of that system. This is the same principle on which a see saw 
or teeter-totter works, that is, if the product of the load and 
distance from the fulcrum (moment) is equal to the moment at the other 
end of the device, the device is balanced and it will not move. 
However, if there is a greater moment at one end of the device, the 
device will try to move downward at the end with the greater moment.
    B-3.2. Longitudinal stability of a counterbalanced powered 
industrial truck is dependent on the moment of the vehicle and the 
moment of the load. In other words, if the mathematic product of the 
load moment (the distance is from the front wheels, the point about 
which the vehicle would tip forward) the system is balanced and will 
not tip forward. However, if the load-moment is greater than the 
vehicle-moment, the greater load-moment will force the truck to tip 
forward.

B-4. The Stability Triangle

    B-4.1. Almost all counterbalanced powered industrial trucks have a 
three point suspension system, that is, the vehicle is supported at 
three points. This is true even if it has four wheels. The steer axle 
of most trucks is attached to the truck by means of a pivot pin in the 
center of the axle. This three point support forms a triangle called 
the stability triangle when the points are connected with imaginary 
lines. Figure 1 depicts the stability triangle.

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    B-4.2. When the line of action of the vehicle or load-vehicle falls 
within the stability triangle, the vehicle is stable and will not tip 
over. However, when the line of action of the vehicle or the vehicle/
load combination falls outside the stability triangle, the vehicle is 
unstable and may tip over. (See Figure 2.)

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B-5. Longitudinal Stability

    B-5.1. The axis of rotation when a truck tips forward is the point 
of contact of the front wheels of the vehicle with the pavement. When a 
powered industrial truck tips forward, it is this line that the truck 
will rotate about. When a truck is stable the vehicle-moment must 
exceed the load-moment. As long as the vehicle-moment is equal to or 
exceeds the load-moment, the vehicle will not tip over. On the other 
hand, if the load-moment slightly exceeds the vehicle-moment, the truck 
will begin the tip forward, thereby causing loss of steering control. 
If the load-moment greatly exceeds the vehicle-moment, the truck will 
tip forward.
    B-5.2. In order to determine the maximum safe load moment, the 
truck manufacturer normally rates the truck at a maximum load at a 
given distance from the front face of the forks. The specified distance 
from the front face of the forks to the line of action of the load is 
commonly called a load center. Because larger trucks normally handle 
loads that are physically larger, these vehicles have greater load 
centers. A truck with a capacity of 30,000 pounds or less capacity is 
normally rated at a given load weight at a 24 inch load center. For 
trucks of greater than 30,000 pound capacity, the load center is 
normally rated at 36 or 48 inch load center distance. In order to 
safely operate the vehicle, the operator should always check the data 
plate and determine the maximum allowable weight at the rated load 
center.
    B-5.3. Although the true load moment distance is measured from the 
front wheels, this distance is greater than the distance from the front 
face of the forks. Calculation of the maximum allowable load moment 
using the load center distance always provides a lower load moment than 
the truck was designed to handle. When handling unusual loads, such as 
those that are larger than 48 inches long (the center of gravity is 
greater than 24 inches), with an offset center of gravity, etc., then 
calculation of a maximum allowable load moment should be undertaken and 
this value used to determine whether a load can be handled. For 
example, if an operator is operating a 3,000 pound capacity truck (with 
a 24 inch load center), the maximum allowable load moment is 72,000 
inch-pounds (3,000 times 24). If a probable load is 60 inches long (30 
inch load center), then the maximum weight that this load can weigh is 
2,400 pounds (72,000 divided by 30).

B-6. Lateral Stability

    B-6.1. The lateral stability of a vehicle is determined by the 
position of the line of action (a vertical line that passes through the 
combined center of gravity of the vehicle and the load) relative to the 
stability triangle. When the vehicle is not loaded, the location of the 
center of gravity of the truck is the only factor to be considered in 
determining the stability of the truck. As long as the line of action 
of the combined center of gravity of the vehicle and the load falls 
within the stability triangle, the truck is stable and will not tip 
over. However, if the line of action falls outside the stability 
triangle, the truck is not stable and may tip over.
    B-6.2. Factors that affect the lateral stability of a vehicle 
include the placement of the load on the truck, the height of the load 
above the surface on which the vehicle is operating, and the degree of 
lean of the vehicle.

B-7. Dynamic Stability

    B-7.1. Up to this point, we have covered stability of a powered 
industrial truck without consideration of the dynamic forces that 
result when the vehicle and load are put into motion. The transfer of 
weight and the resultant shift in the center of gravity due to the 
dynamic forces created when the machine is moving, braking, cornering, 
lifting, tilting, and lowering loads, etc., are important stability 
considerations.
    B-7.2. When determining whether a load can be safely handled, the 
operator should exercise extra caution when handling loads that cause 
the vehicle to approach its maximum design characteristics. For 
example, if an operator must handle a maximum load, the load should be 
carried at the lowest position possible, the truck should be 
accelerated slowly and evenly, and the forks should be tilted forward 
cautiously. However, no precise rules can be formulated to cover all of 
these eventualities.

PART 1915--OCCUPATIONAL SAFETY AND HEALTH STANDARDS FOR SHIPYARD 
EMPLOYMENT

    3. The authority citation for part 1915 would be revised to read as 
follows:

    Authority: Section 41, Longshore and Harbor Workers' 
Compensation Act (33 U.S.C. 941); secs. 4, 6, 8, Occupational Safety 
and Health Act of 1970 (29 U.S.C. 653, 655, 657); Secretary of 
Labor's Order No. 12-71 (36 FR 8754), 8-76 (41 FR 25059), 9-83 (48 
FR 35736) or 1-90 (55 FR 9033), as applicable.
    Sections 1915.120 and 1915.152 also issued under 29 CFR part 
1911.

    4. A new Sec. 1915.120 with appendices A and B would be added to 
subpart G to read as follows:


Sec. 1915.120  Powered industrial trucks.

    (a) Operator training. (1) Operator qualifications. (i) The 
employer shall ensure that each potential operator of a powered 
industrial truck is capable of performing the duties that are required 
of the job.
    (ii) In determining operator qualifications, the employer shall 
ensure that each potential operator has received the training required 
by this paragraph, that each potential operator has been evaluated by a 
designated person while performing the required duties, and that each 
potential operator performs those operations competently.
    (2) Training program implementation.
    (i) The employer shall implement a training program and ensure that 
only trained drivers who have successfully completed the training 
program are allowed to operate powered industrial trucks. Exception: 
Trainees under the direct supervision of a designated person shall be 
allowed to operate a powered industrial truck provided the operation of 
the vehicle is conducted in an area where other employees are not near 
and the operation of the truck is under controlled conditions.
    (ii) Training shall consist of a combination of classroom 
instruction (Lecture, discussion, video tapes, and/or conference) and 
practical training (demonstrations and practical exercises by the 
trainee).
    (iii) All training and evaluation shall be conducted by a 
designated person who has the requisite knowledge, training and 
experience to train powered industrial truck operators and judge their 
competency.
    (3) Training program content. Powered industrial truck operator 
trainees shall be trained in the following topics unless the employer 
can demonstrate that some of the topics are not needed for safe 
operation.
    (i) Truck related topics.
    (A) All operating instructions, warnings and precautions for the 
types of trucks the operator will be authorized to operate;
    (B) Similarities to and differences from the automobile;
    (C) Controls and instrumentation: location, what they do and how 
they work;
    (D) Power plant operation and maintenance;
    (E) Steering and maneuvering;
    (F) Visibility (including restrictions due to loading);
    (G) Fork and attachment adaption, operation and limitations of 
their utilization; [[Page 13811]] 
    (H) Vehicle capacity;
    (I) Vehicle stability;
    (J) Vehicle inspection and maintenance;
    (K) Refueling or charging, recharging batteries;
    (L) Operating limitations; and
    (M) Any other operating instruction, warning or precaution listed 
in the operator's manual for the type vehicle which the employee is 
being trained to operate.
    (ii) Workplace related topics.
    (A) Surface conditions where the vehicle will be operated;
    (B) Composition of probable loads and load stability;
    (C) Load manipulation, stacking, unstacking;
    (D) Pedestrian traffic;
    (E) Narrow aisles and other restricted places of operation;
    (F) Operating in hazardous classified locations;
    (G) Operating the truck on ramps and other sloped surfaces that 
could affect the stability of the vehicle;
    (H) Other unique or potentially hazardous environmental conditions 
that exist or may exist in the workplace; and
    (I) Operating the vehicle in closed environments and other areas 
where insufficient ventilation could cause a buildup of carbon monoxide 
or diesel exhaust.
    (iii) The requirements of this section.
    (4) Evaluation and refresher or remedial training.
    (i) Sufficient evaluation and remedial training shall be conducted 
so that the employee retains and uses the knowledge, skills and ability 
needed to operate the powered industrial truck safely.
    (ii) An evaluation of the performance of each powered industrial 
truck operator shall be conducted at least annually by a designated 
person.
    (iii) Refresher or remedial training shall be provided when there 
is reason to believe that there has been unsafe operation, when an 
accident or a near-miss occurs or when an evaluation indicates that the 
operator is not capable of performing the assigned duties.
    (5) Certification.
    (i) The employer shall certify that each operator has received the 
training, has been evaluated as required by this paragraph, and has 
demonstrated competency in the performance of the operator's duties. 
The certification shall include the name of the trainee, the date of 
training, and the signature of the person performing the training and 
evaluation.
    (ii) The employer shall retain the current training materials and 
course outline or the name and address of the person who conducted the 
training if it was conducted by an outside trainer.
    (6) Avoidance of duplicative training.
    (i) Each current truck operator who has received training in any of 
the elements specified in paragraph (a)(3) of this section for the 
types of trucks the employee is authorized to operate and the type 
workplace that the trucks are being operated in need not be retrained 
in those elements if the employer certifies in accordance with 
paragraph (a)(5)(i) of this section that the operator has been 
evaluated to be competent to perform those duties.
    (ii) Each new truck operator who has received training in any of 
the elements specified in paragraph (a)(3) of this section for the 
types of trucks the employee will be authorized to operate and the type 
of workplace in which the trucks will be operated need not be retrained 
in those elements before initial assignment in the workplace if the 
employer has written documentation of the training and if the employee 
is evaluated pursuant to paragraph (a)(4) of this section to be 
competent.
    (b) [Reserved]

Appendixes to Sec. 1915.120

Appendix A--Training of Powered Industrial Truck Operators

(Non-mandatory appendix to paragraph (a) of this section)

A-1. Operator Selection

    A-1.1. Prospective operators of powered industrial trucks should be 
identified based upon their ability to be trained and accommodated to 
perform job functions that are essential to the operation of a powered 
industrial truck. Determination of the capabilities of a prospective 
operator to fulfill the demands of the job should be based upon the 
tasks that the job demands.
    A-1.2. The employer should identify all the aspects of the job that 
the employee must meet/perform when doing his or her job. These aspects 
could include the level at which the employee must see and hear, the 
physical demands of the job, and the environmental extremes of the job.
    A-1.3. One factor to be considered is the ability of the candidate 
to see and hear within reasonably acceptable limits. Included in the 
vision requirements are the ability to see at distance and 
peripherally. In certain instances, there also is a requirement for the 
candidate to discern different colors, primarily red, yellow and green.
    A-1.4. The environmental extremes that might be demanded of a 
potential powered industrial truck operator include that ability of the 
person to work in areas of excessive cold or heat.
    A-1.5. After an employee has been trained and appropriate 
accommodations have been made, the employer needs to determine whether 
the employee can safely perform the job.

A-2. The Method(s) of Training

    A-2.1. Among the many methods of training are the lecture, 
conference, demonstration, test (written and/or oral) and the practical 
exercise. In most instances, a combination of these methods have been 
successfully used to train employees in the knowledge, skills and 
abilities that are essential to perform the job function that the 
employee is being trained to perform. To enhance the training and to 
make the training more understandable to the employee, employers and 
other trainers have used movies, slides, video tapes and other visual 
presentations. Making the presentation more understandable has several 
advantages including:
    (1) The employees being trained remain more attentive during the 
presentation if graphical presentation are used, thereby increasing the 
effectiveness of the training;
    (2) The use of visual presentations allows the trainer to ensure 
that the necessary information is covered during the training;
    (3) The use of graphics makes better utilization of the training 
time by decreasing the need for the instructor to carry on long 
discussions about the instructional material; and
    (4) The use of graphics during instruction provides greater 
retention by the trainees.

A-3. Training Program Content

    A-3.1. Because each type (make and model) powered industrial truck 
has different operating characteristics, limitations and other unique 
features, an optimum employee training program for powered industrial 
truck operators must be based upon the type vehicles that the employee 
will be trained and authorized to operate. The training must also 
emphasize the features of the workplace which will affect the manner in 
which the vehicle must be operated. Finally, the training must include 
the general safety rules applicable to the operation of all powered 
industrial trucks.
    A-3.2. Selection of the methods of training the operators has been 
left to the reasonable determination of the employer. Whereas some 
employees can assimilate instructional material while seated in a 
classroom, other employees may learn best by observing the conduct of 
operations (demonstration) and/or by [[Page 13812]] having to 
personally conduct the operations (practical exercise). In some 
instances, an employee can receive valuable instruction through the use 
of electronic mediums, such as the use of video tapes and movies. In 
most instances, a combination of the different training methods may 
provide the mechanism for providing the best training in the least 
amount of time. OSHA has specified at paragraph (a)(2)(ii) of this 
section that the training must consist of a combination classroom 
instruction and practical exercise. The use of both these modes of 
instruction is the only way of assuring that the trainee has received 
and comprehended the instruction and can utilize the information to 
safely operate a powered industrial truck.

A-4. Initial Training

    A-4.1. The following is an outline of a generalized forklift 
operator training program:
    (1) Characteristics of the powered industrial truck(s) the employee 
will be allowed to operate:
    (a) Similarities to and differences from the automobile;
    (b) Controls and instrumentation: location, what they do and how 
they work;
    (c) Power plant operation and maintenance;
    (d) Steering and maneuvering;
    (e) Visibility;
    (f) Fork and/or attachment adaption, operation and limitations of 
their utilization;
    (g) Vehicle capacity;
    (h) Vehicle stability;
    (i) Vehicle inspection and maintenance;
    (j) Refueling or charging, recharging batteries;
    (k) Operating limitations;
    (l) Any other operating instruction, warning or precaution listed 
in the operator's manual for the type vehicle which the employee is 
being trained to operate.
    (2) The operating environment:
    (a) Floor surfaces and/or ground conditions where the vehicle will 
be operated;
    (b) Composition of probable loads and load stability;
    (c) Load manipulation, stacking, unstacking;
    (d) Pedestrian traffic;
    (e) Narrow aisle and restricted place operation;
    (f) Operating in classified hazardous locations;
    (g) Operating the truck on ramps and other sloped surfaces which 
would affect the stability of the vehicle;
    (h) Other unique or potentially hazardous environmental conditions 
which exist or may exist in the workplace;
    (i) Operating the vehicle in closed environments and other areas 
where insufficient ventilation could cause a buildup of carbon monoxide 
or diesel exhaust.
    (3) The requirements of this OSHA Standard.

A-5. Trainee Evaluation

    A-5.1. The provisions of these proposed requirements specify that 
an employee evaluation be conducted both as part of the training and 
after completion of the training. The initial evaluation is useful for 
many reasons, including:
    (1) the employer can determine what methods of instruction will 
produce a proficient truck operator with the minimum of time and 
effort;
    (2) the employer can gain insight into the previous training that 
the trainee has received; and
    (3) a determination can be made as to whether the trainee will be 
able to successfully operate a powered industrial truck. This initial 
evaluation can be completed by having the employee fill out a 
questionnaire, by an oral interview, or by a combination of these 
mechanisms. In many cases, answers received by the employee can be 
substantiated by contact with other employees or previous employers.

A-6. Refresher or Remedial Training

    A-6.1. (The type information listed at paragraph A-6.2 of this 
appendix would be used when the training is more than an on-the-spot 
correction being made by a supervisor or when there have been multiple 
instances of on-the-spot corrections having to be made.) When an on-
the-spot correction is used, the person making the correction should 
point out the incorrect manner of operation of the truck or other 
unsafe act being conducted, tell the employee how to do the operation 
correctly, and then ensure that the employee does the operation 
correctly.
    A-6.2. The following items may be used when a more general, 
structured retraining program is utilized to train employees and 
eliminate unsafe operation of the vehicle:
    (1) Common unsafe situations encountered in the workplace;
    (2) Unsafe methods of operating observed or known to be used;
    (3) The need for constant attentiveness to the vehicle, the 
workplace conditions and the manner in which the vehicle is operated.
    A-6.3. Details about the above subject areas need to be expanded 
upon so that the operator receives all the information which is 
necessary for the safe operation of the vehicle. Insight into some of 
the specifics of the above subject areas may be obtained from the 
vehicle manufacturers' literature, the national consensus standards 
[e.g. the ANSI B56 series of standards (current revisions)] and this 
OSHA Standard.

Appendix B--Stability of Powered Industrial Trucks

(Non-mandatory appendix to paragraph (a) of this section)

B-1. Definitions

    To understand the principle of stability, understanding definitions 
of the following is necessary:
    Center of Gravity is that point of an object at which all of the 
weight of an object can be considered to be concentrated.
    Counterweight is the weight that is a part of the basic structure 
of a truck that is used to offset the weight of a load and to maximize 
the resistance of the vehicle to tipping over.
    Fulcrum is the axis of rotation of the truck when it tips over.
    Grade is the slope of any surface that is usually measured as the 
number of feet or rise of fall over a hundred foot horizontal distance 
(this measurement is designated as a percent).
    Lateral stability is the resistance of a truck to tipping over 
sideways.
    Line of action is a imaginary vertical line through the center of 
gravity of an object.
    Load center is the horizontal distance from the edge of the load 
(or the vertical face of the forks or other attachment) to the line of 
action through the center of gravity of the load.
    Longitudinal stability is the resistance of a truck to overturning 
forward or rearward.
    Moment is the product of the weight of the object times the 
distance from a fixed point. In the case of a powered industrial truck, 
the distance is measured from the point that the truck will tip over to 
the line of action of the object. The distance is always measured 
perpendicular to the line of action.
    Track is the distance between wheels on the same axle of a vehicle.
    Wheelbase is the distance between the centerline of the front and 
rear wheels of a vehicle.

B-2. General

    B-2.1. Stability determination for a powered industrial truck is 
not complicated once a few basic principles are understood. There are 
many factors that influence vehicle stability. Vehicle wheelbase, 
track, height and weight distribution of the load, and the location 
[[Page 13813]] of the counterweights of the vehicle (if the vehicle is 
so equipped), all contribute to the stability of the vehicle.
    B-2.2. The ``stability triangle'', used in most discussions of 
stability, is not mysterious but is used to demonstrate truck stability 
in rather simple fashion.

B-3. Basic Principles

    B-3.1. The determination of whether an object is stable is 
dependent on the moment of an object at one end of a system being 
greater than, equal to or smaller than the moment of an object at the 
other end of that system. This is the same principle on which a see saw 
or teeter-totter works, that is, if the product of the load and 
distance from the fulcrum (moment) is equal to the moment at the other 
end of the device, the device is balanced and it will not move. 
However, if there is a greater moment at one end of the device, the 
device will try to move downward at the end with the greater moment.
    B-3.2. Longitudinal stability of a counterbalanced powered 
industrial truck is dependent on the moment of the vehicle and the 
moment of the load. In other words, if the mathematic product of the 
load moment (the distance is from the front wheels, the point about 
which the vehicle would tip forward) the system is balanced and will 
not tip forward. However, if the load-moment is greater than the 
vehicle-moment, the greater load-moment will force the truck to tip 
forward.

B-4. The Stability Triangle

    B-4.1. Almost all counterbalanced powered industrial trucks have a 
three point suspension system, that is, the vehicle is supported at 
three points. This is true even if it has four wheels. The steer axle 
of most trucks is attached to the truck by means of a pivot pin in the 
center of the axle. This three point support forms a triangle called 
the stability triangle when the points are connected with imaginary 
lines. Figure 1 depicts the stability triangle.

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BILLING CODE 4510-26-C [[Page 13815]] 
    B-4.2. When the line of action of the vehicle or load-vehicle falls 
within the stability triangle, the vehicle is stable and will not tip 
over. However, when the line of action of the vehicle or the vehicle/
load combination falls outside the stability triangle, the vehicle is 
unstable and may tip over. (See Figure 2.)

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B-5. Longitudinal Stability

    B-5.1. The axis of rotation when a truck tips forward is the point 
of contact of the front wheels of the vehicle with the pavement. When a 
powered industrial truck tips forward, it is this line that the truck 
will rotate about. When a truck is stable the vehicle-moment must 
exceed the load-moment. As long as the vehicle-moment is equal to or 
exceeds the load-moment, the vehicle will not tip over. On the other 
hand, if the load-moment slightly exceeds the vehicle-moment, the truck 
will begin the tip forward, thereby causing loss of steering control. 
If the load-moment greatly exceeds the vehicle-moment, the truck will 
tip forward.
    B-5.2. In order to determine the maximum safe load moment, the 
truck manufacturer normally rates the truck at a maximum load at a 
given distance from the front face of the forks. The specified distance 
from the front face of the forks to the line of action of the load is 
commonly called a load center. Because larger trucks normally handle 
loads that are physically larger, these vehicles have greater load 
centers. A truck with a capacity of 30,000 pounds or less capacity is 
normally rated at a given load weight at a 24 inch load center. For 
trucks of greater than 30,000 pound capacity, the load center is 
normally rated at 36 or 48 inch load center distance. In order to 
safely operate the vehicle, the operator should always check the data 
plate and determine the maximum allowable weight at the rated load 
center.
    B-5.3. Although the true load moment distance is measured from the 
front wheels, this distance is greater than the distance from the front 
face of the forks. Calculation of the maximum allowable load moment 
using the load center distance always provides a lower load moment than 
the truck was designed to handle. When handling unusual loads, such as 
those that are larger than 48 inches long (the center of gravity is 
greater than 24 inches), with an offset center of gravity, etc., then 
calculation of a maximum allowable load moment should be undertaken and 
this value used to determine whether a load can be handled. For 
example, if an operator is operating a 3000 pound capacity truck (with 
a 24 inch load center), the maximum allowable load moment is 72,000 
inch-pounds (3,000 times 24). If a probable load is 60 inches long (30 
inch load center), then the maximum weight that this load can weigh is 
2,400 pounds (72,000 divided by 30).

B-6. Lateral Stability

    B-6.1. The lateral stability of a vehicle is determined by the 
position of the line of action (a vertical line that passes through the 
combined center of gravity of the vehicle and the load) relative to the 
stability triangle. When the vehicle is not loaded, the location of the 
center of gravity of the truck is the only factor to be considered in 
determining the stability of the truck. As long as the line of action 
of the combined center of gravity of the vehicle and the load falls 
within the stability triangle, the truck is stable and will not tip 
over. However, if the line of action falls outside the stability 
triangle, the truck is not stable and may tip over.
    B-6.2. Factors that affect the lateral stability of a vehicle 
include the placement of the load on the truck, the height of the load 
above the surface on which the vehicle is operating, and the degree of 
lean of the vehicle.

B-7. Dynamic Stability

    B-7.1. Up to this point, we have covered stability of a powered 
industrial truck without consideration of the dynamic forces that 
result when the vehicle and load are put into motion. The transfer of 
weight and the resultant shift in the center of gravity due to the 
dynamic forces created when the machine is moving, braking, cornering, 
lifting, tilting, and lowering loads, etc., are important stability 
considerations.
    B-7.2. When determining whether a load can be safely handled, the 
operator should exercise extra caution when handling loads that cause 
the vehicle to approach its maximum design characteristics. For 
example, if an operator must handle a maximum load, the load should be 
carried at the lowest position possible, the truck should be 
accelerated slowly and evenly, and the forks should be tilted forward 
cautiously. However, no precise rules can be formulated to cover all of 
these eventualities.

PART 1917--MARINE TERMINALS

    5. The authority citation for part 1917 would be revised to read as 
follows:

    Authority: Section 41, Longshore and Harbor Workers' 
Compensation Act (33 U.S.C. 941); secs. 4, 6, 8, Occupational Safety 
and Health Act of 1970 (29 U.S.C. 653, 655, 657); Secretary of 
Labor's Order No. 12-71 (36 FR 8754), 8-76 (41 FR 25059), 9-83 (48 
FR 35736) or 1-90 (55 FR 9033), as applicable.
    Section 1917.43 also issued under 29 CFR part 1911.

    6. Section 1917.43 would be amended by adding a new paragraph (i) 
and by adding appendices A and B at the end of the section to read as 
follows:


Sec. 1917.43  Powered industrial trucks.

* * * * *
    (i) Operator training.
    (1) Operator qualifications. (i) The employer shall ensure that 
each potential operator of a powered industrial truck is capable of 
performing the duties that are required of the job.
    (ii) In determining operator qualifications, the employer shall 
ensure that each potential operator has received the training required 
by this paragraph, that each potential operator has been evaluated by a 
designated person while performing the required duties, and that each 
potential operator performs those operations competently.
    (2) Training program implementation.
    (i) The employer shall implement a training program and ensure that 
only trained drivers who have successfully completed the training 
program are allowed to operate powered industrial trucks. Exception: 
Trainees under the direct supervision of a designated person shall be 
allowed to operate a powered industrial truck provided the operation of 
the vehicle is conducted in an area where other employees are not near 
and the operation of the truck is under controlled conditions.
    (ii) Training shall consist of a combination of classroom 
instruction (Lecture, discussion, video tapes, and/or conference) and 
practical training (demonstrations and practical exercises by the 
trainee).
    (iii) All training and evaluation shall be conducted by a 
designated person who has the requisite knowledge, training and 
experience to train powered industrial truck operators and judge their 
competency.
    (3) Training program content. Powered industrial truck operator 
trainees shall be trained in the following topics unless the employer 
can demonstrate that some of the topics are not needed for safe 
operation.
    (i) Truck related topics.
    (A) All operating instructions, warnings and precautions for the 
types of trucks the operator will be authorized to operate;
    (B) Similarities to and differences from the automobile;
    (C) Controls and instrumentation: location, what they do and how 
they work;
    (D) Power plant operation and maintenance;
    (E) Steering and maneuvering;
    (F) Visibility (including restrictions due to loading);
    (G) Fork and attachment adaption, operation and limitations of 
their utilization; [[Page 13818]] 
    (H) Vehicle capacity;
    (I) Vehicle stability;
    (J) Vehicle inspection and maintenance;
    (K) Refueling or charging, recharging batteries;
    (L) Operating limitations; and
    (M) Any other operating instruction, warning or precaution listed 
in the operator's manual for the type vehicle which the employee is 
being trained to operate.
    (ii) Workplace related topics.
    (A) Surface conditions where the vehicle will be operated;
    (B) Composition of probable loads and load stability;
    (C) Load manipulation, stacking, unstacking;
    (D) Pedestrian traffic;
    (E) Narrow aisles and other restricted places of operation;
    (F) Operating in hazardous classified locations;
    (G) Operating the truck on ramps and other sloped surfaces that 
could affect the stability of the vehicle;
    (H) Other unique or potentially hazardous environmental conditions 
that exist or may exist in the workplace; and
    (I) Operating the vehicle in closed environments and other areas 
where insufficient ventilation could cause a buildup of carbon monoxide 
or diesel exhaust.
    (iii) The requirements of this section.
    (4) Evaluation and refresher or remedial training. (i) Sufficient 
evaluation and remedial training shall be conducted so that the 
employee retains and uses the knowledge, skills and ability needed to 
operate the powered industrial truck safely.
    (ii) An evaluation of the performance of each powered industrial 
truck operator shall be conducted at least annually by a designated 
person.
    (iii) Refresher or remedial training shall be provided when there 
is reason to believe that there has been unsafe operation, when an 
accident or a near-miss occurs or when an evaluation indicates that the 
operator is not capable of performing the assigned duties.
    (5) Certification.
    (i) The employer shall certify that each operator has received the 
training, has been evaluated as required by this paragraph, and has 
demonstrated competency in the performance of the operator's duties. 
The certification shall include the name of the trainee, the date of 
training, and the signature of the person performing the training and 
evaluation.
    (ii) The employer shall retain the current training materials and 
course outline or the name and address of the person who conducted the 
training if it was conducted by an outside trainer.
    (6) Avoidance of duplicative training.
    (i) Each current truck operator who has received training in any of 
the elements specified in paragraph (i)(3) of this section for the 
types of trucks the employee is authorized to operate and the type 
workplace that the trucks are being operated in need not be retrained 
in those elements if the employer certifies in accordance with 
paragraph (i)(5)(i) of this section that the operator has been 
evaluated to be competent to perform those duties.
    (ii) Each new truck operator who has received training in any of 
the elements specified in paragraph (i)(3) of this section for the 
types of trucks the employee will be authorized to operate and the type 
of workplace in which the trucks will be operated need not be retrained 
in those elements before initial assignment in the workplace if the 
employer has written documentation of the training and if the employee 
is evaluated pursuant to paragraph (i)(4) of this section to be 
competent.

    Note to paragraph (i): Appendices A and B provide non-mandatory 
guidance to assist employers in implementing this paragraph (i).

Appendices to Sec. 1917.43

Appendix A--Training of Powered Industrial Truck Operators

(Non-mandatory appendix to paragraph (i) of this section)

A-1. Operator Selection

    A-1.1. Prospective operators of powered industrial trucks should be 
identified based upon their ability to be trained and accommodated to 
perform job functions that are essential to the operation of a powered 
industrial truck. Determination of the capabilities of a prospective 
operator to fulfill the demands of the job should be based upon the 
tasks that the job demands.
    A-1.2. The employer should identify all the aspects of the job that 
the employee must meet/perform when doing his or her job. These aspects 
could include the level at which the employee must see and hear, the 
physical demands of the job, and the environmental extremes of the job.
    A-1.3. One factor to be considered is the ability of the candidate 
to see and hear within reasonably acceptable limits. Included in the 
vision requirements are the ability to see at distance and 
peripherally. In certain instances, there also is a requirement for the 
candidate to discern different colors, primarily red, yellow and green.
    A-1.4. The environmental extremes that might be demanded of a 
potential powered industrial truck operator include that ability of the 
person to work in areas of excessive cold or heat.
    A-1.5. After an employee has been trained and appropriate 
accommodations have been made, the employer needs to determine whether 
the employee can safely perform the job.

A-2. The Method(s) of Training

    A-2.1. Among the many methods of training are the lecture, 
conference, demonstration, test (written and/or oral) and the practical 
exercise. In most instances, a combination of these methods have been 
successfully used to train employees in the knowledge, skills and 
abilities that are essential to perform the job function that the 
employee is being trained to perform. To enhance the training and to 
make the training more understandable to the employee, employers and 
other trainers have used movies, slides, video tapes and other visual 
presentations. Making the presentation more understandable has several 
advantages including:
    (1) The employees being trained remain more attentive during the 
presentation if graphical presentation are used, thereby increasing the 
effectiveness of the training;
    (2) The use of visual presentations allows the trainer to ensure 
that the necessary information is covered during the training;
    (3) The use of graphics makes better utilization of the training 
time by decreasing the need for the instructor to carry on long 
discussions about the instructional material; and
    (4) The use of graphics during instruction provides greater 
retention by the trainees.

A-3. Training Program Content

    A-3.1. Because each type (make and model) powered industrial truck 
has different operating characteristics, limitations and other unique 
features, an optimum employee training program for powered industrial 
truck operators must be based upon the type vehicles that the employee 
will be trained and authorized to operate. The training must also 
emphasize the features of the workplace which will affect the manner in 
which the vehicle must be operated. Finally, the training must include 
the general safety rules applicable to the operation of all powered 
industrial trucks.
    A-3.2. Selection of the methods of training the operators has been 
left to the reasonable determination of the employer. Whereas some 
employees can assimilate instructional material while seated in a 
classroom, other employees may learn best by observing the conduct 
[[Page 13819]] of operations (demonstration) and/or by having to 
personally conduct the operations (practical exercise). In some 
instances, an employee can receive valuable instruction through the use 
of electronic mediums, such as the use of video tapes and movies. In 
most instances, a combination of the different training methods may 
provide the mechanism for providing the best training in the least 
amount of time. OSHA has specified at paragraph (i)(2)(ii) of this 
section that the training must consist of a combination classroom 
instruction and practical exercise. The use of both these modes of 
instruction is the only way of assuring that the trainee has received 
and comprehended the instruction and can utilize the information to 
safely operate a powered industrial truck.

A-4. Initial Training

    A-4.1. The following is an outline of a generalized forklift 
operator training program:
    (1) Characteristics of the powered industrial truck(s) the employee 
will be allowed to operate:
    (a) Similarities to and differences from the automobile;
    (b) Controls and instrumentation: location, what they do and how 
they work;
    (c) Power plant operation and maintenance;
    (d) Steering and maneuvering;
    (e) Visibility;
    (f) Fork and/or attachment adaption, operation and limitations of 
their utilization;
    (g) Vehicle capacity;
    (h) Vehicle stability;
    (i) Vehicle inspection and maintenance;
    (j) Refueling or charging, recharging batteries.
    (k) Operating limitations.
    (l) Any other operating instruction, warning or precaution listed 
in the operator's manual for the type vehicle which the employee is 
being trained to operate.
    (2) The operating environment:
    (a) Floor surfaces and/or ground conditions where the vehicle will 
be operated;
    (b) Composition of probable loads and load stability;
    (c) Load manipulation, stacking, unstacking;
    (d) Pedestrian traffic;
    (e) Narrow aisle and restricted place operation;
    (f) Operating in classified hazardous locations;
    (g) Operating the truck on ramps and other sloped surfaces which 
would affect the stability of the vehicle;
    (h) Other unique or potentially hazardous environmental conditions 
which exist or may exist in the workplace.
    (i) Operating the vehicle in closed environments and other areas 
where insufficient ventilation could cause a buildup of carbon monoxide 
or diesel exhaust.
    (3) The requirements of this OSHA Standard.

A-5. Trainee Evaluation

    A-5.1. The provisions of these proposed requirements specify that 
an employee evaluation be conducted both as part of the training and 
after completion of the training. The initial evaluation is useful for 
many reasons, including:
    (1) the employer can determine what methods of instruction will 
produce a proficient truck operator with the minimum of time and 
effort;
    (2) the employer can gain insight into the previous training that 
the trainee has received; and
    (3) a determination can be made as to whether the trainee will be 
able to successfully operate a powered industrial truck. This initial 
evaluation can be completed by having the employee fill out a 
questionnaire, by an oral interview, or by a combination of these 
mechanisms. In many cases, answers received by the employee can be 
substantiated by contact with other employees or previous employers.

A-6. Refresher or Remedial Training

    A-6.1. (The type information listed in paragraph A-6.2 of this 
appendix would be used when the training is more than an on-the-spot 
correction being made by a supervisor or when there have been multiple 
instances of on-the-spot corrections having to be made.) When an on-
the-spot correction is used, the person making the correction should 
point out the incorrect manner of operation of the truck or other 
unsafe act being conducted, tell the employee how to do the operation 
correctly, and then ensure that the employee does the operation 
correctly.
    A-6.2. The following items may be used when a more general, 
structured retraining program is utilized to train employees and 
eliminate unsafe operation of the vehicle:
    (1) Common unsafe situations encountered in the workplace;
    (2) Unsafe methods of operating observed or known to be used;
    (3) The need for constant attentiveness to the vehicle, the 
workplace conditions and the manner in which the vehicle is operated.
    A-6.3. Details about the above subject areas need to be expanded 
upon so that the operator receives all the information which is 
necessary for the safe operation of the vehicle. Insight into some of 
the specifics of the above subject areas may be obtained from the 
vehicle manufacturers' literature, the national consensus standards 
[e.g. the ANSI B56 series of standards (current revisions)] and this 
OSHA Standard.

Appendix B--Stability of Powered Industrial Trucks

(Non-mandatory appendix to paragraph (i) of this section)

B-1. Definitions

    To understand the principle of stability, understanding definitions 
of the following is necessary:
    Center of Gravity is that point of an object at which all of the 
weight of an object can be considered to be concentrated.
    Counterweight is the weight that is a part of the basic structure 
of a truck that is used to offset the weight of a load and to maximize 
the resistance of the vehicle to tipping over.
    Fulcrum is the axis of rotation of the truck when it tips over.
    Grade is the slope of any surface that is usually measured as the 
number of feet of rise of fall over a hundred foot horizontal distance 
(this measurement is designated as a percent).
    Lateral stability is the resistance of a truck to tipping over 
sideways.
    Line of action is a imaginary vertical line through the center of 
gravity of an object.
    Load center is the horizontal distance from the edge of the load 
(or the vertical face of the forks or other attachment) to the line of 
action through the center of gravity of the load.
    Longitudinal stability is the resistance of a truck to overturning 
forward or rearward.
    Moment is the product of the weight of the object times the 
distance from a fixed point. In the case of a powered industrial truck, 
the distance is measured from the point that the truck will tip over to 
the line of action of the object. The distance is always measured 
perpendicular to the line of action.
    Track is the distance between wheels on the same axle of a vehicle.
    Wheelbase is the distance between the centerline of the front and 
rear wheels of a vehicle.

B-2. General

    B-2.1. Stability determination for a powered industrial truck is 
not complicated once a few basic principles are understood. There are 
many factors [[Page 13820]] that influence vehicle stability. Vehicle 
wheelbase, track, height and weight distribution of the load, and the 
location of the counterweights of the vehicle (if the vehicle is so 
equipped), all contribute to the stability of the vehicle.
    B-2.2. The ``stability triangle'', used in most discussions of 
stability, is not mysterious but is used to demonstrate truck stability 
in rather simple fashion.

B-3. Basic Principles

    B-3.1. The determination of whether an object is stable is 
dependent on the moment of an object at one end of a system being 
greater than, equal to or smaller than the moment of an object at the 
other end of that system. This is the same principle on which a see saw 
or teeter-totter works, that is, if the product of the load and 
distance from the fulcrum (moment) is equal to the moment at the other 
end of the device, the device is balanced and it will not move. 
However, if there is a greater moment at one end of the device, the 
device will try to move downward at the end with the greater moment.
    B-3.2. Longitudinal stability of a counterbalanced powered 
industrial truck is dependent on the moment of the vehicle and the 
moment of the load. In other words, if the mathematic product of the 
load moment (the distance is from the front wheels, the point about 
which the vehicle would tip forward) the system is balanced and will 
not tip forward. However, if the load-moment is greater than the 
vehicle-moment, the greater load-moment will force the truck to tip 
forward.

B-4. The Stability Triangle

    B-4.1. Almost all counterbalanced powered industrial trucks have a 
three point suspension system, that is, the vehicle is supported at 
three points. This is true even if it has four wheels. The steer axle 
of most trucks is attached to the truck by means of a pivot pin in the 
center of the axle. This three point support forms a triangle called 
the stability triangle when the points are connected with imaginary 
lines. Figure 1 depicts the stability triangle.

                                                 BILLING CODE 4510-26-P
[[Page 13821]]

[GRAPHIC][TIFF OMITTED]TP14MR95.004



BILLING CODE 4510-26-C
[[Page 13822]]

     B-4.2. When the line of action of the vehicle or load-vehicle 
falls within the stability triangle, the vehicle is stable and will not 
tip over. However, when the line of action of the vehicle or the 
vehicle/load combination falls outside the stability triangle, the 
vehicle is unstable and may tip over. (See Figure 2.)

                                                 BILLING CODE 4510-26-P
[[Page 13823]]

[GRAPHIC][TIFF OMITTED]TP14MR95.005



BILLING CODE 4510-26-C [[Page 13824]] 

B-5. Longitudinal Stability

    B-5.1. The axis of rotation when a truck tips forward is the point 
of contact of the front wheels of the vehicle with the pavement. When a 
powered industrial truck tips forward, it is this line that the truck 
will rotate about. When a truck is stable the vehicle-moment must 
exceed the load-moment. As long as the vehicle-moment is equal to or 
exceeds the load-moment, the vehicle will not tip over. On the other 
hand, if the load-moment slightly exceeds the vehicle-moment, the truck 
will begin the tip forward, thereby causing loss of steering control. 
If the load-moment greatly exceeds the vehicle-moment, the truck will 
tip forward.
    B-5.2. In order to determine the maximum safe load moment, the 
truck manufacturer normally rates the truck at a maximum load at a 
given distance from the front face of the forks. The specified distance 
from the front face of the forks to the line of action of the load is 
commonly called a load center. Because larger trucks normally handle 
loads that are physically larger, these vehicles have greater load 
centers. A truck with a capacity of 30,000 pounds or less capacity is 
normally rated at a given load weight at a 24 inch load center. For 
trucks of greater than 30,000 pound capacity, the load center is 
normally rated at 36 or 48 inch load center distance. In order to 
safely operate the vehicle, the operator should always check the data 
plate and determine the maximum allowable weight at the rated load 
center.
    B-5.3. Although the true load moment distance is measured from the 
front wheels, this distance is greater than the distance from the front 
face of the forks. Calculation of the maximum allowable load moment 
using the load center distance always provides a lower load moment than 
the truck was designed to handle. When handling unusual loads, such as 
those that are larger than 48 inches long (the center of gravity is 
greater than 24 inches), with an offset center of gravity, etc., then 
calculation of a maximum allowable load moment should be undertaken and 
this value used to determine whether a load can be handled. For 
example, if an operator is operating a 3,000 pound capacity truck (with 
a 24 inch load center), the maximum allowable load moment is 72,000 
inch-pounds (3,000 times 24). If a probable load is 60 inches long (30 
inch load center), then the maximum weight that this load can weigh is 
2,400 pounds (72,000 divided by 30).

B-6. Lateral Stability

    B-6.1. The lateral stability of a vehicle is determined by the 
position of the line of action (a vertical line that passes through the 
combined center of gravity of the vehicle and the load) relative to the 
stability triangle. When the vehicle is not loaded, the location of the 
center of gravity of the truck is the only factor to be considered in 
determining the stability of the truck. As long as the line of action 
of the combined center of gravity of the vehicle and the load falls 
within the stability triangle, the truck is stable and will not tip 
over. However, if the line of action falls outside the stability 
triangle, the truck is not stable and may tip over.
    B-6.2. Factors that affect the lateral stability of a vehicle 
include the placement of the load on the truck, the height of the load 
above the surface on which the vehicle is operating, and the degree of 
lean of the vehicle.

B-7. Dynamic Stability

    B-7.1. Up to this point, we have covered stability of a powered 
industrial truck without consideration of the dynamic forces that 
result when the vehicle and load are put into motion. The transfer of 
weight and the resultant shift in the center of gravity due to the 
dynamic forces created when the machine is moving, braking, cornering, 
lifting, tilting, and lowering loads, etc., are important stability 
considerations.
    B-7.2. When determining whether a load can be safely handled, the 
operator should exercise extra caution when handling loads that cause 
the vehicle to approach its maximum design characteristics. For 
example, if an operator must handle a maximum load, the load should be 
carried at the lowest position possible, the truck should be 
accelerated slowly and evenly, and the forks should be tilted forward 
cautiously. However, no precise rules can be formulated to cover all of 
these eventualities.

PART 1918--SAFETY AND HEALTH REGULATIONS FOR LONGSHORING

    7. The authority citation for part 1918 would be revised to read as 
follows:

    Authority: Section 41, Longshore and Harbor Workers' 
Compensation Act (33 U.S.C. 941); secs. 4, 6, 8, Occupational Safety 
and Health Act of 1970 (29 U.S.C. 653, 655, 657); Secretary of 
Labor's Order No. 12-71 (36 FR 8754), 8-76 (41 FR 25059), 9-83 (48 
FR 35736) or 1-90 (55 FR 9033), as applicable. Section 1918.77 also 
issued under 29 CFR part 1911.

    8. A new Sec. 1918.77 with appendices A and B would be added to 
subpart G to read as follows:


Sec. 1918.77  Powered Industrial Trucks.

    (a) Operator training.
    (1) Operator qualifications. (i) The employer shall ensure that 
each potential operator of a powered industrial truck is capable of 
performing the duties that are required of the job.
    (ii) In determining operator qualifications, the employer shall 
ensure that each potential operator has received the training required 
by this paragraph, that each potential operator has been evaluated by a 
designated person while performing the required duties, and that each 
potential operator performs those operations competently.
    (2) Training program implementation.
    (i) The employer shall implement a training program and ensure that 
only trained drivers who have successfully completed the training 
program are allowed to operate powered industrial trucks. Exception: 
Trainees under the direct supervision of a designated person shall be 
allowed to operate a powered industrial truck provided the operation of 
the vehicle is conducted in an area where other employees are not near 
and the operation of the truck is under controlled conditions.
    (ii) Training shall consist of a combination of classroom 
instruction (Lecture, discussion, video tapes, and/or conference) and 
practical training (demonstrations and practical exercises by the 
trainee).
    (iii) All training and evaluation shall be conducted by a 
designated person who has the requisite knowledge, training and 
experience to train powered industrial truck operators and judge their 
competency.
    (3) Training program content. Powered industrial truck operator 
trainees shall be trained in the following topics unless the employer 
can demonstrate that some of the topics are not needed for safe 
operation.
    (i) Truck related topics.
    (A) All operating instructions, warnings and precautions for the 
types of trucks the operator will be authorized to operate;
    (B) Similarities to and differences from the automobile;
    (C) Controls and instrumentation: location, what they do and how 
they work;
    (D) Power plant operation and maintenance;
    (E) Steering and maneuvering;
    (F) Visibility (including restrictions due to loading);
    (G) Fork and attachment adaption, operation and limitations of 
their utilization;
    (H) Vehicle capacity;
    (I) Vehicle stability;
    (J) Vehicle inspection and maintenance; [[Page 13825]] 
    (K) Refueling or charging, recharging batteries;
    (L) Operating limitations; and
    (M) Any other operating instruction, warning or precaution listed 
in the operator's manual for the type vehicle which the employee is 
being trained to operate.
    (ii) Workplace related topics.
    (A) Surface conditions where the vehicle will be operated;
    (B) Composition of probable loads and load stability;
    (C) Load manipulation, stacking, unstacking;
    (D) Pedestrian traffic;
    (E) Narrow aisles and other restricted places of operation;
    (F) Operating in hazardous classified locations;
    (G) Operating the truck on ramps and other sloped surfaces that 
could affect the stability of the vehicle;
    (H) Other unique or potentially hazardous environmental conditions 
that exist or may exist in the workplace; and
    (I) Operating the vehicle in closed environments and other areas 
where insufficient ventilation could cause a buildup of carbon monoxide 
or diesel exhaust.
    (iii) The requirements of this section.
    (4) Evaluation and refresher or remedial training.
    (i) Sufficient evaluation and remedial training shall be conducted 
so that the employee retains and uses the knowledge, skills and ability 
needed to operate the powered industrial truck safely.
    (ii) An evaluation of the performance of each powered industrial 
truck operator shall be conducted at least annually by a designated 
person.
    (iii) Refresher or remedial training shall be provided when there 
is reason to believe that there has been unsafe operation, when an 
accident or a near-miss occurs or when an evaluation indicates that the 
operator is not capable of performing the assigned duties.
    (5) Certification.
    (i) The employer shall certify that each operator has received the 
training, has been evaluated as required by this paragraph, and has 
demonstrated competency in the performance of the operator's duties. 
The certification shall include the name of the trainee, the date of 
training, and the signature of the person performing the training and 
evaluation.
    (ii) The employer shall retain the current training materials and 
course outline or the name and address of the person who conducted the 
training if it was conducted by an outside trainer.
    (6) Avoidance of Duplicative Training.
    (i) Each current truck operator who has received training in any of 
the elements specified in paragraph (a)(3) of this section for the 
types of trucks the employee is authorized to operate and the type 
workplace that the trucks are being operated in need not be retrained 
in those elements if the employer certifies in accordance with 
paragraph (a)(5)(i) of this section that the operator has been 
evaluated to be competent to perform those duties.
    (ii) Each new truck operator who has received training in any of 
the elements specified in paragraph (a)(3) of this section for the 
types of trucks the employee will be authorized to operate and the type 
of workplace in which the trucks will be operated need not be retrained 
in those elements before initial assignment in the workplace if the 
employer has written documentation of the training and if the employee 
is evaluated pursuant to paragraph (a)(4) of this section to be 
competent.
    (b) [Reserved]

Appendixes to Sec. 1918.77

Appendix A--Training of Powered Industrial Truck Operators

(Non-mandatory appendix to paragraph (a) of this section)

A-1. Operator Selection

    A-1.1. Prospective operators of powered industrial trucks should be 
identified based upon their ability to be trained and accommodated to 
perform job functions that are essential to the operation of a powered 
industrial truck. Determination of the capabilities of a prospective 
operator to fulfill the demands of the job should be based upon the 
tasks that the job demands.
    A-1.2. The employer should identify all the aspects of the job that 
the employee must meet/perform when doing his or her job. These aspects 
could include the level at which the employee must see and hear, the 
physical demands of the job, and the environmental extremes of the job.
    A-1.3. One factor to be considered is the ability of the candidate 
to see and hear within reasonably acceptable limits. Included in the 
vision requirements are the ability to see at distance and 
peripherally. In certain instances, there also is a requirement for the 
candidate to discern different colors, primarily red, yellow and green.
    A-1.4. The environmental extremes that might be demanded of a 
potential powered industrial truck operator include that ability of the 
person to work in areas of excessive cold or heat.
    A-1.5. After an employee has been trained and appropriate 
accommodations have been made, the employer needs to determine whether 
the employee can safely perform the job.

A-2. The Method(s) of Training

    A-2.1. Among the many methods of training are the lecture, 
conference, demonstration, test (written and/or oral) and the practical 
exercise. In most instances, a combination of these methods have been 
successfully used to train employees in the knowledge, skills and 
abilities that are essential to perform the job function that the 
employee is being trained to perform. To enhance the training and to 
make the training more understandable to the employee, employers and 
other trainers have used movies, slides, video tapes and other visual 
presentations. Making the presentation more understandable has several 
advantages including:
    (1) The employees being trained remain more attentive during the 
presentation if graphical presentation are used, thereby increasing the 
effectiveness of the training;
    (2) The use of visual presentations allows the trainer to ensure 
that the necessary information is covered during the training;
    (3) The use of graphics makes better utilization of the training 
time by decreasing the need for the instructor to carry on long 
discussions about the instructional material; and
    (4) The use of graphics during instruction provides greater 
retention by the trainees.

A-3. Training Program Content

    A-3.1. Because each type (make and model) powered industrial truck 
has different operating characteristics, limitations and other unique 
features, an optimum employee training program for powered industrial 
truck operators must be based upon the type vehicles that the employee 
will be trained and authorized to operate. The training must also 
emphasize the features of the workplace which will affect the manner in 
which the vehicle must be operated. Finally, the training must include 
the general safety rules applicable to the operation of all powered 
industrial trucks.
    A-3.2. Selection of the methods of training the operators has been 
left to the reasonable determination of the employer. Whereas some 
employees can assimilate instructional material while seated in a 
classroom, other employees may learn best by observing the conduct of 
operations (demonstration) and/or by having to personally conduct the 
operations (practical exercise). In some instances, an employee can 
receive valuable instruction through the use of 
[[Page 13826]] electronic mediums, such as the use of video tapes and 
movies. In most instances, a combination of the different training 
methods may provide the mechanism for providing the best training in 
the least amount of time. OSHA has specified at paragraph (a)(2)(ii) of 
this section that the training must consist of a combination classroom 
instruction and practical exercise. The use of both these modes of 
instruction is the only way of assuring that the trainee has received 
and comprehended the instruction and can utilize the information to 
safely operate a powered industrial truck.

A-4. Initial Training

    A-4.1. The following is an outline of a generalized forklift 
operator training program:
    (1) Characteristics of the powered industrial truck(s) the employee 
will be allowed to operate:
    (a) Similarities to and differences from the automobile;
    (b) Controls and instrumentation: location, what they do and how 
they work;
    (c) Power plant operation and maintenance;
    (d) Steering and maneuvering;
    (e) Visibility;
    (f) Fork and/or attachment adaption, operation and limitations of 
their utilization;
    (g) Vehicle capacity;
    (h) Vehicle stability;
    (i) Vehicle inspection and maintenance;
    (j) Refueling or charging, recharging batteries.
    (k) Operating limitations.
    (l) Any other operating instruction, warning or precaution listed 
in the operator's manual for the type vehicle which the employee is 
being trained to operate.
    (2) The operating environment:
    (a) Floor surfaces and/or ground conditions where the vehicle will 
be operated;
    (b) Composition of probable loads and load stability;
    (c) Load manipulation, stacking, unstacking;
    (d) Pedestrian traffic;
    (e) Narrow aisle and restricted place operation;
    (f) Operating in classified hazardous locations;
    (g) Operating the truck on ramps and other sloped surfaces which 
would affect the stability of the vehicle;
    (h) Other unique or potentially hazardous environmental conditions 
which exist or may exist in the workplace.
    (i) Operating the vehicle in closed environments and other areas 
where insufficient ventilation could cause a buildup of carbon monoxide 
or diesel exhaust.
    (3) The requirements of this OSHA Standard.

A-5. Trainee Evaluation

    A-5.1. The provisions of these proposed requirements specify that 
an employee evaluation be conducted both as part of the training and 
after completion of the training. The initial evaluation is useful for 
many reasons, including:
    (1) the employer can determine what methods of instruction will 
produce a proficient truck operator with the minimum of time and 
effort;
    (2) the employer can gain insight into the previous training that 
the trainee has received; and
    (3) a determination can be made as to whether the trainee will be 
able to successfully operate a powered industrial truck. This initial 
evaluation can be completed by having the employee fill out a 
questionnaire, by an oral interview, or by a combination of these 
mechanisms. In many cases, answers received by the employee can be 
substantiated by contact with other employees or previous employers.

A-6. Refresher or Remedial Training

    A-6.1. (The type information listed at paragraph A-6.2 of this 
appendix would be used when the training is more than an on-the-spot 
correction being made by a supervisor or when there have been multiple 
instances of on-the-spot corrections having to be made.) When an on-
the-spot correction is used, the person making the correction should 
point out the incorrect manner of operation of the truck or other 
unsafe act being conducted, tell the employee how to do the operation 
correctly, and then ensure that the employee does the operation 
correctly.
    A-6.2. The following items may be used when a more general, 
structured retraining program is utilized to train employees and 
eliminate unsafe operation of the vehicle:
    (1) Common unsafe situations encountered in the workplace;
    (2) Unsafe methods of operating observed or known to be used;
    (3) The need for constant attentiveness to the vehicle, the 
workplace conditions and the manner in which the vehicle is operated.
    A-6.3. Details about the above subject areas need to be expanded 
upon so that the operator receives all the information which is 
necessary for the safe operation of the vehicle. Insight into some of 
the specifics of the above subject areas may be obtained from the 
vehicle manufacturers' literature, the national consensus standards 
[e.g. the ANSI B56 series of standards (current revisions)] and this 
OSHA Standard.

Appendix B--Stability of Powered Industrial Trucks

(Non-mandatory appendix to paragraph (a) of this section)

B-1. Definitions

    To understand the principle of stability, understanding definitions 
of the following is necessary:
    Center of Gravity is that point of an object at which all of the 
weight of an object can be considered to be concentrated.
    Counterweight is the weight that is a part of the basic structure 
of a truck that is used to offset the weight of a load and to maximize 
the resistance of the vehicle to tipping over.
    Fulcrum is the axis of rotation of the truck when it tips over.
    Grade is the slope of any surface that is usually measured as the 
number of feet of rise of fall over a hundred foot horizontal distance 
(this measurement is designated as a percent).
    Lateral stability is the resistance of a truck to tipping over 
sideways.
    Line of action is a imaginary vertical line through the center of 
gravity of an object.
    Load center is the horizontal distance from the edge of the load 
(or the vertical face of the forks or other attachment) to the line of 
action through the center of gravity of the load.
    Longitudinal stability is the resistance of a truck to overturning 
forward or rearward.
    Moment is the product of the weight of the object times the 
distance from a fixed point. In the case of a powered industrial truck, 
the distance is measured from the point that the truck will tip over to 
the line of action of the object. The distance is always measured 
perpendicular to the line of action.
    Track is the distance between wheels on the same axle of a vehicle.
    Wheelbase is the distance between the centerline of the front and 
rear wheels of a vehicle.

B-2. General

    B-2.1. Stability determination for a powered industrial truck is 
not complicated once a few basic principles are understood. There are 
many factors that influence vehicle stability. Vehicle wheelbase, 
track, height and weight distribution of the load, and the location of 
the counterweights of the vehicle (if the vehicle is so equipped), all 
contribute to the stability of the vehicle.
    B-2.2. The ``stability triangle'', used in most discussions of 
stability, is not [[Page 13827]] mysterious but is used to demonstrate 
truck stability in rather simple fashion.

B-3. Basic Principles

    B-3.1. The determination of whether an object is stable is 
dependent on the moment of an object at one end of a system being 
greater than, equal to or smaller than the moment of an object at the 
other end of that system. This is the same principle on which a seesaw 
or teeter-totter works, that is, if the product of the load and 
distance from the fulcrum (moment) is equal to the moment at the other 
end of the device, the device is balanced and it will not move. 
However, if there is a greater moment at one end of the device, the 
device will try to move downward at the end with the greater moment.
    B-3.2. Longitudinal stability of a counterbalanced powered 
industrial truck is dependent on the moment of the vehicle and the 
moment of the load. In other words, if the mathematic product of the 
load moment (the distance is from the front wheels, the point about 
which the vehicle would tip forward) the system is balanced and will 
not tip forward. However, if the load-moment is greater than the 
vehicle-moment, the greater load-moment will force the truck to tip 
forward.

B-4. The Stability Triangle

    B-4.1. Almost all counterbalanced powered industrial trucks have a 
three-point suspension system, that is, the vehicle is supported at 
three points. This is true even if it has four wheels. The steer axle 
of most trucks is attached to the truck by means of a pivot pin in the 
center of the axle. This three-point support forms a triangle called 
the stability triangle when the points are connected with imaginary 
lines. Figure 1 depicts the stability triangle.

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BILLING CODE 4510-26-C [[Page 13829]] 
    B-4.2. When the line of action of the vehicle or load-vehicle falls 
within the stability triangle, the vehicle is stable and will not tip 
over. However, when the line of action of the vehicle or the vehicle/
load combination falls outside the stability triangle, the vehicle is 
unstable and may tip over. (See Figure 2.)

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BILLING CODE 4510-26-C
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B-5. Longitudinal Stability

    B-5.1. The axis of rotation when a truck tips forward is the point 
of contact of the front wheels of the vehicle with the pavement. When a 
powered industrial truck tips forward, it is this line that the truck 
will rotate about. When a truck is stable the vehicle-moment must 
exceed the load-moment. As long as the vehicle-moment is equal to or 
exceeds the load-moment, the vehicle will not tip over. On the other 
hand, if the load-moment slightly exceeds the vehicle-moment, the truck 
will begin the tip forward, thereby causing loss of steering control. 
If the load-moment greatly exceeds the vehicle-moment, the truck will 
tip forward.
    B-5.2. In order to determine the maximum safe load moment, the 
truck manufacturer normally rates the truck at a maximum load at a 
given distance from the front face of the forks. The specified distance 
from the front face of the forks to the line of action of the load is 
commonly called a load center. Because larger trucks normally handle 
loads that are physically larger, these vehicles have greater load 
centers. A truck with a capacity of 30,000 pounds or less capacity is 
normally rated at a given load weight at a 24 inch load center. For 
trucks of greater than 30,000 pound capacity, the load center is 
normally rated at 36 or 48 inch load center distance. In order to 
safely operate the vehicle, the operator should always check the data 
plate and determine the maximum allowable weight at the rated load 
center.
    B-5.3. Although the true load moment distance is measured from the 
front wheels, this distance is greater than the distance from the front 
face of the forks. Calculation of the maximum allowable load moment 
using the load center distance always provides a lower load moment than 
the truck was designed to handle. When handling unusual loads, such as 
those that are larger than 48 inches long (the center of gravity is 
greater than 24 inches), with an offset center of gravity, etc., then 
calculation of a maximum allowable load moment should be undertaken and 
this value used to determine whether a load can be handled. For 
example, if an operator is operating a 3000 pound capacity truck (with 
a 24 inch load center), the maximum allowable load moment is 72,000 
inch-pounds (3,000 times 24). If a probable load is 60 inches long (30 
inch load center), then the maximum weight that this load can weigh is 
2,400 pounds (72,000 divided by 30).

B-6. Lateral Stability

    B-6.1. The lateral stability of a vehicle is determined by the 
position of the line of action (a vertical line that passes through the 
combined center of gravity of the vehicle and the load) relative to the 
stability triangle. When the vehicle is not loaded, the location of the 
center of gravity of the truck is the only factor to be considered in 
determining the stability of the truck. As long as the line of action 
of the combined center of gravity of the vehicle and the load falls 
within the stability triangle, the truck is stable and will not tip 
over. However, if the line of action falls outside the stability 
triangle, the truck is not stable and may tip over.
    B-6.2. Factors that affect the lateral stability of a vehicle 
include the placement of the load on the truck, the height of the load 
above the surface on which the vehicle is operating, and the degree of 
lean of the vehicle.

B-7. Dynamic Stability

    B-7.1. Up to this point, we have covered stability of a powered 
industrial truck without consideration of the dynamic forces that 
result when the vehicle and load are put into motion. The transfer of 
wight and the resultant shift in the center of gravity due to the 
dynamic forces created when the machine is moving, braking, cornering, 
lifting, tilting, and lowering loads, etc., are important stability 
considerations.
    B-7.2. When determining whether a load can be safely handled, the 
operator should exercise extra caution when handling loads that cause 
the vehicle to approach its maximum design characteristics. For 
example, if an operator must handle a maximum load, the load should be 
carried at the lowest position possible, the truck should be 
accelerated slowly and evenly, and the forks should be tilted forward 
cautiously. However, no precise rules can be formulated to cover all of 
these eventualities.

[FR Doc. 95-5826 Filed 3-13-95; 8:45 am]
BILLING CODE 4510-26-P