U.S.

DEPARTMENT OF LABOR Occupational Safety and Health Administration

DIRECTIVE NUMBER: CPL 02-01-063 EFFECTIVE DATE: February 11, 2022

SUBJECT: Compliance Directive for Cranes and Derricks in Construction Standard

ABSTRACT

Purpose: This instruction provides guidelines for enforcement procedures and

inspection guidance conducted for equipment covered by Subpart CC.

Scope: This instruction applies OSHA-wide.

References: 29 CFR Part 1926 Subpart CC—Cranes and Derricks in Construction, 75

FR 47906, 83 FR 56198.

Cancellations: CPL 02-01-057, Compliance Directive for the Cranes and Derricks in
Construction Standard, Section R § 1926.1427. Operator Qualification and
Certification; 10/17/2014

State Impact: Notice of intent and equivalency required. See paragraph VII.

Action Offices: National, Regional, and Area Offices.

Originating Office: Directorate of Construction (DOC).

Contact: Office of Standards and Guidance, DOC

200 Constitution Ave. NW, Room N3467
Washington, DC 20210
202-693-2020

By and Under the Authority of

Douglas L. Parker
Assistant Secretary
 Executive Summary

The crane standard that the new rule replaced, 29 CFR 1926.550, contained general safety
requirements in its regulatory text and incorporated by reference numerous equipment-specific
requirements of several consensus standards. The organization of the new crane standard is
complex because the majority of the equipment-specific requirements that were once
incorporated from other documents are now explicit requirements in the regulatory text,
minimizing the employer’s need to reference other documents for those requirements. This
directive provides supplemental guidance regarding the enforcement of the new crane standard.

Significant Changes

This version of the compliance directive replaces “R. Operator Certification from CPL 02-01-
057” with “R. Operator Training, Certification, and Evaluation.” The new section includes
inspection guidance and citation policy that reflects changes to 29 CFR 1926 Subpart CC—
Cranes and Derricks in Construction that were made in the final rule, Cranes and Derricks in
Construction: Operator Qualification, 83 FR 56198.
TABLE OF CONTENTS

I. Purpose.................................................................................................................................1
II. Scope 1
III. References ............................................................................................................................1
IV. Cancellations ........................................................................................................................1
V. Action Offices ......................................................................................................................1
VI. Action ..................................................................................................................................1
VII. Federal Program Change......................................................................................................1
VIII. Key Elements of an Abbreviated Compliance Inspection of a Construction
Worksite on which there is a Crane ....................................................................................2
IX. Inspection guidance and Citation Policies ...........................................................................4
X. Appendices ........................................................................................................................ A1
 I. Purpose. This compliance directive is intended to serve as a standard-specific reference
for OSHA Compliance Officers regarding the application of Subpart CC of 29 CFR Part
1926, providing supplemental compliance inspection guidance and recommended citation
policies for complex requirements.

II. Scope. This instruction applies OSHA-wide.

III. References.

A. 29 CFR Part 1926, Subpart H—Materials Handling, Storage, Use, and Disposal

B. 29 CFR Part 1910, Subpart N—Materials Handling and Storage

C. 29 CFR Part 1910, Subpart N—Overhead and Gantry Cranes

D. 29 CFR Part 1926, Subpart CC—Cranes and Derricks in Construction

E. CPL 02-00-150 Field Operations Manual

IV. Cancellations.

None. This is the first compliance directive issued regarding to the application of Subpart
CC.

V. Action Offices.

A. Responsible Office. Directorate of Construction.

B. Action Offices. National, Regional, and Area Offices.

C. Information Offices. OSHA Directorate of Training and Education, and

Consultation Project Managers.

VI. Action.

Regional Administrators and Area Directors shall ensure that Compliance Officers who
must inspect worksites on which there are cranes are familiar with and follow the
inspection guidance provided in this compliance directive.

VII. Federal Program Change.

Notice of Intent and Equivalency required. This Instruction describes a Federal program
change which provides guidance to compliance personnel on performing inspections
where equipment covered by Subpart CC of 29 CFR Part 1926 is present on a
construction worksite. OSHA published a revised standard on Subpart CC Cranes and
Derricks in Construction on August 9, 2010, with an effective date of November 8, 2010.
States with OSHA-approved state plans were required to adopt standards at least as
effective as these revisions within 6 months of federal promulgation. States must

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 implement enforcement policies and procedures for their Cranes and Derricks standards
which are at least as effective as those in this Instruction.

States are required to notify OSHA within 60 days whether they intend to adopt policies
and procedures identical to those in this Instruction or adopt or maintain different policies
and procedures. If a state adopts or maintains policies and procedures that differ from
Federal policies and procedures, the State must identify the differences and may either
post its new or existing policies and procedures on its website and provide the link to
OSHA or submit an electronic copy to OSHA with information on how the public may
obtain a copy. If a state adopts identical policies and procedures, the State must provide
the date of adoption to OSHA. State adoption must be accomplished within 6 months,
with posting or submission of documentation within 60 days of adoption. OSHA will post
summary information on the state plan responses to this Instruction on its website.

VIII. Key Elements of an Abbreviated Compliance Inspection of a Construction Worksite on

which there is a Crane.

A. Overview.

At a minimum, the following items should be considered for any abbreviated compliance
inspection of a worksite on which there is a crane. This information can serve as the basis
for development of related inspection checklists. However, whenever a fatality
investigation, complaint/referral inspection is conducted, or when hazardous conditions
on the worksite warrant, the Compliance Officer maintains the discretion to expand the
scope of the inspection to include all other applicable requirements of the crane standard.
In addition, the Inspection Guidance and Citation Policy section of this compliance
directive must be referenced for more requirement-specific guidance.

B. Abbreviated Inspection Checklist.

1. Determine the adequacy of ground conditions beneath the equipment set-up area
such as the support/foundation, matting, cribbing, blocking, etc.

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

3. When overhead power lines are on the construction site, ask if the utility
owner/operator was contacted and if the lines are energized. Obtain the voltage of
the power lines (if known). Verify whether a work zone around the crane was
demarcated and what encroachment prevention steps are being used.

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

qualifications/documentation. Acceptable documents include both physical and
electronic records.

5. Verify that the communication system being used by the crane operator and the
signal person is the one specified on the signal person’s qualification
documentation.

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

7. When equipment is used to hoist personnel, identify who determined that it is

infeasible to use another way to reach the work area and that it is necessary to use
the crane for this task. This does not apply to steel erection activities under
Subpart R.

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

meetings necessary for working near overhead power lines, conducting
Assembly/Disassembly (A/D), or hoisting.

9. Inspect all rigging equipment that is available for workers to use (slings, chokers,
shackles, etc.) for damage, wear, safe working load tags, capacity, and safety
factor.

10. Verify that load chart and operations’ manuals are available, written in a language
that the operator understands (specified on the operator’s certification), and that
the information is applicable to the particular crane. Ask the operator or employer
where the documents are kept. For example, see if the serial number on the load
chart matches that of the crane. Typically, the serial number is found on the
nameplate in the cab and on the front cover of the manual.

11. Verify operator qualifications and training. Observe crane operations and
interview both the employer and the operator to determine whether the operator is
competent to operate the equipment safely.

12. Verify that the equipment and wire rope inspection requirements have been met
and that the documentation is available for all inspections of the equipment.
Identify who did the inspection and verify that inspector’s qualifications.

13. Determine, through interview and observation, if safety devices and operational
aids are functioning through interview or observation. For example, it is possible
that employees can be doing other things to compensate for aids and devices that
are not functioning properly. For operational aids that are not functioning and
have not been repaired, determine whether parts are on order. If parts have been
received, document the date of order and/or receipt.

14. Visually inspect the hoisting equipment, components, and load line for visible
deficiencies. If needed, use binoculars to examine ropes that cannot be inspected
closely from a safe position.

15. Ask what loads have been lifted and how the operator and/or rigger are
determining the weight of the load. For example, are they using a bill of lading or
marked weight, the load moment indicator, or crane scale? Verify that the weight
of the load(s) was within the capacity of the equipment or below 75% of capacity
if a load moment indicator was used.

16. Verify that qualified riggers are being used:

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

b. Whenever workers are within the fall zone and hooking, unhooking, guiding a
load, or making the initial connection of a load to a component or structure, as
per § 1926.1425(c).

17. When A/D is being performed, ask who the A/D director is and verify whether
this person is at the worksite. This could be one person or a competent person
who is assisted by one or more qualified persons.

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

a. By observation and interview, verify their qualifications regarding the work

being performed.

b. Ask how they are communicating with the operator when the equipment is
being operated.

c. Verify that they are being protected in hazard areas in accord with
§§ 1926.1404(e) and .1424(a).

19. If fall protection is being used, inspect personal fall arrest systems for compliance
with Subpart M at § 1926.502(d). Note that the anchorage requirements at
§ 1926.502(d)(15) do not apply; the applicable anchorage requirements are at
§ 1926.1423(g). The requirements for boom walkways, handrails, steps, ladders,
and railings, etc., are in §§ 1926.1423(b) and (c).

IX. Inspection Guidance and Citation Policies.

Introduction: This section provides compliance inspection guidance, and discussions of
citation policies for requirements and regulatory text which sample citations provided in
the Field Operations Manual may not adequately address. The compliance inspection
guidance often includes recommended subject matter that should be covered during
interviews of individuals who work in construction.

Employee/Employer Interviews

This directive’s Inspection Guidance supplements information provided in the Field

Operations Manual regarding interviews of individuals at the site such as the controlling
employer, employer of the operator and lift crew, operator, equipment inspector,
maintenance personnel, lift and A/D directors, crew members, riggers, and signal person.

Qualified Individuals

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

(A/D) director, lift director, equipment inspector, operator, registered professional
engineer, or qualified rigger to make determinations related to the capacity and safe use
of the equipment. Such individuals must meet the definition of qualified or competent
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persons, and interviews should be conducted to document the relevant credentials and
level of experience of these individuals as support for a potential citation. For example,
the individual should be asked to describe:

 his or her relevant experience with the equipment at the site or similar sites,
 his or her qualifications to perform the activity or make the required determination,
 the extent and duration of his or her crane-related experience, and
 any certificates, degrees, or other supporting documents related to the subject matter.
Tasks Required to be Performed by an Individual

In addition, several sections of the crane standard specify that safety-related tasks be
performed by particular individuals, like a signal person, A/D director, lift director,
equipment inspector, operator, registered professional engineer, or qualified rigger. Some
of these provisions work in tandem with § 1926.1400(f) to mandate that the employer
ensure that required tasks are performed by these specific individuals.

Requesting Documentation

As a general practice, make note of any documentation provided by the employer during
the inspection, such as inspection records, equipment operation manuals, employee
certifications, employer-developed procedures, and modification approvals. If possible,
obtain copies of such information.

A. § 1926.1400. Scope.
Subpart CC applies to power-operated equipment, when used in construction, that can
hoist, lower, and horizontally move a suspended load. In addition to the general
functional description of what the standard covers, the scope section lists examples of
the types of equipment covered by the standard. This dual approach (functional
description plus non-exclusive list of examples) is designed to accommodate
anticipated changes in technology for power-operated hoisting equipment.

Compliance Officers can find illustrations of different types of cranes in the ASME
B30 series available on the O: drive at:
O:\Region 3\FEDERAL\PITTSBURGH\B30 Cranes, Derricks, Hoists, Hooks,
Slings, etc.
Note that these are copyrighted standards and should not be used in public
presentations.

[Reminder: “crane” in this directive refers to cranes, derricks, and all other equipment
covered by the standard.]

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

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 Such equipment includes, but is not limited to: articulating cranes (such as
knuckle-boom cranes); crawler cranes; floating cranes; cranes on barges;
locomotive cranes; mobile cranes (such as wheel-mounted, rough-terrain, all-
terrain, commercial truck-mounted, and boom truck cranes); multi-purpose
machines when configured to hoist and lower (by means of a winch or hook) and
horizontally move a suspended load; industrial cranes (such as carry-deck cranes);
dedicated pile drivers; service/mechanic trucks with hoisting devices; cranes on
monorails; tower cranes such as fixed-jib (e.g.,“hammerhead boom”) cranes,
luffing boom cranes, and self-erecting cranes; pedestal cranes; portal cranes;
overhead and gantry cranes; straddle cranes; sideboom cranes; derricks; and
variations of such equipment.

Inspection Guidance

Equipment covered by this standard can be generally identified through

inspection/observation of hoisting operations when they are used at the worksite.
Review of the equipment’s operations manual is often useful in determining
whether it is covered under Subpart CC. Of particular interest are references to
design in accordance with a consensus standard, items to be inspected, and
frequency of inspection. In addition to the records reviews and observation of
hoisting operations described above, interviews of individuals like the operator,
employer, lift director and lift crew can be conducted to confirm that the
equipment was used with attachments.

2. § 1926.1400(b). Attachments.
Equipment is also covered by this standard when used with the attachments listed
in § 1926.1400(b) regardless of whether they are crane-attached or suspended.
Such attachments include, but are not limited to, hooks, magnets, grapples,
clamshell buckets, orange peel buckets, concrete buckets, drag lines, personnel
platforms, augers, or drills and pile driving equipment.

3. § 1926.1400(c). Exclusions.

Equipment Excluded from Subpart CC Based on its Configuration or

End Use
Section Equipment Configuration and Use Applicable standard
when Not Covered
by Subpart CC:
§ 1926.1400(c)(1) Equipment When converted or 29 CFR 1926.600,
listed in adapted for non hoisting Motor Vehicles,
1926.1400(a) or lifting use. (i.e., Mechanized
becomes a power shovel, Equipment, and
excavator, concrete Maritime Operations
pump, etc.)
§ 1926.1400(c)(3) Automotive When used to clear Not covered by
Wreckers wrecks and haul vehicles. 29 CFR Part 1926

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 and Tow
Trucks
§ 1926.1400(c)(4) Digger When used in electric 29 CFR 1926.950,
Derricks power generation, Power Transmission
transmission, and and Distribution
distribution work.
§ 1926.1400(c)(8) Powered When not equipped with 29 CFR 1926.600,
Industrial a boom and hoist. (see Motor Vehicles,
Trucks guidance available on the Mechanized
(Forklifts) OSHA Cranes and Equipment, and
Derricks page of Marine Operations
https://www.osha.gov/cra
nes-derricks-
construction/faq)
§ 1926.1400(c)(9) Mechanic’s When used in activities Not covered by
truck with a related to equipment 29 CFR Part 1926
hoisting maintenance and repair.
device
§ 1926.1400(c)(12) Gin Poles When used for erection (5)(a) [ANSI TIA-
of communication towers 1019-A]
§ 1926.1400(c)(13) Equipment When used in tree Not covered by
meeting the trimming and removal 29 CFR Part 1926
functional work
description
or equipment
listed
§ 1926.1400(c)(14) A vessel or When used for anchor 29 CFR 1926.600,
barge using handling or dredge- Motor Vehicles,
an affixed A- related operations Mechanized
frame. Equipment, and
Maritime Operations
§ 1926.1400(c)(17) Articulating/ When used to deliver 29 CFR 1926.600,
knuckle- building supply sheet Motor Vehicles,
boom truck goods and packaged Mechanized
cranes materials, the fork/cradle Equipment, and
is used; and the crane is Maritime Operations
equipped with a
functioning automatic,
overload-prevention
device; to qualify for this
exclusion, the goods or
materials cannot be a
prefabricated piece or
arranged in a particular
sequence

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Equipment Explicitly Excluded from Subpart CC
Section Equipment Applicable standard when Not
Covered by Subpart CC:
§ 1926.1400(c)(2) Power shovels, 29 CFR 1926.600, Motor Vehicles,
excavators, wheel Mechanized Equipment, and
loaders, backhoes, Maritime Operations
loader backhoes, and
track loaders
§ 1926.1400(c)(5) Machinery originally 29 CFR 1926.453, Aerial Lifts
designed as vehicle-
mounted aerial
devices and self-
propelled elevating
work platforms
§ 1926.1400(c)(6) Telescoping/hydraulic 29 CFR 1926.600, Motor Vehicles,
gantry systems Mechanized Equipment, and
Maritime Operations
§ 1926.1400(c)(7) Stacker Cranes 29 CFR 1926.600, Motor Vehicles,
Mechanized Equipment, and
Maritime Operations
§ 1926.1400(c)(10) Machinery that hoists 29 CFR 1926.554, Overhead Hoists
using a chainfall or
come-a-long
§ 1926.1400(c)(11) Dedicated drill rigs 29 CFR 1926.600, Motor Vehicles,
Mechanized Equipment, and
Maritime Operations
§ 1926.1400(c)(15) Roustabout 29 CFR 1926.554, Overhead Hoists
§ 1926.1400(c)(16) Helicopter Cranes 29 CFR 1926.551, Helicopters

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Subpart CC - Scope
General Definition: Power- Not Covered Covered
operated equipment, when used Used with or
in construction, that can hoist, without
attachments
lower and horizontally move a
§ 1926.1400(b)
suspended load. Illustrative
examples listed in §
1926.1400(a).

Power shovels, excavators, wheel

loaders, backhoes, loader
backhoes, track loaders.
Used to clear wrecks
and haul vehicles
Automotive wreckers and
tow trucks. Used for construction
activities

Used for Subpart V

Digger work
Derricks When used for other
construction activities

Machinery originally designed as vehicle-mounted

aerial devices (for lifting personnel) and self-propelled
elevating work platforms.

Powered industrial
trucks (forklifts)
with attachments Configured to hoist and
lower (by means of a
Mechanic's truck with a boom and hoist) and
hoisting device when horizontally move a
used in activities related suspended load
to equipment
maintenance and repair.

• Machinery that hoists by using a come-a-

long or chainfall.
• Gin poles when used for the erection of
communication towers.
• Roustabouts
• Helicopter cranes
• Dedicated drilling rigs
• Stacker cranes
• Telescopic/hydraulic gantry systems by
by
Subpart CC
Subpart CC

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

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

boom and an auger. It is used primarily to install utility poles and perform related
work in the electric utility and telecommunication industries.

In the 2010 Final Rule for Subpart CC, OSHA exempted digger derricks when
used for augering holes for poles carrying electric or telecommunication lines,
placing and removing the poles, and handling associated materials to be installed
or removed from the poles. In a subsequent rulemaking, OSHA expanded this
exemption to also include digger derricks when used for any work subject to
Subpart V of 29 CFR Part 1926 Subpart V. Any citations considered under these
circumstances must be issued under Subpart V and not under Subpart CC. [78 FR
32110-32116]

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

a. Partial Forklift Inclusion – Forklifts are covered by Subpart CC when

configured with a “winch or hook” and used like a crane. OSHA also
explained in the preamble to Subpart CC that forklifts used to suspend a load
below the forks were excluded from the standard. However, OSHA received
numerous compliance inquiries requesting more guidance about the coverage
of forklifts configured with booms/jibs and hoists. In response, OSHA intends
to revise the standard to provide more clarity regarding forklift coverage.

The proposed change would exclude forklifts from coverage under the
standard unless they are equipped with a boom and a hoist and used like a
crane. OSHA believes that this amendment would ensure that the forklift
exclusion aligns with OSHA’s original intent when it issued the standard.
Therefore, any forklift that lifts with a boom (including the boom of the
forklift itself) and a hoist would be covered by requirements of the cranes a
derricks standard. For example, a variable-reach forklift would also be
covered by the cranes standard if it is configured with a hoist and used like a
crane. Otherwise, this forklift would continue to be covered by Subpart O of
29 CFR Part 1926, Motor Vehicles, Mechanized Equipment, and Marine
Operations.

When Subpart O and Subpart CC both address a particular hazard associated

with forklifts equipped with a boom and hoist, in most cases, Subpart O would
only apply as that standard directly addresses hazards associated with
operation and design characteristics specific to forklifts. Subpart CC, on the
other hand, addresses hazards unique to cranes.

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 c. For more enforcement guidance regarding the use of forklifts with
attachments for hoisting suspended loads, review information accessible from
the OSHA Cranes and Derricks webpage of www.osha.gov/cranes-
derricks/faq.html or consult the Regional Construction Coordinator.

Requirements of Subpart O applicable to Requirements of Subpart CC applicable to

forklifts covered by Subpart CC forklifts covered by Subpart CC
Applicable General Requirements Ground conditions
§ 1926.600 § 1926.1402
*new- Working Near Power lines
Equipment capacity and configuration Use of wire rope as load lines
§ 1926.602(c)(1)(i) § 1926.1413-.1414
Equipment modifications Two-blocking prevention
§ 1926.602(c)(1)(ii) § 1926.1416(d)(3)
Multiple Forklift Lifts Work Area Control
§ 1926.602(c)(1)(iii) § 1926.1424
Design, construction, inspection and testing Keeping Clear of the Load
§ 1926.602(c)(1)(iv) - (vi) or (5)(a) § 1926.1425
Unauthorized Riders Free fall of the boom or load line
§ 1926.602(c)(1)(vii) § 1926.1426
Operator qualifications Boom-attached or suspended personnel
§ 1926.602(d) platforms
§ 1926.1431

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

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

when it is being used exclusively as a pile-driver. OSHA considers such
equipment to include pile-drivers that are used to drive posts/columns/beams into
and/or extract them from the ground, either with or without the use of a load line.
The standard has no limit on the size of the equipment used, the size of the posts
driven or extracted, or the action of the powered hammer.

Regarding the coverage of dedicated pile drivers by the crane standard, the
preamble from the proposed rule explains:

[Pile driver manufacturers] emphasized certain mechanical

similarities [with cranes] and the need for timely regulation.
However, they requested that the standard be adjusted to address
the equipment's unique characteristics.

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

particularly concerned about the need to establish required
inspections for dedicated pile drivers in view of the stress placed
on this type of equipment…
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 The manufacturer representatives pointed out that while these
machines are designed to hoist within a very limited range and
capacity, it is inappropriate to use them for hoisting beyond those
restricted limits.

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

that most provisions of the standard apply to dedicated pile drivers
but excludes some that the Committee believed were inappropriate
for such equipment. [73 FR 59726]

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

covered by Subpart CC. For example, a machine designed to drive and
extract small posts that support guardrail systems is covered by the
requirements of Subpart CC. It is covered even though the machine does
not use a hoist, irrespective of the size of the pile or the material of which
the pile is made.

Citation Policy

a. Dedicated Pile Drivers. When equipment is being used exclusively as a pile

driver, consider citations under Subpart CC.

b. Pile-Driving Attachments. In addition to citations under Subpart CC, which

involve deficiencies with respect to the crane, in cases where a pile driving
attachment is used, hazards associated with the attachment itself are covered
by § 1926.603, Pile Driving Equipment. In those circumstances, CHSOs
should consider citations for violations of applicable requirements of both
Subpart CC and § 1926.603.

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

a. In general, delivery of equipment from the flatbed of a truck to the ground, not
positioning or arranging in a sequence for further hoisting, is not considered a
construction activity. The partial exclusion of articulating/knuckle-boom truck
cranes from the requirements of the crane standard is explained in detail in the
preamble to the final rule and information accessible from the OSHA Cranes
and Derricks webpage of www.osha.gov/cranes-derricks/faq.html.

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 Material Delivery
Articulating/Knuckle-boom truck cranes Not Covered Covered

When used to transfer materials from the truck crane

to the ground, without arranging the materials in a
particular sequence for hoisting.
See 1926.1400(c)(17)(i)

When using equipment with an automatic overload

prevention device to transfer building supply sheet
goods or building supply packaged materials from the
truck crane onto a structure via a fork/cradle at the
end of a boom. See 1926.1400(c)(17)(ii)

When used to hold, support or stabilize the material

to facilitate a construction activity, such as holding
material in place while it is attached to the structure.
See 1926.1400(c)(17)(iii)(A)

When the material being handled by the

articulating/knuckle-boom crane is a prefabricated
component
See 1926.1400(c)(17)(iii)(B)

The material being handled by the crane is a

structural steel member (for example, steel joists,
beams, columns, steel decking (bundled or
unbundled) or a component of a systems-engineered
metal building.
See 1926.1400(c)(17)(iii)(C)

The activity is not specifically excluded under

1926.1400(c)(17)(i) or 1926.1400(c)(17)(ii).

Delivery of Materials to the Ground and Burial Vaults

When a crane, in general, is used to deliver materials

from the bed of a truck to the ground in no particular Subpart CC
order for a construction activity, or to place burial vaults
by Subpart applies
in a grave, such hoisting activities are considered
construction work. CC

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8. § 1926.1400(e). Controlling Entities.

Controlling entity requirements were included in the scope section of Subpart CC

to emphasize that, in addition to any other safety obligations the controlling entity
has at its worksite(s) as the result of other requirements of subparts of 29 CFR
Part 1926, the employer has three more under §§ 1926.1402(c), 1926.1402(e) and
1926.1424(b).

Citation Policy

§ 1926.1400(e). Section 1926.1400(e) shall not be cited because it only reminds

the controlling entity that there are safety obligations specific to Subpart CC that
must be met. For other multi-employer issues, refer to the Multi-Employer
Citation Policy Directive, CPL 2-0.124.

9. § 1926.1400(f). Work Practice Implementation.

This section requires the employer to ensure, via effective communication and
enforcement of work rules, that an operator, crew member, or other employee
performs the tasks specified for her or him by Subpart CC. Section 1926.1400(f)
is included to emphasize that, even when other provisions of Subpart CC do not
explicitly include language like “the employer must” or “the employer shall
ensure,” the employer is still responsible for ensuring that the requirements of
Subpart CC are met.

Citation Policy

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

Subpart CC was not met by the employee designated by the employer to complete
a task required by another part of Subpart CC, and the language of the violated
provision did not explicitly state that the employer must ensure that the designated
employee is required to follow a related work rule. Therefore, group this citation
with each citation of the applicable requirement of Subpart CC.

10. § 1926.1400(g). Subpart V Work Activity.

When an employer performs power distribution and transmission work that is

covered by Subpart V of 29 CFR Part 1926, the employer may comply with the
requirements of § 1926.959 to meet the requirements of §§ 1926.1407 through
1926.1411.

Inspection Guidance

a. Observe the hoisting operation and document when work is being done on
power lines, transformers, or related equipment. Subpart V work typically
involves work performed on equipment that is owned and operated by a

14
 utility. Under these conditions, the equipment must be operated by or under
the direction of (for operator in training) individuals who are qualified to
perform such work.

b. Through interviews, verify the following information:

 Who is the qualified person with respect to Subpart V work?
 What is the construction activity being performed?
 Was the utility owner/operator contacted and when?
 Are there any representatives from the utility owner/operator available on
site?
 Is the work being performed on energized equipment and for what
purpose?
 Is the employer opting to comply with § 29 CFR 1926.959 instead of
Subpart CC?
Citation Policy

c. § 1926.1400(g). Section 1926.1400(g) shall not be cited because it only serves

as notice to the employer that compliance with § 1926.959 is acceptable
instead of §§ 1926.1407 through 1926.1411.
When power distribution and transmission work has been performed and the
employer opted to implement the requirements of § 1926.959 but was not in
compliance with the requirements of § 1910.959, consider a citation of
applicable provisions of §§ 1926.1407 through 1926.1411 and identify in the
Alleged Violation Description (AVD) the provisions of § 1926.959 with
which the employer did not comply.

11. § 1926.1400(h). Railroad Exclusion.

The requirements of Subpart CC do not apply to equipment designed for use on
railroad tracks that are regulated by the Federal Railroad Administration (FRA).
Inspection Guidance

a. When the equipment is used to perform construction activities on or adjacent

to the “means of way” of a rail system that is regulated by the FRA, observe
and document the construction activities that are being supported by the use of
the equipment and where in proximity to the rails the activities are being
performed.
b. Interview the controlling employer (if any), operator, lift director (if any), and
employer to determine if it was complying with FRA or OSHA regulations to
perform the work.
15
 c. When there are doubts about the applicability of 29 CFR Part 1926 to the
observed work activities, it is recommended that the appropriate Area or
Regional Office be contacted for enforcement guidance.

Pending Settlement Agreement

OSHA promulgated the final Cranes and Derricks in Construction standard on

August 9, 2010. The Association of American Railroads (AAR) filed a petition
requesting OSHA to clarify its intent regarding the extent to which the Cranes and
Derricks standard applies to the railroad industry. OSHA is consulting with the
Federal Railroad Administration (FRA) to clarify the extent to which OSHA
standards would be pre-empted by those of the FRA, particularly for work in the
railroad right of way that is not “track work.” OSHA has been in settlement
discussions with AAR and may soon enter into an Agreement in Principal with
AAR that could result in settlement of the lawsuit.

Citation Policy

d. § 1926.1400(h). When the tracks beneath the equipment are not regulated by
the FRA, consider citations for violations of applicable requirements of
§ 1926.1402. (See discussion of citation policy for § 1926.1402, Ground
Conditions, of this compliance directive for applicable requirements).

B. § 1926.1402. Ground Conditions.

Paragraph (c) requires the controlling entity to provide for ground conditions that
meet the requirements of § 1926.1402(b). Paragraph (c) also requires the controlling
entity to inform the equipment operator of potential hazards beneath the equipment
set-up area if said hazards are identified by information in the controlling entity’s
possession. In the absence of a controlling entity, under paragraph (d), the obligation
to provide adequate ground conditions falls on the employer that has authority at the
site to make or arrange for ground preparations.

1. § 1926.1402(b). Establishes minimum criteria for ground conditions that must be

met prior to the assembly and use of the equipment.

Inspection Guidance

a. Visually inspect the area around the equipment and note any conditions that
could contribute to an unstable foundation, such as:

 ground that appears soft, such as loose fill that has not been compacted;

 signs of utilities buried beneath the equipment, which may indicate voids
underneath the equipment;

 excessive liquid or leaking hydraulic lines that could soften the foundation
beneath outriggers/stabilizers or other equipment supports;
16
  lack of drainage from the set-up area so that rain may compromise the
equipment’s support.

b. Determine the degree of level of the equipment. The degree of level should be
measured as close to the turntable as possible. If out of level, ground
conditions may be inadequate to support the weight of the equipment.

c. Interview the operator, lift director, or competent person who inspected the
equipment to determine:

 how the degree of level was verified,

 what method was used, and

 where on the equipment the degree of level was measured.

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

changed due to inadequate ground support.

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

computers in the equipment cab. For example, if the degree of level is
indicated on electronic gear in the cab, photograph the reading. If a device is
used to measure the degree of level, photograph the device and its reading.

e. Obtain the weight of the equipment and the dimensions of the outriggers to
compare the load of the equipment at the outrigger pads to the bearing
capacity of the soil, when available.

Citation Policy

f. § 1926.1402(b). When the equipment has been assembled and used before the
requirements of § 1926.1402(b) have been met, consider a citation of this
standard.

2. § 1926.1402(c). When there is a controlling entity on the project, this entity must
arrange for preparations to ensure adequate ground conditions beneath the A/D or
set-up area underneath the equipment.

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

construction manager, or any other legal entity which has the overall responsibility for
the construction of the project—its planning, quality, and completion.

Inspection Guidance

a. Interview the controlling entity, the employer, operator, and lift director to
determine which one:

17
  has the authority to make decisions and implement changes for ground
preparations before the equipment is assembled and used;

 has any applicable site drawings, as-built drawings, soil analyses or

compaction tests that may identify underground hazards;

 is responsible for informing the operator of worksite soil conditions and

known ground condition hazards.

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

b. During interviews, also determine:

 What ground condition hazards were observed on the site?

 What ground preparations have been made to provide adequate ground

support for the equipment set-up?

 What information was provided to the controlling entity?

 Who provided the information to the controlling entity?

 What information was received from the controlling entity?

 How was information about the ground conditions communicated?

 Did the equipment user receive any information regarding underground

hazards beneath the equipment A/D or set-up area from the controlling
entity?

Citation Policy

c. § 1926.1402(c). When there is a controlling entity for the project and the
requirements of § 1926.1402(b) have not been met, consider citations for
violations of the applicable requirements of § 1926.1402(c). If a citation is
issued, it should be to the controlling entity and grouped with a citation of
§ 1926.1402(b).

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

information regarding underground hazards that it actually possesses. The
controlling entity does not need to seek out information not in its possession
to comply with this requirement. Note that a homeowner who hires a
contractor is not subject to the information sharing requirement, but the
controlling entity must ensure adequate ground conditions regardless of any
information exchange.

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

that has authority to make or arrange for ground preparations to meet the
18
 requirements of § 1926.1402(b) is responsible for ensuring that those preparations
are made.

Inspection Guidance

a. Use facts from interviews to determine which employer has the authority to
arrange for ground preparations and if that employer has made those
arrangements.

Citation Policy

b. § 1926.1402(d). When there is no controlling employer for the project (such

as a jobsite where all of the employers are prime contractors of the owner) and
the requirements of § 1926.1402(b) have not been met, consider a citation of
§ 1926.1402(d) grouped with a citation of § 1926.1402(b). If a citation is
issued, it must be issued to the employer that has the authority at the site to
make or arrange for ground preparations needed to meet the requirements of §
1926.1402(b).

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

are inadequate under § 19216.1402(b), that person’s employer must have a
discussion with the controlling entity regarding ensuring necessary ground
preparations.

Inspection Guidance

a. Determine if the required discussion took place.

b. The inability of the operator, employer, A/D director, or the competent person
who inspected the equipment to describe how he or she determined that the
equipment was level may indicate that determinations regarding ground
conditions may not have been made at all. It may also indicate that no
discussion with the controlling entity occurred.

Citation Policy

c. § 1926.1402(e). Consider a citation of § 1926.1402(e) grouped with a citation

of § 1926.1402(b) when the controlling entity was not informed of inadequate
ground conditions beneath the equipment A/D or set-up area, or

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

Citing the operating company under § 1926.1402(e) does not preclude
appropriate citations of the controlling entity or the employer with authority to
make or arrange for ground preparations for a violation of §§ 1926.1402(c) or
(d).

19
 5. § 1926.1402(f). The ground condition requirements of § 1926.1402 do not apply
to cranes designed for and used on railroad tracks regulated by the Federal
Railway Administration (FRA).

Inspection Guidance

a. Contact the appropriate Area or Regional Office for more enforcement

guidance when there are doubts about the applicability of 29 CFR Part 1926 to
the observed construction activities.

Citation Policy

b. § 1926.1402(f). Do not cite Section 1926.1402(f). This section only specifies

an exemption from the requirements of 29 CFR Part 1926.

C. §§ 1926.1403-.1406. Assembly/Disassembly.

Assembly/disassembly (A/D): the assembly and/or disassembly of equipment covered under this
standard. With regard to tower cranes, “erecting and climbing” replaces “assembly” and
“dismantling” replaces “disassembly.” Regardless of whether the crane is initially erected to its
full height or is climbed in stages, the process of increasing the height of the crane is an erection
process.

All assembly and disassembly operations must comply with either the procedures specified by the
manufacturer or procedures developed by the employer that meet the criteria listed in Section
1406. Under either alternative, they must comply with all manufacturer prohibitions.

These sections of Subpart CC set forth the requirements that must be met when the
equipment is being assembled or disassembled (A/D). A/D work that occurs in the
vicinity of power lines are discussed in the section covering § 1926.1407 in this
compliance directive because it more closely relates to the provisions that address
hazards related to power lines.

Equipment Set-up

The provisions of §§ 1926.1403 - 1926.1406 do not apply to equipment set-up. Set-up consists of
procedures conducted to deploy an assembled crane. For example, if the equipment operator
merely unfolds and pins the boom of a fully assembled truck crane, it would be inappropriate to
apply A/D requirements. Another example of typical set-up operations is the deploying of
outriggers and leveling the equipment. Note that Subpart CC does have some requirements for
set-up, such as § 1926.1402(c)(2), requiring that the user be informed of hazards beneath the set-
up area, and § 1926.1431(c), requiring level ground conditions and use of any outriggers and/or
stabilizers.

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

The employer must either comply with the manufacturer’s procedures or
procedures developed by the employer in accord with § 1926.1406.
20
 Inspection Guidance

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

them and that those procedures cover all A/D operations. Conduct interviews
to obtain and document information including:
 the name of the qualified person who developed the employer procedures;
 who determined that this person was qualified; and
 what qualifications of that individual were relevant to developing
employer A/D procedures.

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

recommendations, warnings, specifications, protocols, and limitations.

b. Obtain copies of any available manufacturer’s prohibitions (such as hazardous

information bulletins, make and model-specific warnings, or any relevant
prohibitions that may appear in any operations/repair manuals), as this
information may be relevant in determining whether the employer’s
procedures, prohibitions, and specifications are consistent with those of the
manufacturer.
Citation Policy

c. § 1926.1403(a). When an employer implements the manufacture’s procedures

for A/D but not in compliance with those procedures and all applicable
manufacturer prohibitions, consider a citation for § 1926.1403(a). Also, cite
this requirement when the employer does not follow the manufacturer
instructions or develop instructions under (b).
2. § 1926.1403(b). Employer-Developed A/D Procedures.
The employer has the option to develop procedures for A/D of the equipment only
when it can demonstrate that the procedures meet the requirements of
§ 1926.1406.

Inspection Guidance

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

any available copies to verify compliance with § 1926.1403(b).
b. Employer-developed A/D procedures are not required to be written. In cases
where the procedures are not documented, interview individuals to obtain
responses to questions, including:
 Are the A/D procedures implemented at the site from the manufacturer or
employer-developed?

21
  How did she or he learn of the procedures?
 What are the hazards addressed by the A/D procedures?
 Based on the criteria listed under § 1926.1406, how are hazards specified
addressed by the employer-developed A/D procedures?
 Are there any A/D hazards that are particular to the equipment being
assembled or disassembled?
 During the A/D operation, have there been any changes in A/D procedures
or site conditions?
 If the A/D procedures were revised, how were the changes
communicated?
The information obtained from these interviews can also be used to verify
whether employer-developed A/D procedures meet the requirements of
§ 1926.1406.

Citation Policy

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

developed procedures for A/D were implemented, but:
 the employer could not demonstrate that the procedures were in
compliance with the requirements of § 1926.1406, or
 the employer was not in compliance with all applicable manufacturer
prohibitions.
The Alleged Violation Description (AVD) of the citation should state the
specific provision(s) of § 1926.1406 violated.
3. § 1926.1404(a). Supervision.
A/D must be directed by a person who meets the criteria for both a competent
person and a qualified person, or by a competent person who is assisted by one or
more qualified persons (A/D director).

Inspection Guidance

a. In addition to the facts obtained to determine application of § 1926.1403, ask

the employer for the following information regarding the A/D director:
 The name or names of the A/D directors, depending on how many people
are designated to perform required A/D tasks.
 Is this individual on site?

22
  If more than one individual has been assigned A/D roles, who is the
competent and/or qualified person?
 Who determined that the A/D director(s) were qualified and/or competent
to be the A/D director(s)?
 What qualifications of that individual(s) are relevant to A/D work?
 If the A/D director is not on site, how is she or he effectively ensuring
compliance with Subpart CC of 29 CFR Part 1926?
 If more than one individual has A/D responsibilities on the site, verify
how their duties are divided or shared to ensure that the requirements of
Subpart CC are met?
Citation Policy
b. When A/D was not supervised by an A/D director in accord with the
requirements of § 1926.1404(a), consider a citation of § 1926.1404(a)(1) or
(a)(2).
4. § 1926.1404(b). The A/D Director’s Knowledge of Procedures.
The A/D director must understand the applicable assembly/disassembly
procedures.

Inspection Guidance

a. In addition to the facts obtained for the application of §§ 1926.1403 and

1926.1404(a), verify the A/D director’s knowledge of the A/D procedures by
asking her or him to describe information such as:
 When must employees be under the boom to remove or install pins and
why?
 How is adequate support provided for all parts of the equipment?
 How is dangerous movement of the equipment prevented?
 Are there movements of the equipment and why do they occur?
Citation Policy

b. § 1926.1404(b). When A/D was directed by an A/D director who did not
understand or did not know the applicable A/D procedures, consider a citation
for of § 1926.1404(b).
Note: An A/D director may be qualified/competent but still not meet the
requirements of § 1926.1404(b) for a particular piece of equipment.
Similarly, the individual may not be qualified/competent but still may be

23
 knowledgeable of the applicable A/D procedures. Therefore, non-compliance
with § 1926.1404(a) or (b) can occur independently of one another and should
be considered and cited as such.

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

The A/D director must review the applicable procedures immediately before A/D,
unless the A/D director understands the procedures and has applied them
previously to the type and configuration of equipment (including accessories, if
any).

Inspection Guidance

a. In instances when the A/D director fails to demonstrate his or her knowledge
of A/D procedures , use facts obtained from interviews and collection of
information discussed above for the application of §§ 1926.1403 and .1404(b)
to determine when an A/D director should have reviewed procedures and if
that review was in fact conducted. See Inspection Guidance above for the
application of § 1926.1404(b).
Citation Policy

b. § 1926.1404(c). When it has been determined that the A/D director did not
understand the A/D procedures and a review of the procedures was not done
by the A/D director prior to the commencement of A/D work, consider a
citation of § 1926.1404(c).
6. § 1926.1404(d). Crew Instructions.
Before the commencement of A/D work, the A/D director must ensure that crew
members are trained to understand all of the information specified by
§ 1926.1404(d).

Inspection Guidance

a. When possible, observe the crew members’ performance of the A/D operation
to determine whether employees understand their roles and perform the work
safely.
b. Ask the A/D crew members to describe:
 The hazard that was addressed by the communication with the operator
and/or signal person if he or she were to move to a hazardous location on
or around the equipment that was out of the view of the operator.
 Whether employees should be underneath the boom when it is being
moved or its pins removed.

24
 c. The depth of the knowledge needed to perform the A/D job safely depends
upon what tasks individuals are assigned to perform. The A/D director and
employer should be interviewed to determine when and what training was
provided to the crew members.
d. Interview the A/D supervisor and ask them to describe how they verified that
the crew members understood their responsibilities and the hazards associated
with A/D work.
Citation Policy

e. § 1926.1404(d). When crew members did not understand their duties prior to
commencing A/D operations, consider a citation of § 1926.1404(d). Group
this citation with § 1926.1400(f).
7. § 1926.1404(e). A/D Crew Member Out of View of Operator.
The employer must ensure that crew members comply with the requirements of
§ 19126.1404(e) when they are in hazardous areas on or around the equipment
that are out of view of the operator.

Inspection Guidance

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

interviews, document instances when it appears employees have been in
hazardous areas of the equipment not in the view of the operator. Document
information such as:
 What hazardous area was the crew member in?
 Did the operator know the crew member was in the hazardous area?
 Why did the crew member have to go to the hazardous area?
 Were the operator and the crew member in voice contact with each other
when the crew member went out of view of the operator?
 How was communication maintained?
 Was the equipment moved while the crew member was in a hazardous
area?
 Were there any other protective measures implemented to protect the crew
member from being harmed while in hazardous areas and out of view of
the operator?
Citation Policy

b. § 1926.1404(e)(1). If an employee goes to a location that is out of view of the

operator where they may be hit by the equipment, without telling the operator,
25
 consider a citation of § 1926.1404(e)(1). Group this citation with
§ 1926.1400(f).
c. § 1926.1404(e)(2). If the operator, after being informed that an employee was
moving into a location where they could be hit by the equipment,
subsequently moved the equipment, consider a citation of § 1926.1404(e)(2).
Group this citation with § 1926.1400(f).
8. § 1926.1404(f). Working Under the Boom Jib or Other Components.
The employer must ensure that crew members comply with the requirements of
§ 19126.1404(f) when they work under the boom, jib, or other components of the
equipment.

Inspection Guidance

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

when A/D crew members were in/under the boom when assembly pins were
being placed or removed. Note that if the pins were installed incorrectly, crew
members may have to be in/under the boom to remove them. When A/D crew
members are observed under the boom, jib, or other components when pins
are being placed or removed:
 Ask the A/D director to describe the procedures implemented to minimize
employee exposure to unintended dangerous movement of the equipment.
 Document why and when employees are required to be under the boom
while pins are being placed or removed.
Use this information to determine the employer’s compliance with the
requirements of § 1926.1404(f) (working under the boom, jib or other
components).

Citation Policy

b. § 1926.1404(f). When the requirements for the exception in § 1926.1404(f)(2)

have not been met, consider a citation of § 1926.1404(f)(1). Note: Section
1926.1404(f)(2) shall not be cited as it only specifies the exception to the
requirements of § 1926.1404(f).
9. § 1926.1404(g) through (q). Capacity of the Equipment/Assist Crane and
Stability of the Equipment/Assist Crane and the Load.
During the performance of A/D work, the employer must ensure that the
requirements of § 1926.1404(g) through (q) are met.

These paragraphs include requirements for: stability of the equipment, capacity

limits (including assist crane), blocking materials and location, boom pick points,
center of gravity of the load, pin installation/removal, boom stability and
26
cantilevering, unintended movement of counterweights, snagging of suspension
ropes and pendants, the use of outriggers, and components and configuration.

Inspection Guidance

a. In many cases, indications that the maximum capacity of the equipment or

rigging could have been exceeded can be established from:
 information obtained from interviews,
 the observed hoisting of unusually heavy loads where it is obvious that the
load exceeds the rated capacity of the equipment or rigging,
 damage to the equipment and rigging, such as cracks, elongations of chain
links, holes, and eyes of latches, twists, irregular bends, or
 failure of the equipment or rigging.
b. If there are questions regarding whether or not the rated capacity of the
equipment or rigging was exceeded, ask the operator, rigger, A/D director,
and employer to describe how the weight of the load was determined, and
whether the load exceeded the rated capacity of the equipment and rigging.
c. When stability of the equipment or safe hoisting of the load is in question,
document the rated capacities of the equipment and rigging, the weight of the
load, any determinations made regarding the center of gravity of the
equipment, and review operating procedures to identify any manufacturer’s
limitations. This information may be obtained from any available hoisting
record/calculations and asking individuals such as the operator, maintenance
personnel, and the qualified rigger.
d. If present during A/D operation and through visual inspection of the
equipment, verify that there were no violations of the requirements of
§ 1926.1404(g) through (q).
e. For example, hazardous conditions like improper blocking/supporting of the
boom, use of outriggers, pin installation/removal, and snagging of suspension
ropes can be identified through visual inspection of the equipment. This
information should be used to support citations for violations of
§ 1926.1404(g) through (q).
f. When assist cranes are used to perform A/D jobs, verify from the operator and
rigger and document the loads imposed on those assist cranes. For example,
and document how it was determined that the rated capacity of the assist
crane, as indicated by its load charts for its configuration, was sufficient for
hoisting counterweights.
Citation Policy

27
 g. § 1926.1404(g) through (q). Unless specified otherwise below, when
applicable requirements of § 1926.1404(g) through (q) have not be met,
consider a citation of the specific provisions violated.
h. § 1926.1404(h). When issuing a citation for failure to address one of the
hazards listed in § 1926.1404(h)(1) through § 1926.1404(h)(12), group each
item with § 1926.1400(f).
i. § 1926.1404(h)(4). When the loads imposed on an assist crane were not
verified in accord with § 1926.1417(o)(3) before A/D work began, consider a
citation of § 1926.1404(h)(4), grouped with a citation for the specific
provision(s) of § 1926.1417(o)(3) violated.
j. § 1926.1404(m)(1)(ii). Section 1926.1404(m)(1)(ii) shall not be cited because
it addresses only requirements of § 1926.1434 that must be met during A/D
work. When modifications of the equipment have been identified during an
OSHA compliance inspection that occurs during the performance of A/D work,
refer to the discussion of the citation policy for § 1926.1434, Equipment
Modification, of this compliance directive.
k. § 1926.1404(q)(5)(i). When the requirements of § 1926.1404(h)(2) and (h)(3)
have not been met, consider a citation of § 1926.1404(q)(5)(i) grouped with
each citation for the specific provision(s) of § 1926.1404(q)(h)(2) or (h)(3)
violated. The citation of § 1926.1404(q)(5)(i) identifies that the inadequate
blocking was particular to the support of outriggers during A/D work.
10. § 1926.1404(r). Rigging.
During the performance of A/D work, employers must ensure that the
requirements of § 1926.1404(r) are met regarding rigging of loads.

Inspection Guidance

a. All rigging required during the performance of A/D work must be performed
by a qualified rigger. Ask the employer to describe how the determination was
made that the rigger was qualified to perform the rigging necessary for the
particular A/D job.
b. Interview the rigger to verify her or his qualifications. Information obtained
from the rigger’s responses to the following questions may be relevant to their
qualifications and knowledge of rigging:
 How long have you been rigging loads?
 What is the nature of your training? When and where were you trained?
 Have you received any certifications for rigging?

28
  Describe your prior work experiences with the type of rigging job being
performed, as well as any related training.
 How do you calculate the weight of the load and verify that it is within the
crane’s maximum capacity in the configuration that the crane will be
used?
 How do you determine the safe working capacity of the rigging, including
all components?
 How do you determine that rigging equipment, such as slings and shackles
are compatible?
 Describe an inspection of the rigging equipment?
 How do you ensure that the load will stay in control and that it is rigged to
prevent displacement or unintended movement?
 Describe potential hazards of the rigging methods used under that
worksite’s conditions, such as weather, and how those hazards have been
addressed?
 Were any synthetic slings used for rigging on this job and if so, for what
applications?
 When do you determine when measures must be taken to prevent any
potential damage to the rigging during the lift? For example, when
softeners are needed for nylons slings or when padding is needed on edges
of load?

Employers must determine whether a person is qualified to perform specific rigging tasks. Each qualified
rigger may have different credentials or experience. A qualified rigger is a person that:

• possesses a recognized degree, certificate, or professional standing, or

• has extensive knowledge, training, and experience, and

• can successfully demonstrate the ability to solve problems related to rigging loads.

The person designated as the qualified rigger must have the ability to properly rig the load for a particular
job. It does not mean that a rigger must be qualified to do every type of rigging job. Each load that requires
rigging has unique properties that can range from the simple to the complex. For example, a rigger may
have extensive experience in rigging structural components and other equipment to support specific
construction activities. Such experience may have been gained over many years. However, this experience
does not automatically qualify the rigger to rig unstable, unusually heavy, or eccentric loads that may
require a tandem lift, multiple-lifts, or use of custom rigging equipment. In essence, employers must make
sure that the person has the qualifications needed for the exact types of loads and lifts for a particular job
and with the equipment and rigging that will be used for that job.

29
 c. Review any available instructions on site from the manufacturer of any
synthetic slings used, observe hoisting operations, and visually inspect any
synthetic slings on site to ensure that they are being used properly, are in good
condition, and have not been distorted, cut, or damaged by abrasive materials
during hoisting operations.
Use this information and interview evidence as described above for
§§ 1926.1403 and 1926.1404(a) through (q) to identify who the qualified rigger
is, her or his qualifications, and to verify that synthetic slings were used in
accord with the manufacturer’s recommendations, instructions, specifications,
and limitations.

Citation Policy

d. § 1926.1404(r). When the requirements of § 1926.1404(r) have not been met,

consider a citation for the specific provision of § 1926.1404(r) violated.
Multiple violations of this paragraph may be grouped. For violations of
§ 1926.251, consider a citation for § 1926.1404(r) and referring to the specific
provision(s) of § 1926.251 violated in the AVD.
11. § 1926.1405. Additional Requirements for Dismantling Booms and Jibs.
In addition to meeting the requirements of § 1926.1404, the employer must also
comply with supplemental requirements for disassembly of booms and jibs.

Inspection Guidance

a. When possible, observe the A/D operation and visually inspect the boom and
jib being assembled to verify that the requirements of § 1926.1405 have been
met.
30
 Citation Policy

b. § 1926.1405. (Assembly/Disassembly - Additional Requirements for Booms

and Jibs) When the requirements of § 1926.1405 have not been met, consider
citations for violations of applicable provisions of § 1926.1405.
12. § 1926.1406. Criteria for Employer-Developed A/D Procedures.
For the employer to develop its own A/D procedures in accordance with
§ 1926.1403(b), it must demonstrate that the plan developed meets the criteria
specified in § 1926.1406.

Inspection Guidance

a. Use facts from interviews and collection of information discussed above for
§ 1926.1403(b) to verify that the employer’s A/D plan meets the criteria in
§ 1926.1406.
b. To determine if the employer can demonstrate that its A/D plan meets the
requirements of § 1926.1406, the employer and A/D director should be asked
to describe how unintended dangerous movement of the equipment and
potential collapse of parts have been addressed by requirements of the
employer’s A/D plan. Also, the employer should be asked to demonstrate
where protective measures have been implemented and/or what work
practices are used to address the hazards identified in § 1926.1406.
Citation Policy

c. § 1926.1406. A violation of § 1926.1406 would essentially be a violation of

§ 1926.1403(b) as well. Therefore, when the A/D plan developed by the
employer does not meet the requirements of § 1926.1406, consider a citation
of §1926.1403(b) and the AVD of the citation should state the specific
provisions of § 1926.1406 that were violated.
D. §§ 1926.1407-.1411. Power Line Safety.

The purpose of the power line safety provisions are to keep cranes (including cab,
boom, and wires and cables, and load) away from power lines. Distance from the
power lines is the primary source of safety, since many lines are not insulated. Cranes
must be kept farther away from power lines with higher voltages, since the higher the
voltage, the longer the distance a power source can arc to ground (here, via the crane).

Table A in the standard, found in 1926.1408, lists safe distances across several ranges
of voltages. Most residential power lines are below 50 kV (kilovolts); so, the closest a
crane can get to a neighborhood power line is normally 10 feet, either for
assembly/disassembly (A/D) or operations. However, operations closer than Table A
distance are permitted so long as provisions of 1926.1410 are followed. A/D closer to
energized power lines than Table A distance is never permitted.

31
None of the provisions of work near power lines apply to work performed under
Subpart V, Power Transmission and Distribution, which is work on power lines.

Each power line must be assumed to be energized. Subpart CC gives employers

several options to address hazards associated with energized power lines.

If a crane does contact the power line or become energized, employers should consult
any applicable manufacturer’s recommendations prior to returning the crane to
service. Such an event may require additional inspections if the manufacturer so
recommends, and such inspections would be mandatory under § 1926.1412(j).

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

Distribution e-tool and it illustrates several types of poles/structures and the typical
voltages of the power lines they support.

1. §§ 1926.1407-.1411. Training.
Sections 1926.1408(g), 1926.1409, and 1926.1410(m) all require that the
employer meet the operator and crew member training requirements of
§ 1926.1408(g). However, these training requirements are not duplicated or
referenced for the application of §§ 1926.1407 and 1926.1411.

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

A/D director, operator, and crew members and other workers who will be in the
A/D area to review the location of power lines and the steps that will be
implemented to prevent encroachment/electrocution. In addition, § 1926.1404(d)
requires the A/D director to ensure that crew members understand the hazards
associated with their tasks. The employer’s compliance with these two provisions
would be sufficient to ensure that workers can perform their duties safely when

32
A/D operations must be performed closer to power lines than required clearance
distances.

The equipment operator, a dedicated spotter (if needed), and any other competent
person needed to make determinations required by § 1926.1411 must be trained as
required by other sections of Subpart CC. In addition to other applicable
requirements of Subpart CC, the employer’s compliance with operator
certification/qualification requirements of § 1926.1427, the dedicated spotter
training requirements of § 1926.1430(b), and for competent persons, the
definition in § 1926.1401, would be sufficient when the equipment is driven under
a power line with no load.

Below is a discussion of training requirements that are common to

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

Inspection Guidance

a. Observe equipment operations for indications that employees may not have
been trained to perform their duties safely and interview individuals including
the employer, operator, and crew members to verify that they have been
trained in accordance with § 1926.1408(g) (all of the training requirements of
§ 1926.1408(g) also apply to §§ 1926.1409 and 1926.1410(m)).

b. To verify training through interviews, the operator and/or crew member can
be quoted elements of § 1926.1408(g)’s training requirements and asked to
discuss those elements and any training they received.

For example, the operator can be asked to describe the safest means for
evacuating equipment that has been energized from contact with a power line.
The crew members can be asked to describe how contact with the power lines
is being prevented on the worksite. Both can be asked to describe the hazards
that most affect crew members around the equipment or those who handle the
load in the event the equipment contacts a power line. These types of
questions can help determine if the individuals interviewed have been trained
on the topics specified by § 1926.1408(g).

c. Also, if available, request and review copies of training materials and any
records of training conducted by the employer.

Citation Policy

d. § 1926.1407. When an operator or crew member was not trained to, but was
performing, A/D work closer to a power line than required clearance distances
allow, consider citations for violations of applicable training provisions in
other sections of Subpart CC based on the role performed by the employee.
For example, consider citing § 1926.1404(d)(1)(ii) for crew members who
were not trained to understand the hazard of removing or not doing an

33
 encroachment protection measure required by § 1926.1407(b). In such a case
the AVD of the citation should describe the hazard and provision of §
1926.1407(b) that the person was not trained to understand.

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

competent person) not being trained to recognize the hazards associated with
performing A/D work closer to a power line than required clearance distances
allow. In such a case the AVD of the citation should describe the hazard and
provision of § 1926.1407 that the competent person was not trained to
understand.

e. When an operator or crew member assigned to work with the equipment was
not provided training or training that included all of the subject matter
specified in § 1926.1408(g):

 § 1926.1408(g). If the equipment was operated in proximity to a power

line of up to 350 kV, consider a citation for the specific provision of
§ 1926.1408(g) on which the employee was not properly trained.

 § 1926.1409. If the equipment was operated within 50 feet of a power line

of over 350 kV, consider a citation of § 1926.1409. The AVD of the
citation should describe the specific provision of § 1926.1408(g) on which
the employee was not properly trained.

 § 1926.1410(m). If the equipment is operated closer in proximity to an

energized power line than Table A of § 1926.1408 allows and the
employer met all other requirements of § 1926.1410, consider a citation of
§ 1926.1410(m) if there is evidence demonstrating the employees have not
been adequately trained in the elements of 1926.1408(g). The AVD for
this citation should describe the elements of § 1926.1408(g) on which the
employee was not trained.

f. § 1926.1411. When an operator or crew member was not provided training that
covered the hazards associated with their tasks related to the equipment
traveling underneath an energized power line with no load, consider citations
for violations of applicable training provisions in other sections of Subpart CC
based on the role performed by the employee.

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

competent person), or (if used) another individual who was the competent
person assigned to make determinations required by § 1926.1411, not being
trained to recognize the hazards associated with the equipment traveling under
or near a power line on the construction site with no load. In such a case the
AVD of the citation should describe the hazard and provision of § 1926.1411
on which the competent person was not trained.

34
 A citation can also be considered for a violation of § 1926.1430(b) when the
dedicated spotter was not trained as a signal person as the definition of
dedicated spotter specifies.

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

power lines up to 350 kV, § 1926.1407.
A/D is prohibited below power lines unless the power lines have been
deenergized, visibly grounded at the work site, and the employer has confirmed
deenergization with the local utility. “At the worksite” means that the ground
lines are within view of some part of the construction site. If it is technologically
impossible for the utility to ground the power line at the worksite, the employer
may station an employee at the grounding site with means to communicate with
the A/D director.
When deenergization and grounding are used to make crane A/D safe, the
employer is required to confirm with the electric utility that the line(s) continues
to be deenergized and visibly grounded. Ideally, the utility owner/operator could
confirm a time frame during which the power lines would remain deenergized and
the employer should verify this information at least at the beginning of each work
shift or, if changes in site conditions warrant, every four hours thereafter would be
sufficient.

Inspection Guidance

a. Interview employees and the employer and observe to determine whether a

crane under a power line is being assembled or disassembled, operated, or
traveling.
b. Ask the employer if the power line has been deenergized and if there is any
available documentation from the utility operator/owner confirming that the
power lines have been deenergized and grounded. Use this interview and
documentation to determine when the utility/owner operator was contacted
and, if possible, when the utility last confirmed that the power lines remained
deenergized and grounded.
Citation Policy

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

power line, consider citing § 1926.1407(c).
d. § 1926.1407(f). Consider citing § 1926.1407(f) if the employer followed
Option 1 and confirmed that the line was deenergized, but the line
subsequently become energized while A/D was ongoing.
3. § 1927.1407(a). A/D near power lines.
Before A/D begins, the employer must make a determination whether the crane
could come within 20 feet of a power line during A/D. The employer may request
35
 the electric utility to provide voltage information, and the electric utility has two
working days to provide the voltage of the lines. If the crane could not come
within 20 feet of the power line, the employer does have not any more obligations
under §§ 1926.1407(a) through (f), unless changes in the A/D plan would require
a reassessment.
Inspection Guidance
a. Ask the employer if he or she determined whether the crane could come
within 20 feet of any power lines.
b. Ask the employer how they determined the line voltage.
Citation Policy

c. § 1926.1407(a). There is no requirement that the 20-foot determination in

§ 1926.1407(a) be written or kept as a record. Thus, this provision will likely
only be cited if the employer acknowledges, in response to a question from a
Compliance Officer, that he or she did not make an assessment of how close
the crane or its parts could come to power lines at the work site.
d. § 1926.1407(e). If the electric utility does not provide the requested voltage of
the power line within two working days, consider a citation to the utility of
§ 1926.1407(e). See text box below on citing utilities in the Operations
section, § 1926.1408(c).
4. §§ 1926.1407(a)(1) through (a)(3). Assembly/disassembly (A/D) up to 350 kV
that could come within 20 feet of power lines.
a. If A/D could bring the crane closer than 20 feet to power lines, the employer
must follow one of the following options:
 Option 1: deenergize and visibly ground the line at the worksite; confirm
conditions with the utility.
 Option 2: implement the requirements in paragraph (b) of § 1926.1407 to
keep the crane 20 feet away; or
 Option 3: the employer must determine the voltage and the corresponding
Table A distance. The employer must then follow the requirements in
paragraph (b) of § 1926.1407 to keep the crane Table A distance away
from the line.
b. Encroachment precautions for A/D under paragraph (b).
When the employer chooses to follow Option 2 (keeping the crane 20 feet
away during A/D) or Option 3 (keeping the crane at least Table A distance
away from the power line), the employer and operator must follow the
following precautions from paragraph (b) of § 1926.1407:

36
  Conduct a planning meeting with the A/D director, operator, A/D crew,
and other workers in the area [(b)(1)];
 Use only non-conductive tag lines [(b)(2)]; and
 At least one of following measures [(b)(3)]:
- Spotter;
- An elevated warning line.

Elevated Warning Line

“Elevated” means visible to the operator such that he or she can accurately gauge whether the load
and equipment is an appropriate distance from the power line. Typically, this will mean at least 2/3
the height of the power line.

- Range limit device

- Range control device; or

- Proximity alarm
Note: The standard requires that proximity alarms be “NRTL approved.

Temporary Enforcement Policy for the use of Proximity Alarms

When used to meet the requirements of § 1926.1407(b)(3), a proximity alarm must have been
approved by a Nationally Recognized Testing Lab (NRTL). To date, no proximity alarm meets
the NRTL requirements. Additionally, at this time, no NRTL is recognized by the Agency to
perform the required testing to list, label or accept either type device. Proximity alarms which do
not meet the NRTL requirements continue to be available, as they have for decades. These
versions have not been "...listed, labeled or accepted by a Nationally Recognized Testing
Laboratory." OSHA does not anticipate proximity alarms which meet the NRTL requirements to
be available in the near future.

Because no current proximity alarms meet the NRTL requirements, employers may not rely
solely on proximity alarms to comply with the requirements of the cranes standard. However, an
employer may use a crane/derrick in construction with a proximity alarm in conjunction with
another appropriate "measure" from §§ 1926.1407(b)(3) such as a "dedicated spotter" or "range
control warning device." This includes situations where voltages are over 350kV as referenced in
§ 1926.1409.

Inspection Guidance

a. See the Inspection Guidance section in Operations Near Power Lines

§ 1926.1408(a)(2).
Citation policy

37
 b. § 1926.1407(a)(2). If A/D work was performed closer than 20 feet (following
Option 2) to an energized power line of up to 350 kV, or if a requirement of
§ 1926.1407(b) was not met, consider citations for a violation of
§ 1926.1407(a)(2). If a particular provision of (b) was violated, include a
description of it in the AVD.
c. § 1926.1407(a)(3). If a requirement of § 1926.1407(b) was not met (for
Option 3), consider citations for a violation of § 1926.1407(a)(3). If a
particular provision of (b) was violated, include a description of it in the
AVD. Also consider citing this paragraph if the employer did not determine
the voltage of the line.

d. § 1926.1407 (d). If A/D was performed closer to a power line than table A
distance, consider a citation of § 1926.1407(d). Also consider citing (d) if the
crane was reported to have contacted a power line or become energized, and
evaluate whether the provisions of (b) were followed.

e. § 1926.1407 (g). One electrocution hazard warning must be posted inside the
crane cab within view of the operator and at least two posted on the outside of
the crane (equipment). If any of these signs are not posted, consider a citation
for § 1926.1407(g).
5. § 1926.1408. Operations of Equipment Near Power Lines Up to 350 kV

Work zone: the entire area in which the equipment will be operated. If the equipment is
moved or its configuration changed, the employer must re-assess the work zone and the
proximity of power lines. If the equipment will be located in more than one location, the
work zone will need to include a maximum-working-radius circle at each location.

Maximum working radius: the maximum possible length of the boom (and attached jib, if
applicable) that can be extended (post-assembly) during equipment operations. In other
words, it is the maximum distance the boom could be extended for a fully assembled
crane/derrick with or without a load. At a minimum, demarcated boundaries are required if a
power line is located anywhere within 20 feet of the maximum working radius of the crane.

In general, the working radius of the equipment is calculated based on the boom angle and
the length of the boom. However, when a load is suspended from the boom, the distance
from the load line to the edge of the load must be included as well.

Before beginning crane operations, the employer must define the boundaries of
the work zone. There are two alternatives to defining a work zone: (1) with flags,
a device such as a range limiting device, a range control warning device, or other
method of signaling the work zone to the crane operator; or (2) the work zone
may also be defined as the entire maximum working radius of the crane, all
around the crane (360 degree swing).

If the work zone is defined as in the first alternative above, the employer must
prohibit the operator from operating the equipment past the boundaries.
38
 However, if the boom is kept within the work zone at less than its maximum
radius, the employer does not have to follow the (b) encroachment precautions
(see diagram and example excerpted from an interpretation letter to Walter B.
Tucker [3/29/2012], below).

Once a work zone is defined, the employer must determine whether any part of
the equipment or load, while working within the work zone up to the crane’s
maximum working radius, could come within 20 feet of power lines. If it could,
then the employer must implement Option 1, Option 2, or Option 3 under
§ 1926.1408(a)(2). The options are described below.

Work Zone Interpretation (Tucker March 29, 2012)

If the demarcated boundary line is located at least the minimum clearance distance from the power
line, the operator must be aware that no part of the equipment or load may go past the demarcated
boundary line of flags, and can judge the position of the equipment with respect to the demarcated
boundary line, then §1408(a)(2) is satisfied and no further precautions are needed.

Below is an example of an ideal work zone.

Example 1: Flags demarcate work zone. Within the work zone, the crane cannot reach
within 20 feet of the power lines.

39
However, based on the interpretation of work zones, the following scenario and
similar scenarios are also considered to be in compliance with the crane standard.
Example 2: Here the crane is capable of reaching within 20 feet of the power lines,
yet the flags define a smaller work zone. Where the operator can see the boundary
and understands not to extend beyond the work zone, the employer is in compliance
with the standard and need not implement one of the three options.

40
 Inspection Guidance

a. The employer’s compliance with many of the power line requirements can be
confirmed by observing the operation of the equipment during hoisting or A/D
operations. Videos and/or photos (video is recommended) should be taken of
the equipment in operation next to the power lines to confirm the boom angle,
boom length, and section extensions of a hydraulic boom. Also document:

 How and where loads are suspended by the equipment--both when in

operation and when left unattended, and

 Where barriers, elevated warning lines, flags, warning signs and any other
markers have been erected.

b. Established demarcations, or landmarks like buildings, roadways, trees, etc.,

as reference points, should be used by the Compliance Officer to document
how close to a power line the equipment was operated in order to: (1)
determine if work zones and encroachment prevention methods are
implemented properly, and (2) to estimate and document the boom angle and
length and the distance from the equipment to the power line. If there are no
visible demarcations indicating otherwise, it is likely that the employer has
either defined the work zone as 360 degrees around the equipment at the
maximum working radius of the equipment or has not defined a work zone at
all. Use information collected from interviews and review relevant, available
documentation to confirm the option chosen by the employer, if any.

Citation Policy
c. § 1926.1408(a)(1). There is no requirement that the employer’s identification
of the work zone be written or kept as a record. Thus, this provision will likely
only be cited if the employer acknowledges, in response to a question from a
Compliance Officer, that he or she did not identify a work zone. If that is the
case, consider citing § 1926.1408(a)(1).
d. § 1926.1408(a)(2). There is no requirement that the 20-foot determination in
§ 1926.1408(a)(2) be written or kept as a record. Thus, this provision will
likely only be cited if the crane comes within 20 feet and the employer
acknowledges, in response to a question from a Compliance Officer, that he or
she did not make an assessment of how close the crane or its parts could come
to power lines at the work site. If that is the case, consider citing
§ 1926.1408(a)(2).
6. § 1926.1408(a)(2). Operations that could come within 20 feet of power lines.

41
 Power lines: electric transmission and distribution lines, including “drops,” or service
lines, to houses or businesses.

Only an individual who is qualified with regard to power distribution and transmission
equipment can determine when a line is deenergized and, especially, properly grounded.

If the crane, when used at its maximum working radius in the work zone, may
come within 20 feet of a power line, then the employer must implement Option 1,
Option 2, or Option 3 under § 1926.1408(a)(2).

 Option 1: deenergize and visibly ground the line at the worksite; confirm
conditions with the utility.
 Option 2: follow the requirements in paragraph (b) of a § 1926.1408 to keep
the crane 20 feet away; or
 Option 3: the employer must determine the voltage and then the
corresponding Table A distance. Then, the employer must follow the
requirements in paragraph (b) of § 1926.1407 to keep the crane Table A
distance away from the line.

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

The encroachment precautions for A/D and operations are almost identical. Both require a
planning meeting, prohibit the use of conductive tag lines, and require the implementation of at
least one of 5 listed precautions. They only differ in that:

 Employers engaged in A/D may use an elevated warning line as one of the 5 listed
precautions under § 1926.1407(b)(3)(v). An elevated warning line is always required for
operations under § 1926.1408(b)(3).
 Employers engaged in operations may use an insulating link as one of the 5 listed
precautions under § 1926.1408(b)(4)(v). This option is unavailable for employers engaged
in A/D.

Encroachment precautions for operations under paragraph (b).

When the employer chooses to follow Option 2 (keeping the crane 20 feet away
during A/D) or Option 3 (when the crane could approach near the distances in
Table A), the employer or operator must comply with the following precautions
from paragraph (b) of § 1926.1408:
 Conduct a planning meeting with the A/D director, operator, A/D crew, and
other workers in the area;
 Use only non-conductive tag lines;

42
 Put up an elevated warning line, barricade, or line of signs. If the operator
cannot see the lines, a spotter must be used. “Elevated” means visible to the
operator such that he or she can accurately gauge whether the load and
equipment is an appropriate distance from the power line; typically, this will
mean at least 2/3 the height of the power line.; and
 At least one of following measures:
- Proximity alarm;
- Spotter;
- Range control device;
- Range limit device; or
- Insulating link.
Note: The standard requires that insulating links/devices and proximity alarms be
“NRTL approved,” see following text box for explanation of temporary
enforcement policy.

Temporary Enforcement Policy for the use of Insulating Links and Proximity Alarms

Because no current insulating links/devices or proximity alarms meet the NRTL requirements,
employers may not rely solely on an insulating link/device or proximity alarm to comply with
requirements of the cranes standard. However, an employer may use a crane/derrick in
construction with an insulating link and/or proximity alarm in conjunction with another
appropriate "measure" from § 1926.1408(b)(4), such as a "dedicated spotter" or "range control
warning device." This includes situations where voltages are over 350kV as referenced in §
1926.1409

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

He or she must: be equipped with a visual aid; be properly positioned; use
equipment for direct communication to the operator, when necessary; and give
timely information to the operator.

Dedicated Spotter

To be considered a dedicated spotter, the requirements of § 1926.1428 (Signal person

qualifications) must be met. His/her responsibility is to watch the separation between the power
line and the equipment, load line and load (including rigging and lifting accessories), and ensure
through communication with the operator that the applicable minimum approach distance is not
breached.

43
Inspection Guidance [for A/D also]

a. Interview the employer, operator, and signal person (if any). Ask the employer
or operator:
 Whether Option 1, Option 2, or Option 3 was chosen.

 For Option 1, ask the employer if the power line has been deenergized and
if there is any available documentation from the utility operator/owner
confirming that the power lines have been deenergized and grounded. Use
this interview and documentation to determine when the utility/owner
operator was contacted and, if possible, when the utility last confirmed
that the power lines remain deenergized and grounded.

 For Option 1, ask the employer if the utility is operated by a local

government authority. This information may be needed in scenarios where
power line voltages were not provided by the utility owner/operator as the
employer requested.

 Ask if there are disconnects or reclosers on the power line and document
where they are located. This information may be important in determining
if the employer is operating the equipment closer than a required clearance
distance to an area of the power line where unintended reenergization of
the power line could occur. This information could also be used to confirm
that the employer continued to ensure that the power line was deenergized
when conditions of the power lines are subject to change, such as those
equipped with automatic reclosers.

 For Option 3, ask when the utility/owner operator was contacted to get the
voltage of the power line and the identity of the employee of the utility
owner/operator who provided that information. If necessary, contact the
local utility to verify. The voltage information is necessary to determine
which of the power line sections apply and will also be useful in verifying
the employer’s compliance with minimum approach distances established
in Table A.

 If possible, verify the height of the power line and T-arms of its support
structure. Obtain any available specifications of the utility lines, T-arms,
etc. This information can be used to estimate the distance from the
equipment to the power line and to obtain any related
recommendations/prohibitions from the utility owner/operator.

 For Option 3, ask whether any determinations were made by the employer
or a qualified person, such as the operator or lift director, regarding the
ability to keep the equipment at Table A distances away from the power
line. When determinations were made, identify the person who made them
and ask that individual or the employer to describe their qualifications.

44
  If possible, interview the person who made the determination regarding
work performed in proximity to the power line.
 Confirm the dates, times, persons present, and content of any meetings
conducted to exchange information needed to work safely in proximity to
the power lines. Planning meetings are required under the encroachment
prevention methods to ensure that employees understand their
assignments, the hazards of working in the vicinity of the power lines, and
the protective methods being implemented.
 Verify that, if used, the dedicated spotter(s) had no other duties to distract
from spotting duties.
 Obtain copies of any precautionary plans that could be used to determine
if and how the employer planned to address the power line hazard. If the
plans are not written, individuals can be asked to describe any precautions
discussed and/or implemented on the worksite.
 Document any visible information (name of the utility operator/owner,
contact number, pole identification number, voltage of lines, height of
pole, etc.) posted on the power line poles in case the utility must be
contacted later to get information about the power lines and support
structures.
Citation policy
b. § 1926.1408(a)(2). If the work zone allows for encroachment within 20 feet
and no option is implemented, consider issuing a citation for § 926.1408(a)(2).
c. § 1926.1408(a)(2). If the employer (following Option 1) does not confirm
with the electric utility that the line has been deenergized and continues to be
deenergized, consider citing § 1926.1408 (a)(2)(i) and (e). See guidance
provided about the phrase “continues to be deenergized” in the discussion of
§ 1926.1407(c).
d. § 1926.1408(c). If the electric utility does not provide the requested voltage of
the power line within two working days, consider a citation to the utility for
§ 1926.1408(c). Note that a unit of a local government may not be cited,
however.
e. § 1926.1408(a)(2)(ii). If crane operations were performed closer than 20 feet
(following Option 2) to an energized power line of up to 350 kV, consider a
violation of § 1926.1408(a)(2)(ii). If a requirement of § 1926.1408(b) was not
met, consider a citation of § 1926.1407(a)(2)(ii). If a particular provision of
(b) was violated, include a description of it in the AVD.
f. § 1926.1408(a)(2)(iii)(A). If the employer was following Option 3 and did not
check the voltage, consider a citation for § 1926.1407(a)(2)(iii)(A).

45
 g. § 1926.1408(a)(2)(iii)(B). If operations were performed closer to a power line
than table A distance (employer following Option 3), consider a citation of
§ 1926.1408(a)(2)(iii)(B), unless the employer followed the greater safety
precautions in § 1926.1410 (discussed below). Also consider citing
(a)(2)(iii)(B) if the crane was reported to have contacted a power line or to
have become energized.
h. § 1926.1408(a)(2)(iii)(B). If the employer did not implement the (b)
encroachment precautions (for Option 3), consider a citation of
§ 1926.1407(a)(2)(iii)(B). If a particular provision of (b) was violated, include
a description of it in the AVD.
i. § 1926.1408(c). If the electric utility does not provide the requested voltage of
the power line within two working days, consider a citation of the utility for
§ 1926.1408(c).
j. § 1926.1408(e). Consider citing § 1926.1408(e) if the employer followed
Option 1 and confirmed that the line was deenergized, but the line
subsequently became energized while operations were ongoing. See guidance
provided about the phrase “continues to be deenergized” in the discussion of
§ 1926.1407(c).

Violations by a Utility

A utility maybe cited for a violation of 29 CFR 1926.1407(e) or .1408(c) much like a Controlling,
Creating, or Correcting Employer that has no employees exposed on the job site. The utility has
two working days to provide voltage information to an employer working near power lines who
uses Option (3). The utility is under no obligation to de-energize a power line for an employer
pursuing Option (1). If the utility will not de-energize the line, Option (1) is not available to the
employer. For more procedural guidance regarding such a citation, please refer to the Multi-
Employer Citation Policy Directive, CPL 2-0.124.

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

During crane operations, no part of the crane is permitted below a power line
unless the employer has confirmed with the electric utility that the line is
deenergized and visibly grounded, with the following exceptions: the boom
extended at maximum vertical is 20 feet (or Table A distance) below the line(s) or
the employer demonstrates that deenergization is infeasible and § 1926.1410 is
followed.
Inspection Guidance
a. Ask the employer how he or she made the determination that the boom, when
extended completely vertically below the line, could not come within 20 feet
of the power line.
Citation Policy

46
 b. § 1926.1408(d)(1). When the work or conditions at the site did not meet one
of the exceptions in § 1926.1408(d)(2) and a part of the equipment, load line,
or load (including rigging and lifting accessories) was below an energized
power line, consider a citation of § 1926.1408(d)(1).
8. § 1926.1408(f). Working near transmitters or communication towers.
When a crane is close enough to a transmitter or communication tower for the
equipment to induce a current or electrical potential in the crane, the transmitter
must be deenergized or the crane grounded and non-conductive tag lines used.
Inspection Guidance
a. Observe the operation of the equipment and photograph and/or video the
presence of any transmitters/communications towers in the vicinity of the
equipment or jobsite. This information would be relevant to a violation of
§ 1926.1408(f), discussed in the citation policy section below.
b. Observe the area around the crane and visibly determine if there is a
transmission/communication tower in sight. If there is, ask the employer or
crane operator if he or she is aware that the tower is there. If the employer or
operator is aware, document any determinations that have been made about
the potential hazard of the crane being energized by radiation from the tower.
When there is a concern that a transmission/communication tower is too close
to the crane, do not approach the crane as there may not be any obvious signs
that the crane may be energized. Under such conditions, verify from a reliable
source, such as the owner/operator of the tower or a qualified person, that the
crane is a safe distance from the transmission/communication tower or that the
tower is not transmitting.
c. When the employer determined that a transmission/communication tower
creates a hazard, verify and document the qualifications of the employees who
grounded the crane. Ask the employer, lift director, or operator to indicate
where the crane’s grounding points are. In addition, if tag lines were used,
verify that they were non-conductive.
Citation policy
d. § 1926.1408(f). When crane operations are proximate to a transmitter and
there may be a potential electric hazard on the crane, and the requirements of
§ 1926.1408(f) have not been met, consider citations of the applicable
provisions of § 1926.1408(f) and group them when appropriate.
9. § 1926.1409. Power line safety for A/D and operations over 350 kV.
Over 350 to 1000 kV: For this voltage range, substitute all clearance requirements
of 20 feet (in § 1926.1407 A/D and § 1926.1408 Operations) with 50 feet. This
has the following implications:

47
 The employer must determine whether any equipment could come within 50
feet during A/D or while working within the work zone, thus triggering the
requirement to complete one of Option 1, Option 2, or Option 3 under
.1407(a) or .1408(a).
 Employers pursuing Option 2 for A/D or operations must implement
precautions outlined under § 1926.1407(b) or § 1926.1408(b), respectively, to
prevent encroachment within 50 feet.
 Operations under power lines must be 50 feet or Table A distance away when
at true vertical for non-extensible booms, or fully extended and truly vertical
for extensible booms.
Over 1000 kV: Safe clearance distances over this range must be established by the
utility owner/operator or registered professional engineer qualified in electrical
transmission and distribution. Note that 1000 kV not only means that 20 or 50 feet
is insufficient clearance, but that the voltage is so high that Table A is inadequate
as well. Therefore, any safe distance determination under this section would affect
all distance requirements under § 1926.1407 and § 1926.1408, not merely those
for 20 feet.

Inspection Guidance

a. Use the Inspection Guidance provided for provisions of §§ 1926.1407 and

1926.1408 that are referenced by this section, § 1926.1409.
Citation Policy

b. § 1926.1409(a). In general, consider a citation of § 1926.1409 and the AVD of

this citation should describe violations of applicable provisions of §§
1926.1407 or 1926.1408, when:
 the equipment was operated in proximity to power lines of over 350 kV
through 1000 kV; and

 the employer did not meet applicable requirements of §§ 1926.1407 and

1926.1408, with a minimum clearance distance of 50 feet, rather than the
20 feet for lines of 350 kV and less.

The citation must contain language of the violated provision of § 1926.1407

or § 1926.1408 as amended by § 1926.1409.

c. § 1926.1409(b). When the equipment is being assembled or operated in

proximity to an energized power line of over 1,000 kV and the minimum
clearance distance was not determined by either the utility owner/operator or a
registered professional engineer (RPE) who is a qualified person for electrical
power transmission and distribution work, consider a citation of
§ 1926.1409(b).

48
10. § 1926.1410. Power Line Safety (all voltages) equipment operations closer than
the Table A zone.
Section 1926.1410 specifies procedures that must be followed for operations in
which any part of the equipment comes closer than Table A distance. This section
does not apply to work covered by Subpart V, Power Transmission and
Distribution. As a threshold determination for work closer than Table A distance
covered by Subpart CC, the employer must first establish that:
 It is infeasible to conduct the work with Table A clearance, and
 It is infeasible to deenergize and ground the power line. This determination is
made only after “consultation with the utility”. It is always possible to
deenergize and ground the power line, but the cost of doing so and the legal or
regulatory responsibilities of the utility are factors weighing on infeasibility.

Infeasibility

Infeasibility determinations are fact-dependent, and OSHA generally considers compliance with a
measure to be infeasible when it is impossible or would prevent performance of the work in
question.

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

distance away or to deenergize the power lines, the employer must implement the
precautions found in paragraphs §§ 1926.1410(c) through (m). These paragraphs
are designed to ensure that a person qualified in electrical transmission and
distribution designs appropriate encroachment precautions, and that a minimum of
precautions are included. The employer must have a minimum clearance distance
determined by the utility owner/operator or registered professional engineer
(RPE) qualified in electrical transmission and distribution.

Temporary Enforcement Policy for the use of Insulating Links/Devices

When used to comply with § 1926.1410(d)(4), an insulating link/device must have been approved
by a Nationally Recognized Testing Lab (NRTL). To date, no insulating link/device meets the
NRTL requirements. Additionally, at this time, no NRTL is recognized by the Agency to perform
the required testing to list, label or accept either type device. Insulating links/devices which do not
meet the NRTL requirements continue to be available, as they have for decades. These versions
have not been "...listed, labeled or accepted by a Nationally Recognized Testing Laboratory."
OSHA does not anticipate insulating links/devices which meet the NRTL requirements to be
available in the near future.

Because no current insulating links/devices meet the NRTL requirements in the § 1926.1401
definition for "insulating link/device," employers may not rely solely on an insulating link/device to
comply with requirements of the cranes standard. However, until further notice, an employer may
use an insulating link/device manufactured on any date, as specified in § 1926.1410(d)(4)(v)(A),
and in conjunction with the additional protections in § 1926.1410(d)(4)(v)(B), such as insulated
gloves rated for the voltage involved.

49
Inspection Guidance

a. Observe, record, video, and/or take photos of equipment operations. Use this
information to determine how close the equipment is to the power line. For the
most part, the facts obtained from interviews and information discussed above
in sections 1 through 4 should also be considered when verifying the
employer’s compliance with § 1926.1410.

b. Section 1926.1410 differs from the other power line-safety sections in that this
section requires the employer to have discussions with a representative from
the utility owner/operator or a qualified person with respect to electrical
transmission and distribution systems. Therefore, the utility owner/operator or
registered professional engineer (with regard to Subpart V work) should also
be interviewed regarding the employer’s compliance with requirements of
§ 1926.1410.

c. Interview the employer, the utility owner/operator or RPE, the lift or A/D
directors (if any), and the operator to:

 verify the time and date that the utility owner/operator was consulted;

 identify the contact information of the utility owner/operator that was

consulted; and

 get a description of, and document, the rationale for any claim it is
infeasible to maintain Table A distances, and for the utility to deenergize
and ground, or relocate, the power lines. If the employer contacted the
utility owner/operator and received a confirmation (with no rationale)
from the utility owner/operator that it was infeasible to deenergize and
ground, or relocate, the power lines, the employer has met its obligation
for compliance with § 1926.1410(b).

d. In addition to the facts obtained from interviews and inspection guidance

discussed above for the application of §§ 1926.1407-1926.1409, interview the
representative from the utility owner/operator (if available), the employer, the
RPE (if available), lift director, and operator to discover whether a
determination was made regarding the minimum clearance distance. If the
utility is not available or is uncooperative, the Area Office should decide an
appropriate course of action following consultation with the Regional Office
or SOL. Finally, the CSHO should collect facts necessary to verify whether
the clearance distance determination was made by the utility/owner operator
or an RPE and whether the minimum clearance distance addresses factors
such as:

 conditions affecting atmospheric conductivity;

50
  the time needed to bring the equipment, load, and load line to a complete
stop;

 wind;

 the degree of sway in the power line;

 lightning; and

 other observed worksite conditions that could affect the ability to prevent
electrical contact.

Citation Policy

e. § 1926.1410(c)(1). If the employer does not have an RPE or the utility make
the minimum clearance determination, consider a citation for
§ 1926.1410(c)(1).

f. The employer must conduct a planning meeting with the utility

owner/operator or RPE to determine procedures used to prevent encroachment
within the range determined under § 1926.1410(c)(1). The procedures must
include the following safety measures (listed by provision):
 § 1926.1410(d)(1). If the power line has a device that automatically
reenergizes the circuit in the event of a power line contact, it must be
made inoperative if the design permits. If its design so permits and it is not
rendered inoperative, consider citing § 1926.1410(d)(1).
 §§ 1926.1410(d)(2)(i) through (iv). A dedicated spotter with a visual aid in
a position to continually gauge the clearance distance. The spotter must be
in continuous contact with the operator. The spotter must give timely
information to the operator and, if necessary, use equipment that allows
direct communication. If no spotter is used, consider citing
§ 1926.1410(d)(2). If the spotter performed his duties inadequately,
consider citing§§ 1926.1410(d)(2)(i) through (iv).
 § 1926.1410(d)(3). An elevated warning line or barricade with high
visibility markings in view of the operator. If there is no such warning line
or barricade, consider citing § 1926.1410(d)(3).
 § 1926.1410(d)(4). If there is no insulating link or the insulating link was
used without the additional protections in § 1926.1410(d)(4)(v)(B), such
as insulated gloves rated for the voltage involved, consider citing
§1926.1410(d)(4).
 § 1926.1410(d)(5). Nonconductive rigging if the rigging may come within
Table A distance. If the rigging may come that close while operating in
the work zone and conductive rigging is used, consider citing §
1926.1410(d)(5).
51
  § 1926.1410(d)(6). If the equipment has a range-limiting device, it must be
used and set to prevent the equipment from coming within the distance
determined by the utility or RPE as required in § 1926.1410(c)(1). If it has
a device and it is not used, consider citing § 1926.1410(d)(6).
 § 1926.1410(d)(7). If a tag line is used, it must be of a nonconductive type.
If it is conductive, consider a citation for § 1926.1410(d)(7).
 § 1926.1410(d)(8). Barricades must be erected forming a perimeter at least
10 feet away--or as close as feasible--from the equipment to prevent
unauthorized personnel from entering the area. If there is no such
barricade, consider a citation for § 1926.1410(d)(8).
 § 1926.1410(d)(9). Workers, other than the operator, must be prohibited
from touching the load line above the insulating link and crane. If an
employee who is not an operator touches the load line above the insulating
link, consider a citation for § 1926.1410(d)(9) along with § 1926.1400(f).
 § 1926.1410(d)(10). Operators remotely operating the equipment from the
ground must use wireless controls that isolate the operator from the
equipment or insulating mats that insulate the operator from the ground. If
a remote operator is not so isolated or insulated, consider a citation for
§ 1926.1410(d)(9) along with § 1926.1400(f).
 § 1926.1410(d)(11). The equipment must be properly grounded. If it is not
grounded, consider a citation for § 1926.1410(d)(11).
 § 1926.1410(d)(12). The employer must ensure that the utility
owner/operator installs insulating line hose or cover-up. If it is not
installed, consider citing the employer for § 1926.1410(d)(12).
g. § 1926.1410(f). A meeting must be held with the utility owner/operator or
RPE, crane operator, and any employees who will be in the crane’s proximity
during operation, to review the precautions that will be taken. If this meeting
did not take place, consider a citation for § 1926.1410(f).
h. § 1926.1410(h). The utility owner/operator or RPE, and all employees
involved in the work must identify one person responsible for directing the
implementation of procedures designed to prevent encroachment or
electrocution. If no one was assigned to directing these procedures, or it is a
shared duty, consider a citation for § 1926.1410(h).
i. § 1926.1410(j). If any of the precautions required by paragraph (d), including
the standard’s minimum requirements and any created as a consequence of the
planning meeting, encounter problems during implementation, the employer
must “safely stop” operations. The employer must subsequently either develop
new precautions to comply, or have the utility owner/operator deenergize and
ground the power lines. If the employer does not safely stop operations and

52
 develop new precautions or deenergize and ground, consider a citation for
§ 1926.1410(j).
Note: None of the provisions that require the employer to consult the utility
owner/operator or a RPE are citable against the utility owner/operator. The only
mandatory requirement for a utility owner/operator is to provide voltage
information under § 1926.1408(c) or § 1926.1407(e).

11. § 1926.1410(k). Safety Devices and Operational Aids.

When an employer uses equipment with devices originally designed by the
manufacturer for use as a safety device, operational aid, or a means to prevent
power line contact or electrocution to comply with § 1926.1410, the employer
must comply with the manufacturer’s procedures and conditions for use.

Inspection Guidance

a. Interview individuals including the representative from the utility

owner/operator, the employer, operator, crew members, and lift director to
verify that all required safety devices and operational aids were operational
and used. For example, interviews can be used to determine:

 If warning devices or range-limiting devices are used to maintain

minimum approach distances;

 If those devices are functioning properly at the worksite and are tested
annually;

 If insulating links (and all electrical insulating equipment or devices) are

rated and tested; and

 If any temporary alternative measures were implemented.

When there are concerns regarding the use of an operational aid or safety
device, to determine whether the devices were used in accord with the
manufacturer’s procedures and conditions for use, request and review copies
of any available operations manuals for the safety devices.

Citation Policy

b. § 1926.1410(k). When the equipment was used closer to a power line than
Table A clearance distances allow and the employer did not comply with the
manufacturer’s procedures for the electrocution- or power line contact-
prevention device as required by § 1926.1410(k), consider a citation of
§ 1926.1410(k). It is also possible that citation of § 1926.1415 or § 1926.1416
may be considered if the operational aid or safety device was not operating
properly or was not used during the performance of the hoisting job. Refer to
citation policy discussion in section covering Safety Devices and Operational
53
 Aids in this directive for additional guidance on the application of
§§ 1926.1415 or 1926.1416.

12. § 1926.1411. Power Line Safety While Traveling Under or Near Power Lines
with No Load.

When traveling under or near power lines with no load, the employer must ensure
that the boom or mast (and support system) is secured so that it will not contact
the power line; maintain applicable clearance distances based on the voltage of
the power line set forth in Table T; provide a dedicated spotter if the equipment
will get closer than 20 feet to the power line; and ensure that safety concerns are
addressed regarding visibility and the equipment’s path of travel.

Inspection Guidance

a. Observe the operation of the equipment and document (time, location, route
taken, piece of equipment used, configuration of the equipment, part of the
equipment nearest power line, etc.) when it has traveled under or near a power
line with no load.

b. Use information from this observation and any relevant facts obtained from
interviews and collection of information discussed above for sections
1926.1407-1409 to verify the employer’s compliance with § 1926.1411.

c. When dedicated spotters are required, interview them regarding the

performance of their duties, their knowledge of power line hazards, and the
employer’s overall compliance with requirements of § 1926.1411.

d. The operator and/or employer can be asked to describe the work practices
implemented to prevent contact with the power line.

Citation Policy

e. § 1926.1411(a). This provision should not be cited because it only reminds the
employer that compliance with §§ 1926.1408-1410 and/or § 1926.1417(u) is
required when the equipment travels with a load under or near a power line. In
that scenario, consider citations for violations of applicable provisions of
§§ 1926.1408-1410.

f. § 1926.1411(b). When the equipment traveled without a load under or near a

power line and the employer did not meet the all of the applicable
requirements of § 1926.1411(b), consider citations for violations of the
specific provisions of § 1926.1411(b), grouping them when appropriate.

54
E. § 1926.1412. Inspections.
Below is a summary table of inspections required under § 1926.1412.

Type of Inspection Who Conducts Documentation

Inspection Required?

Modified equipment Qualified person No (but must comply with

(§ 1926.1412(a)) § 1926.1434)
Repaired/adjusted equipment Qualified person No
(§ 1926.1412(b))
Post-assembly Qualified person No
(§1926.1412(c))
Each Shift (§ 1926.1412(d)) Competent person No
Monthly (§ 1926.1412(e)) Competent person Yes; keep at least three
months
Annual (§ 1926.1412(f)) Qualified person Yes; keep at least 12
months
Severe service (§ Qualified person No
1926.1412(g))
Equipment not in regular use Competent person Yes; keep at least three
(idle three months or more) months
(§ 1926.1412(h))
Manufacturer specifications Depends on when the No
for more thorough or specified items must
frequent inspection (§ be inspected, such as
1926.1412(j)) each shift, monthly,
annually, etc.

1. § 1926.1412(a). Modifications Inspection.

Equipment that has had modifications or additions affecting the equipment's safe
operation or capacity must be inspected by a qualified person before initial use.

Inspection Guidance

a. Interview the employer and/or the operator to identify who performed the
modification and required inspection.

b. Verify compliance with the inspection requirements of § 1926.1412(a)

through interviews and a review of required, available inspection and
modification approval documentation.

55
 Ask the inspector to describe what modifications were made, have them point
to where they are on the equipment and how she or he determined that the
modification was completed in accord with the modification approval.

c. Obtain and review a copy of the modification approval and any available
inspection records to ensure that the modification was completed and the
equipment has been operating properly.
Citation Policy

d. § 1926.1412(a)(1). If the equipment has been used and the required inspection
was not conducted by a qualified person or no inspection was completed,
consider a citation of § 1926.1412(a)(1).
e. §§ 1926.1412(a)(1)(i) and (a)(1)(ii). If there is a violation of a requirement of
§§ 1926.1412(a)(1)(i) and (a)(1)(ii), consider a citation of the specific
requirement of § 1926.1412(a)(1). Multiple violations of § 1926.1412(a)(1)
shall be described in the AVD of the citation.
f. § 1926.1412(a)(2). If the equipment was used even though the results of the
required inspection or functional testing indicated that the modification was
not done in accord with the modification approval or the equipment failed the
functional test, consider a citation of § 1926.1412(a)(2).
2. § 1926.1412(b). Repairs and Adjustments Inspection.

Before the equipment is used, a qualified person must inspect equipment that has
undergone repairs or adjustments that are related to its safe operation.

Inspection Guidance

a. Interview the operator, employer, and individual who conducted the required
inspection to obtain the information in support of the citation policy for
§ 1926.1412(a) as discussed above.
b. When conducting a visual inspection of the equipment and its structural
components, look at reasonably accessible areas of the equipment for
evidence of repairs, replacement parts, and fresh welds. Look for apparent
deficiencies in welds at sections of the boom such as fractures in the weld,
unusual discoloration from oxidation, separation of the weld from bonding
surfaces, and humps in excessively welded areas. These may be physical
indications of an inadequate weld, or that it may fail if not assessed by a
competent person.
c. When available, obtain and review manufacturer equipment criteria and any
required inspection documentation for any information that would be helpful
in determining if the repair/adjustment was done properly.

56
 d. If the manufacturer equipment criteria was not available and the employer had
criteria developed by a qualified person or registered professional engineer,
request this information.
Citation Policy

e. § 1926.1412(b)(1). If the equipment has been used and the required inspection
was not conducted by a qualified person or the inspection was not done at all,
consider a citation of § 1926.1412(b)(1).
f. §§ 1926.1412(b)(1)(i) and (b)(1)(iii). If there is a violation of the requirements
of both §§ 1926.1412(b)(1)(i) and (b)(1)(ii), consider a citation of the specific
requirement of § 1926.1412(b)(1). Multiple violations of § 1926.1412(b)(1)
may also be grouped under one citation of § 1926.1412(b)(1).
For example, if a qualified person or registered professional engineer did not
develop equipment criteria when the criteria was not available from the
manufacturer and the inspection was completed, but not by a qualified person,
citations for violations of §§ 1926.1412(b)(1) and (b)(1)(ii)(A) may be
grouped.

g. § 1926.1412(b)(2). Consider a citation of § 1926.1412(b)(2) if the equipment

was used even though:
 the results of the required inspection or functional testing indicated that
the repair/adjustment was not done in accord with available equipment
criteria;
 the equipment criteria was not developed under the conditions specified in
§ 1926.1412(b)(1)((ii); or
 the equipment failed the functional test.
3. § 1926.1412(c). Post-Assembly Inspection.

A qualified person must inspect equipment after it is assembled to ensure that it is

configured in accordance with the manufacturer’s equipment criteria.

Inspection Guidance

a. Interview the operator, employer, and individual who conducted the

inspection to obtain information regarding the inspector’s qualifications.
b. When available, obtain and review any documentation from the manufacturer
that may be relevant to an apparently deficient assembly of the equipment.
c. If information was not available from the manufacturer regarding the
assembly of the equipment, and the employer had criteria developed by a
qualified person or registered professional engineer, obtain this information.

57
 Citation Policy

d. § 1926.1412(c)(1). If the equipment has been used and the required inspection
was not conducted by a qualified person or the inspection was not done at all,
consider a citation of § 1926.1412(c)(1).
e. §§ 1926.1412(c)(2)(i) and (c)(2)(ii). If there is a violation of a requirement of
§§ 1926.1412(c)(2)(i) and (c)(2)(ii), consider a citation of the specific
requirement of § 1926.1412(c)(2). Multiple violations of § 1926.1412(c)(2)
may be grouped with a citation of § 1926.1412(c)(1).
f. § 1926.1412(c)(3). Consider a citation of § 1926.1412(c)(3) when the required
inspection was conducted by a qualified person and the equipment was used
even though the results of inspection concluded that:
 the assembly of the equipment was not done in accord with available
equipment criteria; or
 the assembly of the equipment did not meet the equipment criteria
developed under the conditions specified in § 1926.1412(c)(2)(i) when
equipment criteria was not available from the manufacturer.
4. § 1926.1412(d). Each Shift Inspection.

Before each shift, a competent person must begin an inspection of the equipment
that will be used. The inspection must be completed before or during that shift,
and must include observation for apparent deficiencies. Taking apart equipment
components and booming down is not required unless the visual inspection or trial
operation indicates that these actions may be necessary. Determinations made
during the inspection must be reassessed based on observations made during
operation.

Inspection Guidance

a. Observe the operation of the equipment (if being operated), and visually
inspect the equipment for any apparent deficiencies, such as signs of excessive
wear, rusting, damage, misalignment, leakage, missing components, etc., in
the items specified under §§ 1926.1412(d)(1)(i)-(xiv).
b. Since documentation of this inspection is not required by Subpart CC, the
competent person can be asked to describe what parts of the equipment he or
she inspected. If any apparent deficiencies are observed during the
Compliance Officer’s visual inspection of the equipment, interview the
inspector/competent person to determine:
 if the inspection has been completed or how much has been done. This is
relevant because the inspector or the employer may try to argue that the
inspection has not been completed only after a deficiency is found during
the compliance inspection by the Compliance Officer.
58
  if the competent person/inspector made any determinations regarding the
safety of any apparent deficiencies.
 if an apparent deficiency found during the Compliance Officer’s
compliance inspection exists on an item that was already inspected by the
competent person or existed during the shift before. This is relevant
because if the competent person/inspector did find the deficiency (that is
determined to be a hazardous condition) during his or her inspection, this
would be an indication that the Compliance Officer needs to investigate
why the equipment has not been taken out of service.
 how the competent person determined that an apparent deficiency was not
a safety hazard. Especially since the equipment may be operated while a
shift inspection is in the processes of being conducted, evidence regarding
knowledge of the hazard should be documented. Consult the Area Office
or Regional Construction Coordinator if there still are questions regarding
the safety of any apparent deficiency.
The information collected above can be compared to the 14 items specified in
§§ 1926.1412(d)(1)(i) through (d)(xiv) and used to gauge the level of
experience of the inspector and whether the inspection was conducted. In
addition, an employer's use of equipment for several months without retaining
monthly inspection records may indicate that inspections were not conducted
during each shift.

Citation Policy

c. § 1926.1412(d)(1). When a competent person did not complete the required

inspection before or during that shift, consider a citation of § 1926.1412(d)(1).
d. § 1926.1412(d)(2). When a safety hazard exists in an item required to be
inspected under §§ 1926.1412(d)(1)(i) through (d)(1)(xiv) and the equipment
has not been taken out of service after a competent person determined that the
deficiency is a safety hazard or because the deficiency was not evaluated,
consider a citation of § 1926.1412(d)(2). The AVD should state the provisions
of §§ 1926.1412(d)(1)(i) through (d)(1)(xiv) that describes the deficiencies.
e. § 1926.1412(d)(3). Section 1926.1412(d)(3) shall not be cited alone because it
only serves to remind the employer that compliance with §§1926.1415(b) and
1926.1416(b) are required and that the equipment must be taken out of service
when safety devices and operational aids are not functioning properly unless
alternative measures for operational aids have been implemented. If those
provisions are violated, consider grouping each violated provision with a
citation for § 1926.1412(d)(3).
5. § 1926.1412(e). Monthly Inspection.

59
A competent person must complete a monthly inspection of the equipment in
accord with the requirements of § 1926.1412(d).

Inspection Guidance

a. The same information obtained from the visual inspection and interviews with
employees described above for Each Shift Inspection can be used to verify
that a monthly inspection has been conducted.
b. Request and review the documentation from the last three months of monthly
inspections (Subpart CC requires the documents to be maintained for that
period.) Although the unavailability of required inspection records can be an
indication that the Monthly inspection was not conducted, the competent
person can be asked to describe what parts of the equipment he or she
inspected. This information can then be compared to the 14 items specified in
§§ 1926.1412(d)(1)(i) through (d)(1)(xiv) and used to determine whether the
inspection was conducted but not documented. Also, the lack of monthly
inspection documentation can also be an indication that Each Shift Inspections
have not been conducted.
c. Review the required monthly inspection documentation to determine if it
meets the requirements of § 1926.1412(e)(3).
d. If any items requiring repair or further observation are noted on the monthly
inspection records, document any information obtained from interviews
regarding how the safety of the equipment was ensured until the equipment
could be repaired.
e. Review prior inspection records for any further information that could be used
to gauge the duration and condition of an apparent deficiency.
Citation Policy

f. § 1926.1412(e)(1). Consider a citation of § 1926.1412(e)(1) if the equipment

was in service for at least a month:
 without a monthly inspection being completed or being completed by a
competent person,
 or if the monthly inspection was completed by a competent person but the
inspections were not conducted in accord with the requirements of
§ 1926.1412(d). Consider grouping the citation of § 1926.1412(e)(1) with
each specific requirement of § 1926.1412(d) violated. Multiple citations
for violations of § 1926.1412(d) shall be described in the AVD of the
citation.
g. § 1926.1412(e)(2). Section 1926.1412(e)(2) only serves to remind the
employer that compliance with §§1926.1415(b) and 1926.1416(b) are required
for monthly inspections, and that the equipment must be taken out of service
60
 when safety devices or operational aids are not functioning properly unless
alternative measures for operational aids have been implemented.
Consider a citation of § 1926.1412(d)(2) if the equipment was used when the
most recent monthly inspection documentation or information from interviews
(when the first monthly inspection is being conducted) indicates that
hazardous conditions were identified in at least one of the items required to be
inspected under § 1926.1412(d). In this situation, § 1926.1412(d)(2) would be
cited instead of § 1926.1412(e)(2) because § 1926.1412(d)(2) already
prohibits the equipment from being used until identified safety hazards are
corrected. Consider grouping citations for multiple violations of
§ 1926.1412(d). Refer to citation policy above for the application of
§ 1926.1412(d).
Also consider a citation of §§ 1926.1415 or 1926.1416 if the equipment has
been operated with a safety device or operational aid not properly functioning
and the actions specified in §§ 1926.1415(b) and 1926.1416(b) were not
taken.

h. § 1926.1412(e)(3). If there is violation of a requirement of § 1926.1412(e)(3),

consider a citation of the specific requirement of §§ 1926.1412(e)(3)(i) and
(e)(3)(ii). Consider grouping citations for multiple violations of requirements
of § 1926.1412(e)(3).
6. § 1926.1412(f). Annual Inspection.

At least every 12 months, a qualified person must inspect the equipment in accord
with § 1926.1412(d) (each shift inspection) and the additional inspection criteria
specified under §§ 1926.1412(f)(2)(i) through (f)(2)(xxi).

The employer must also ensure that:

 the inspection included functional testing to determine whether the equipment

is functioning properly as configured. In general, functional testing means that
the equipment must be operated to ensure that it can travel as necessary,
brake, steer, hoist, and move loads as configured and with the use of properly
operating safety devices and operational aids.
 any deficiency that a qualified person has determined is not a safety hazard is
monitored in monthly inspections.
 equipment with a safety hazard is taken out of service until the deficiency is
corrected, except when an alternative measure allowed by Subpart CC has
been implemented.
 the employer that conducted the annual inspection documented and retained
the inspection records for a minimum of 12 months.
Inspection Guidance
61
a. Observe the operation of the equipment (if being operated), and visually
inspect the equipment for any apparent deficiencies, such as signs of excessive
wear, rusting, damage, misalignment, leakage, missing components, etc., in
the items specified under §§ 1926.1412(d)(1) and (f)(2).
b. Conduct interviews to verify whether an annual inspection has been
completed.
c. Request and review the required annual inspection documentation to verify
that the employer has met the requirements of § 1926.1412(f).
Citation Policy

d. § 1926.1412(f)(1). Consider a citation of § 1926.1412(f)(1) if the equipment

was not inspected:
 by a qualified person,
 in accord with § 1926.1412(d) (each shift inspection), and
 in over 12 months and has been kept in service.
If the annual inspection was completed by a qualified person but the
inspection was not conducted in accord with the requirements of
§ 1926.1412(d)(1), consider a citation of § 1926.1412(f)(1). The AVD for this
citation should describe the provisions of § 1926.1412(d) which the employer
did not meet.

e. § 1926.1412(f)(2). Consider a citation of § 1926.1412(f)(2) if the equipment

was not inspected:
 by a qualified person,
 in over 12 months and has been kept in service, and
 in accordance with the additional inspection criteria specified under
§§ 1926.1412(f)(2)(i) through (f)(2)(xxi).
If the annual inspection was completed by a qualified person but the
inspection was not conducted in accordance with the requirements of
§ 1926.1412(f)(2), consider a citation of § 1926.1412(f)(2) grouped with each
citation of the most specific provision or provisions of §§ 1926.1412(f)(2)(i)
through (f)(2)(xxi).

f. § 1926.1412(f)(3). If the annual inspection was conducted by a qualified

person but functional testing was not performed to determine whether the
equipment was functioning properly as configured during the inspection,
consider a citation of § 1926.1412(f)(3).

62
 g. § 1926.1412(f)(4). If a qualified person identified an apparent deficiency
during the annual inspection but did not immediately make a determination as
to whether the deficiency was a safety hazard, consider a citation of
§ 1926.1412(f)(4). If an annual inspection is in progress while the equipment
is still in service, a determination must be made regarding the safety of any
new apparent deficiencies identified by the Compliance Officer during the
compliance inspection. In addition, the equipment must be taken out of
service or appropriate corrective actions must be taken to prevent the
equipment from being used while an identified safety hazard exists on the
equipment.
h. § 1926.1412(f)(5). If a qualified person determined that an apparent
deficiency was a safety hazard but the equipment was not taken out of service
and no temporary alternative measures allowed by Subpart CC were
implemented, consider a citation of § 1926.1412(f)(5).
i. § 1926.1412(f)(6). Consider a citation of § 1926.1412(f)(6) if, after a qualified
person determined that the deficiency was not yet a safety hazard and that the
deficiency still needed to be monitored, the employer did not ensure that the
deficiency was monitored in monthly inspections.
j. § 1926.1412(f)(7). If the inspection was completed but not documented,
maintained, and retained for 12 months by the employer that conducted the
inspection, consider a citation of § 1926.1412(f)(7). If the inspection was
maintained properly and documented but:
 § 1926.1412(f)(7)(i). If the documentation but did not include a list of the
items inspected and the results of the inspection, consider a citation of
§ 1926.1412(f)(7)(i).
 § 1926.1412(f)(7)(ii). If the documentation did not include the name and
signature of the person who conducted the inspection and the date,
consider a citation of § 1926.1412(f)(7)(ii).
Multiple citations proposed under § 1926.1412(f)(7) may be grouped under
one citation.

7. § 1926.1412(g). Severe Service Inspection.

A qualified person must conduct an inspection of the equipment when the severity
of the equipment's use or conditions to which it has been subjected are such that
there is a reasonable probability of equipment damage or excessive wear.

Examples of such use or conditions include, but are not limited to loading the
equipment at or near its maximum rated capacity, shock loading the boom, or
prolonged exposure to a corrosive atmosphere and when harsh activities like pile
driving, demolition, and dredging are performed.

63
 Inspection Guidance

a. The same type of information obtained from the Compliance Officer’s

observation of equipment operation, visual inspection of the equipment, and
interviews with employees can also be used to determine if the equipment was
operated under severe conditions. Using this information, also verify whether
a severe service inspection has been conducted when conditions of the
equipment’s use warrant.
b. Beyond documenting the monitoring of apparent deficiencies that are not yet
safety hazards, there is no documentation required for this inspection. If
possible, interview the qualified inspector to determine:
 why the equipment was or was not inspected in accord with
§ 1926.1412(g);
 the identification of any apparent deficiencies that she or he identified
during the required inspection;
 what, if any, determinations were made regarding the safety of the
apparent deficiency; and
 what kind of information was used in making this determination and how
she or he came to those conclusions.
Citation Policy

c. § 1926.1412(g). If the equipment was used or exposed to severe conditions

and was used again:
 before being inspected by a qualified person, consider a citation of
§ 1926.1412(g).
 §§ 1926.1412(g)(1) through (g)(3). After the equipment was inspected by
a qualified person but at least one of the requirements of
§§ 1926.1412(g)(1) through (g)(3) were not met, consider a citation of the
specific provision of § 1926.1412(g) that was not met.
 When violations of §§ 1926.1412(g)(2) or (g)(3) occur, the AVD for this
citation should describe the provisions of § 1926.1412(f) that were not met
by the employer.
8. § 1926.1412(h). Inspection of Equipment not Regularly Used.

Equipment that has been idle for 3 months or more must be inspected by a
qualified person in accordance with § 1926.1412(e) (monthly inspection).

Inspection Guidance

64
 a. Typically, equipment covered by Subpart CC would not be sitting idle for
over three months on an active construction site. However, there may be
occasions when the use of the equipment to perform construction is:
infrequent on a site; has been interrupted for extended periods; or occurs on
the same site where general industry activities are more frequently performed
and the equipment is also stored until needed. Visually inspect the equipment
and area around it for signs that the equipment has been idle for an extended
period of time such as:
 severe weathering of the equipment like light, flakey rust on the brakes,
visible wire ropes, hoisting mechanisms, exhaust manifolds, and other
frequently moved or heated parts;
 vegetation growth around/underneath the equipment that is inconsistently
higher than on the rest of the construction site;
 the absence of tracks to/from the equipment in loosely compacted soil;
 the presence of expired tags or out-of-date inspection documentation.
b. If there is equipment on the site that appears to have been idle for an extended
period of time, ask the employer, operator, lift director, or maintenance
personnel to describe:
 when was it last used and the construction activities the equipment was
used to support;
 how frequently the equipment has been used at the site; and
 the equipment’s status regarding who has inspected it, and how
inspections occurred.
This information, along with the start and stop dates of the construction
activities involving the equipment, may provide information regarding how
long the equipment was idle.

Citation Policy

c. When equipment has been idle for 3 months or more and has been used before
it was inspected in accordance with § 1926.1412(h), a citation of
§ 1926.1412(h) should be considered.
9. § 1926.1412(j). Manufacturer-Recommended Inspections.

The employer must comply with any part of the equipment manufacturer’s
procedures regarding inspections that relate to safe operation. For example, for
multi-purpose machines, sideboom cranes, and non-traditional hoisting equipment
such as forklifts configured like a crane, the manufacturer may recommend: more
frequent or extensive inspections; or the inspection of equipment parts not listed

65
 in the requirements of Subpart CC. This provision requires the employer to
conduct the inspections as per the manufacturer’s recommendations when they
pertain to the safe use of the equipment. Another example would be the inspection
of a safety device, operational aid, or a critical part of a control system that is
more comprehensive or has a more frequent schedule of inspection than required
by § 1926.1412.

If a manufacturer required inspection supplements any of § 1926.1412’s shift,

monthly, or annual inspections, the expertise required for that inspection applies
to the manufacturer’s required inspection as well. For example, if the
manufacturer requires additional inspections each shift, those inspections must be
conducted by a competent person. If the manufacturer requires additional
inspections each year, those must be done by a qualified person. If the
manufacturer requires inspections separate from the shift, monthly, and yearly
inspections required by § 1926.1412, those must be done by a competent person
unless the manufacturer requires a higher level of expertise.

Inspection Guidance

a. Review the equipment manufacturer’s procedures to verify that there are no

other safety-related inspections required by the manufacturer. For example,
some newer equipment may be made of composite materials or designed to
handle greater loads but may have structural tolerances that are less forgiving
than older model steel cranes. Therefore, additional inspections may be
required by the manufacturer for particular configurations of the equipment,
during the use of some attachments, or under specified worksite conditions.
b. Ask the employer, operator, maintenance personnel on site, and any
equipment inspectors that are available if they are aware of any safety
warnings or bulletins from the manufacturer that contain information on
safety-related inspections. In some cases, information the manufacturer has
acquired over years of product use may trigger the manufacturer to
recommend more frequent inspection of the equipment.
c. If the crane comes in contact with a power line or become energized,
employers should consult any applicable manufacturer’s recommendations
prior to returning the crane to service. Such an event may require additional
inspections if the manufacturer recommends them, the inspections would be
mandatory under § 1926.1412(j).
Citation Policy

d. § 1926.1412(j). If an employer fails to comply with any part of the equipment

manufacturer’s procedures regarding inspections that relate to safe operation
of the equipment, consider a citation for each violation of § 1926.1412(j).
10. § 1926.1412(k). Availability of Inspection Documentation.

66
 All documents produced under § 1926.1412 must be available during the
applicable document retention period to all persons who conduct inspections
required by § 1926.1412.

Inspection Guidance

a. Interview the inspectors to ensure that the employer has made the information
available to them in accord with this provision.
b. Subpart CC occasionally specifies where particular documentation must be
kept, such as on the equipment. However, when records must only be
available, it is reasonable to allow employers time to access computers and
facsimiles to retrieve information electronically because many employers may
not keep the records at that particular jobsite.
Citation Policy

c. § 1926.1412(k). When documentation required by this section is not available

to individuals who must conduct inspections required by the crane standard,
consider a citation for each violation of § 1926.1412(k). For example, if the
employer is not able to make the annual and monthly inspection records
available, separate citations for these violations can be considered to reflect
the gravity of the hazardous condition of the equipment.
This provision shall not be cited merely because the documentation is not
available to the Compliance Officer.

F. § 1926.1413. Wire Rope Inspections.

Inspections of wire rope must be conducted each shift, monthly, and annually.

Type of Inspection Who Conducts Documentation

Inspection Required?
Shift (§ 1926.1413(a)) Competent person No
Monthly (§ Competent person Yes; keep at least three
1926.1413(b)) months
Annual (§ 1926.1413(c)) Qualified person Yes; keep at least 12
months

If the compliance inspection of the wire rope is a result of a rope failure, secure
seized sections containing broken pieces of the wire rope for subsequent forensic
analysis. Seizing is a method using wire to wrap the wire rope on both sides of an
area to be cut in order to keep the wire rope from unstranding. If the wire rope
appears to be worn, calipers can be used to measure the circumference of the rope as
shown.

67
 The upper illustration shows
the correct method to
measure wire rope. Note that
the strands are oriented such
that the rope’s maximum
width is measured.

Table: Wire Rope Deficiencies

68
 Deficiency Category Wire Rope Deficiency Description

Category I Significant distortion of the wire rope such as kinking,

(§ 1926.1413(a)(2)(i)) crushing, unstranding, birdcaging, signs of core
failure, or steel core protrusion between the outer
strands.

Significant corrosion.

Electric arc damage or heat damage.

Improperly applied end connections.

Significantly corroded, cracked, bent, or worn end

connections.
Category II Visible broken wires for running wire ropes, for
(§ 1926.1413(a)(2)(ii)) running rotation-resistant ropes, and in pendants or
standing wire ropes. For the number of broken wires
for each type, see § 1926.1413(a)(2)(ii)(A).

A diameter reduction of more than 5 percent from

nominal diameter.
Category III For rotation-resistant rope, a core protrusion or other
(§ 1926.1413(a)(2)(iii)) distortion indicating core failure.

Prior electrical contact with a power line.

A broken strand.
1. § 1926.1413(a). Wire Rope--Shift Inspections.

A competent person must begin a visual inspection before each shift the
equipment is used and complete the inspection before or during that shift. The
competent person must inspect wire ropes (running and standing) likely to be used
during the shift for apparent deficiencies. Neither untwisting (opening) of wire
rope nor booming down is required. Booming down to perform this inspection at
the worksite may not be practical for a variety of reasons, therefore the
Compliance Officer should be prepared to inspect the boom at a distance in many
cases.

Inspection Guidance

a. Observe the operation of the equipment and visually inspect the wire rope for
any of the apparent deficiencies described in § 1926.1413(a)(2). Wires broken
from fatigue often can only be seen at close range, at perhaps from 3 to 4 feet.
Without booming down, or if the rope is moving rapidly, the broken wires
may not be seen. For example, the wire ropes that raise and lower the boom
on mobile cranes run over sheaves that may be 20 to 30 feet at the top of a
gantry or mast. If the boom is not raised or lowered significantly during use,
the working section of rope may not return to be visible on the winch drum

69
 where it can be more easily seen. A significant amount of fatigue damage can
occur, leading to catastrophic failure before an annual inspection can be made.
Therefore, when necessary, binoculars should be used to facilitate spotting
signs of wire rope deficiencies like fatigue breaks, arc strikes, and valley
breaks due to shock loading.
c. b. Core damage in rotation resistant wire ropes, such as that which could
exist at connection and clipped termination points, is not easily detected
during a visual inspection. Therefore, if rotation-resistant rope is used for the
rigging in service, inspect the rigging and verify that it has been assembled
and used in accordance with also the recommendations of the manufacturers
of the rotation-resistant rope.If apparent deficiencies in the rope are observed
during the OSHA compliance inspection, use calipers to measure the rope’s
diameter at the damaged area, document the measurement, and compare it to
the specifications of the manufacturer. Use the manufacture’s
recommendation to determine if the wire rope should be replaced.
d. Since Subpart CC does not require documentation of shift inspections, ask the
inspector/competent person to describe the sections of the wire rope he or she
inspected. Compare this description with the deficiencies observed during the
OSHA compliance inspection to gauge the inspector’s experience level and to
verify that the inspector completed the inspection.
If there are doubts about whether the competent person completed the
inspection, or an apparent deficiency is observed during the OSHA
compliance inspection, ask the inspector/competent person:

 to describe how he or she conducted the rope inspection;

 if he or she has completed the inspection;
 how he or she determined whether there was a deficiency;
 if he or she inspected the deficiency; and
 if he or she made a determination regarding whether the deficient
equipment is a safety hazard.
Verify whether the inspection is on-going and whether an apparent
discrepancy has been identified by the inspector. This helps in establishing
employer knowledge of the hazard. If an apparent deficiency in the wire rope
was identified, the competent person must determine if there is a safety
hazard.
e. For example, if the Compliance Officer observes a damaged section of the
wire rope that has not been inspected, the safety of that apparent deficiency
must be evaluated by the competent person or qualified person (if needed).
Under such a scenario, if it is determined that the wire rope deficiency is a
safety hazard, the wire rope must be taken out of service.
70
f. If the wire rope has been in service for several months, the employer’s failure
to produce monthly inspection records may indicate that it was not conducting
inspections each shift. However, conduct interviews with the employer, crew
members, available inspectors, available maintenance personnel and the
operator to verify compliance with the inspection requirement for each shift.

g. If there are apparent deficiencies in the equipment, ask and document how the
competent person determined that an identified deficiency was not a safety
hazard. Use this information to confirm that the competent person conducted
the required inspection.
Citation Policy

h. § 1926.1413(a)(1). If a competent person did not conduct an inspection during

a shift during which the equipment was used, consider a citation of
§ 1926.1413(a)(1).
i. § 1926.1413(a)(2). Description of Category I through III Deficiencies.

This provision shall not be cited because it merely provides the employer with
a description of the types of deficiencies for which the wire rope must be
inspected. When these deficiencies are identified, the employer must comply
with the requirements of § 1926.1413(a)(4).

j. § 1926.1413(a)(3). Types and Areas of Wire Rope that Need Closer

Inspection.

This provision shall not be cited because it merely provides the employer with
a description of a type of wire rope and areas of any wire rope that are more
likely to harbor damaged rope. When deficiencies are identified in rotation-
resistant rope or in the specified areas of any rope, the employer must comply
with the requirements of § 1926.1413(a)(4).

k. § 1926.1413(a)(4). Corrective Actions.

If the competent person observed a deficiency in a wire rope likely to be used

during a shift and:

 the competent person did not immediately determine whether the

deficiency was a safety hazard, consider a citation of § 1926.1413(a)(4)(i).
The AVD for this citation should state the provisions of
§ 1926.1413(a)(2)(i) that describe the Category I deficiencies that exist in
the rope.
 the competent person determined that a Category I deficiency was a safety
hazard, but the rope was not removed in accord with
71
 § 1926.1413(a)(4)(i)(A) or repaired in accordance with
§ 1926.1413(a)(4)(i)(B), consider a citation of the specific requirement of
§ 1926.1413(a)(4)(i). The AVD for this citation should state the provisions
of § 1926.1413(a)(2)(i) that describe the Category I deficiencies that exist
in the rope.
 the competent person has identified a Category II deficiency, but the
employer has not taken one of the corrective actions specified in
§ 1926.1413(a)(4)(ii), consider a citation of § 1926.1413(a)(4)(ii). The
AVD for this citation should state the provisions of § 1926.1413(a)(2)(ii)
that describe the Category II deficiencies that exist in the rope.
 the competent person has identified a Category III deficiency, but the
employer has not taken one of the corrective actions specified in
§ 1926.1413(a)(4)(iii), consider a citation of § 1926.1413(a)(4)(iii). The
AVD for this citation should state the provisions of § 1926.1413(a)(2)(iii)
that describe the Category III deficiencies that exist in the rope.
 § 1926.1413(a)(4)(iv). The hoist or equipment was removed in accord
with an applicable requirement of § 1926.1413, but the equipment or hoist
was not tagged in accord with § 1926.1417(f)(1), consider a citation of
§ 1926.1413(a)(4)(iv). The AVD for this citation should state the
provisions of § 1926.1417(f)(1) with which the employer did not comply.
2. § 1926.1413(b). Wire Rope--Monthly Inspections.

A competent person must complete a monthly inspection of the wire ropes

(running and standing) in accordance with the requirements of § 1926.1413(a),
Shift Inspection. This inspection is to identify apparent deficiencies in the wire
ropes likely to be used during the operation of the equipment. The employer must
maintain documentation from the last three monthly inspections.

Inspection Guidance

a. Ask to review the required monthly inspection documentation.

b. Ask the inspector/competent person to describe the sections of the wire rope
he or she inspected and for the types of deficiencies he or she was looking for.
Compare this description with the deficiencies identified in the OSHA
compliance inspection to gauge the inspector’s experience level and the
thoroughness of the inspection.
Citation Policy

c. § 1926.1413(b)(1). Wire Rope Monthly Inspection.

If a competent person did not complete a monthly inspection of the wire ropes
in accord with § 1926.1413(a), Shift Inspection, consider a citation of

72
 § 1926.1413(b)(1).

d. § 1926.1413(b)(2). Monitoring of Wire Rope Deficiencies.

If a wire rope deficiency identified during the annual inspection was not
monitored as per instruction from the annual inspection, consider a citation of
§ 1926.1413(b)(2).

e. § 1926.1413(b)(3). Corrective Actions for Monthly Wire Rope Inspection.

If the competent person deemed a deficiency in a wire rope to be a safety

hazard but the employer did not take corrective actions under
§ 1926.1413(a)(4), consider a citation of § 1926.1413(b)(3). The AVD for this
citation should state the provisions of § 1926.1413(a)(4) with which the
employer did not comply.

Information about a monitored deficiency obtained during review of

inspection records can be used to confirm the duration of the deficiency and to
gauge how rapidly the condition has deteriorated. If deficiencies requiring
further observation are noted on the monthly inspection records, document
any information obtained during the compliance inspection regarding how the
employer ensured the safety of the equipment until the wire rope was repaired
or replaced.

f. § 1926.1413(b)(4). Documentation for Monthly Wire Rope Inspection.

If the employer:

 does not document the monthly inspection, consider a citation for a

violation of § 1926.1413(b)(4).
 If the employer documented the monthly inspection, but did not meet all
the requirements of §1926.1412(e)(3), consider a citation for a violation of
§ 1926.1413(b)(4.) The AVD for this citation should state the provisions
of § 1926.1412(e)(3) with which the employer did not comply.
3. § 1926.1413(c). Wire Rope--Annual Inspection.

At least every 12 months, a qualified person must inspect the entire length of wire
rope in use on the equipment, in accordance with § 1926.1413(a), Shift Inspection,
and the additional inspection criteria specified under § 1926.1413(c)(2)(ii).

Wire rope deficiencies that a qualified person has determined are not safety
hazards must still be monitored in monthly inspections. Wire rope with safety
hazards must be taken out of service and replaced, or repaired in accord with
applicable requirements of § 1926.1413.

73
The employer must retain documentation of the required annual inspection for a
minimum of 12 months.

Inspection Guidance

a. Review the required documentation of the annual inspection.

b. Interview the employer, operator, lift director (if any), and equipment
inspector (if available) to verify that a qualified person inspected the wire
rope. Confirm the qualifications of the qualified person by asking about:
 his or her experience with the equipment; and
 the extent and duration of his or her crane-related experience.
c. Ask the inspector/qualified person to describe the wire rope which he or she
inspected and the types of deficiencies for which he or she looked. Compare
this description to the deficiencies identified in the OSHA compliance
inspection to gauge the inspector’s experience level and the thoroughness of
the inspection.
d. Use any relevant facts obtained from required documentation, interviews, and
collection of information discussed under § 1926.1413(b) above, to verify the
employer’s compliance with § 1926.1413(c).
Citation Policy

e. §§ 1926.1413(c)(1) to (c)(2). Annual Inspection of Wire Rope.

When wire rope in use on the equipment has not been inspected in over 12
months by a qualified person:

 in accord with paragraph § 1926.1413(a), Shift Inspection, consider a

citation of § 1926.1413(c)(1). The AVD for this citation should state the
provisions of § 1926.1413(a) with which the employer did not comply.
 in accord with the additional inspection criteria specified under
§ 1926.1413(c)(2), consider citations for violations of the applicable
requirements of § 1926.1413(c)(2).
f. § 1926.1413(c)(3). When wire rope has been inspected in the last 12 months by
a qualified person, but the qualified person did not make a determination
regarding the safety of an apparent wire rope deficiency, consider a citation of
§ 1926.1412(c)(3).

 § 1926.1413(c)(3)(i). Corrective Actions. When the employer did not take

one of the corrective actions specified under § 1926.1413(c)(3) after a
qualified person determined that a wire rope deficiency was a safety

74
 hazard, consider a citation for violations of applicable requirements of
§ 1926.1413(c)(3)(i).
 § 1926.1413(c)(3)(ii). Monthly Monitoring of Wire Rope Deficiencies. A
wire rope deficiency identified during the annual inspection was not
monitored during the monthly inspection as per instruction from the
annual inspection, consider a citation for violations of applicable
requirements of § 1926.1413(c)(3)(ii).
g. § 1926.1413(c)(4). Documentation for Annual Wire Rope Inspection.
When the inspection was not documented or documentation was not retained
in accord with § 1926.1412(f)(7), Annual/Comprehensive Inspection
Documentation, consider a citation of § 1926.1413(c)(4). The AVD for this
citation should state the provisions of § 1926.1412(f)(7) with which the
employer did not comply.

4. § 1926.1413(d). Rope Lubricants.

The employer must not use rope lubricants that may hinder visual inspections.

Inspection Guidance

a. Visually inspect accessible areas of the wire rope for improper lubricant.
b. When the suitability of the lubricant is in question, Compliance Officer should
consult the manufacturer of the wire rope or any relevant information that is
available to verify the lubricant recommended by the manufacturer for that
type of wire rope.
c. If the wire rope lubricant used by the employer differs from that
recommended by the manufacturer, through interviews, verify how the
employer determined that the lubricant used was suitable.
Citation Policy

d. § 1926.1413(d). If the rope lubricant is of a type that hinders inspection of the

rope, consider a citation of § 1926.1413(d).
5. § 1926.1413(e). Availability of Wire Rope Inspection Documentation.

All documents produced under § 1926.1413 must be available, during the

applicable document retention period, to all persons who conduct inspections
required by § 1926.1413.

Inspection Guidance

a. Conduct interviews to verify that information from the annual inspection

documentation is available to inspectors who must perform a wire rope
inspection required by the crane standard.

75
 If the employer does not keep written copies of the required documents on
site, an inference should not be drawn that they may not have been made
accessible to inspectors through other means like computers and facsimiles.
Nor does the employer’s ability to produce the documents for the Compliance
Officer necessarily imply that the documents were made available to
individuals who conduct the required inspections. Although the employer is
not required by the crane standard to make the inspection documents available
to the Compliance Officer, if the equipment is being operated at the time of
the compliance inspection, information from required inspections, such as
about monitored equipment deficiencies or recorded safety determinations,
must be available to the individual who conducts or conducted each shift
inspection.

Citation Policy

b. § 1926.1413(e). If the employer has not made required inspection documents

available to any person who conducts an inspection required under
§ 1926.1413, during its required documentation retention period, consider a
citation of § 1926.1413(e).
G. § 1926.1414. Wire Rope Selection and Installation Criteria.
This section does not apply to rigging. Unless specified in other sections of the crane
standard, rigging requirements are covered under Subpart H of 29 CFR Part 1926,
Materials Handling, Storage, Use, and Disposal.

1. § 1926.1414(a). Wire Rope Selection.

The employer must select and install original equipment wire rope according to
the requirements of § 1926.1414. Replacement wire rope must be chosen based on
recommendations of one of the following:

 the wire rope manufacturer;

 the equipment manufacturer; or
 a qualified person.

76
Types of Wire Rope

Wire rope is classified as either “standard rope” or “rotation-resistant rope.” Rotation-resistant

rope, in turn, can be constructed in various ways, and Subpart CC lists three “types” of rope
designs. For all three types, rotation-resistant rope’s internal design resists twisting better than
standard rope. Rotation-resistant rope therefore enables better control of the load because it
tends to keep the load from rotating while it is being hoisted or suspended. However, the
design of rotation-resistant rope also makes it more susceptible to internal damage than
standard rope and such internal damage can be hard to detect by visual inspection.

The verification of wire rope specifications is often a complex analysis and the Compliance
Officer may need to consult with a qualified person with regard to wire rope to be able to
identify the type of wire rope that is on the hoist line. This person could be the wire rope
manufacturer, or a qualified person such as a safety consultant, operator, mechanic, or wire
rope inspector.

Inspection Guidance

a. Conduct interviews to determine whether the employer used original

equipment wire rope, rotation-resistant wire rope, or some other type of rope.
If there are concerns about the rope’s type or design, it may be necessary to
contact its manufacturer using any visible part or serial numbers on the wire
rope for identification purposes.
b. If the employer used rotation-resistant wire rope, ask those interviewed to
confirm its type. If this information is not immediately available, it can
possibly be obtained from the equipment operations manual, wire rope
certification, or a shipping invoice. Also note from this information the
standards (such as consensus standards) to which the manufacturer designed
the wire rope, if stated.
c. Ask those interviewed to describe how the employer determined that the wire
rope used was appropriate for the equipment.
d. Use any relevant facts collected from interviews and document reviews to
help confirm how the wire rope selection was made, who did it, and what
resources were used to make the selection.
Citation Policy

e. § 1926.1414(a). Consider a citation of § 1926.1414(a) if the employer does

not meet the standard’s requirements for selection of wire rope used on the
equipment.
2. § 1926.1414(b). Wire Rope Design Criteria (other than rotation-resistant wire
rope).

Inspection Guidance

77
 a. Visually inspect wire rope used on the equipment or available for service on
the jobsite and use any relevant facts obtained from the required
documentation, interviews, and collection of information discussed for the
application of § 1926.1413 to verify that the wire rope is in good condition.
b. Use any relevant facts discussed above for the application of § 1926.1414(a)
and obtained from required documentation, such as inspection records
(§ 1926.1413(e)), recommendations from the manufacturer or equipment
inspectors (§ 1926.1413(c)(3)(ii)), and modification approvals
(§§ 1926.1434(a)(1)(i) and (b) and 1926.1414(e)(3)(iii)) to verify that the non-
rotation-resistant wire rope used meets the requirements of section 5-1.7.1 of
ANSI B30.5-2004 or the requirements of § 1926.1414(b)(2). If necessary,
consult the wire rope manufacturer or Regional Construction Coordinator for
guidance when making this verification.
Citation Policy

c. § 1926.1414(b). Consider a citation of § 1926.1414(b) if the non-rotation-

resistant wire rope used on the equipment does not meet the criteria specified
in the standard.

3. § 1926.1414(c). Compatibility.

Inspection Guidance

a. Visually inspect the wire ropes for apparent deficiencies as described in

§ 1926.1413(a)(2) and when they exist, inspect the equipment to ensure that
the damage was not caused by misalignment, entanglement, or excessive
rubbing due the rope’s incompatibility with equipment such as reeving and
hoist drums. See Wire Rope Deficiencies chart in discussion of § 1926.1413
above.
b. In addition to the prohibitions specified in § 1926.1414 for particular types of
wire rope, review any requirements from the wire rope manufacturer.
c. Ask the employer, maintenance personnel, the operator, and inspectors (if
available) if they are aware of any such prohibitions from the manufacturer,
and, if so, to describe them and the hazard they address.
Citation Policy

d. § 1926.1414(c). Consider a citation of § 1926.1414(c) if the wire rope is not

compatible with the equipment or the functioning of the equipment has been
compromised.
4. § 1926.1414(d). Boom Hoist Reeving.
Inspection Guidance

78
 a. Use any relevant facts discussed above to confirm the type of rope used on the
equipment.
b. Visually inspect the boom hoist reeving of the equipment to ensure that fiber
core and rotation-resistant ropes are only used in boom hoist reeving under the
conditions specified in § 1926.1414(d).
Citation Policy

c. § 1926.1414(d). Consider citations for violations of the applicable provisions

of § 1926.1414(d) if a particular type of wire rope is used on the equipment
under conditions prohibited by the standard.
5. § 1926.1414(e). Rotation-Resistant Wire Rope Definitions and Use Requirements.
Definitions of the Types of Rotation-Resistant Wire Rope

Type Rotation-Resistant Wire Rope Description 

Type I Stranded rope constructed to have little or no tendency to

rotate or, if guided, transmits little or no torque. It has at
least 15 outer strands and comprises an assembly of at least 
three layers of strands laid helically coiled over a center in
two operations. The direction of lay of the outer strands is 
opposite to that of the underlying layer.

Type II Stranded rope constructed to have significant resistance to

rotation. It has at least 10 outer strands and comprises an
assembly of two or more layers of strands laid helically
over a center in two or three operations. The direction of
lay of the outer strands is opposite to that of the underlying
layer.
Type III Stranded rope constructed to have limited resistance to
rotation. It has no more than nine outer strands, and
comprises an assembly of two layers of strands laid
helically over a center in two operations. The direction of
lay of the outer strands is opposite to that of the underlying
layer.
Inspection Guidance

a. Observe and document the types of construction activities the hoisting

equipment is used to support. In particular, note when the equipment is used
to perform repetitive lifts or duty cycle work such as pile driving, material
handling such as clamshell or dragline work or using an electromagnet to
handle scrap metal.

79
Rotation-Resistant Wire Rope

There is an increased risk of damaging the core of some types of rotation-resistant ropes during
the performance of repetitive lifts or duty cycle work such as pile driving, material handling
such as clamshell or dragline work or using an electromagnet to handle scrap metal. Damage to
the internal core may not be easily detected during prolonged operation between inspections,
making some types of rotation-resistant wire rope unacceptable for this type of work.

b. Interview the employer, maintenance personnel, operator equipment inspector

(if available) to confirm the type and safety factor of the rope when rotation-
resistant wire rope is used.
c. When the safety factor is not immediately available, it can possibly be
obtained from the equipment operations manual or wire rope certification.
Also note the standards (such as consensus standards) according to which the
manufacturer designed the wire rope, if stated.
d. When type II and III rotation-resistant wire rope of a safety factor of less than
five was used, verify that a qualified person conducted a shift inspection in
accord with § 1926.1413(a). (See inspection guidance and citation policy for
§ 1926.1413(a).)
e. If there are concerns about the rope’s type and design, it may be necessary to
contact its manufacturer using any visible part/serial numbers on the wire
rope. If necessary, consult the wire rope manufacturer or Regional
Construction Coordinator for guidance regarding the design and safe use of
rotation-resistant wire rope.
Citation Policy

f. § 1926.1414(e). When type I, II or III rotation-resistant wire rope was used

and did not meet the applicable requirements or was used under conditions
prohibited by § 1926.1414(e)(2), consider citations for violations of applicable
provision of § 1926.1414(e)(2). Where applicable, group multiple violations
of the standard.
6. § 1926.1414(f) through (h). General Requirements.

80
 What is Seizing?

Seizing is physical binding of wire rope needed to hold the wire in the strands and the strands
themselves together in place during the cutting of wire rope. Seizing of the strands keeps intact the
areas of the rope beyond the area to be cut. Seizing must be done in accord with the manufacturer’s
recommendations to prevent further damage to the rope. Seizing and subsequent cutting of failed
portions of rope should be conducted only by qualified individuals.

For compliance inspection purposes, it is also important that wire rope, which has been obtained
from the employer as evidence, has also been properly seized to prevent the unraveling of the
evidence rope.

The requirements of §§ 1926.1414(f) through (h) address hazards related to the use of
wire rope clips, sockets, and the seizing of wire rope that has been cut.

Inspection Guidance

a. Visually inspect the wire rope for apparent deficiencies, paying particular
attention to areas of the rope where rope clips and sockets are used and seizing
has been done. Ensure that the devices have been used and seizing has been
done in accord with the requirements of §§ 1926.1414(f) through (h).
Citation Policy

b. §§ 1926.1414(f) through (h). Consider citations for violations of applicable

provisions of §§ 1926.1414(f) through (h) if the requirements of those
standards have not been met.
H. §§ 1926.1415 and 1926.1416. Safety Devices and Operational Aids.
These sections list the safety devices and operational aids that are required on all
equipment covered by Subpart CC, unless otherwise specified, such as for tower
cranes and other equipment which have specified supplemental requirements.

In general, proper operation of the specified safety devices and operational aids is
required. However, when an operational aid is not working properly, the employer,
while arranging to have the aid repaired or replaced, may implement temporary
alternative measures.

1. § 1926.1415. Safety Devices.

Operation of the equipment is prohibited unless all of the safety devices listed in
paragraphs (a)(1) through (a)(7) of § 1926.1415 are in proper working order.

When the devices are not working properly, the equipment must be taken out of
service in accord with § 1926.1417(f) until the devices are repaired or replaced.

Inspection Guidance

81
a. It may or may not be evident through observation of the hoisting operation
that a safety device is not working properly. Occasionally, there may be other
visual indications of improperly operating safety devices or operational aids.
For example, when crew members or the operator appear to be taking
extraordinary precautions during the hoisting job that may be related to the
leveling or stability of the equipment, control of the boom or load line, or
braking of the equipment. These actions, while they could be the work
practices of a safety conscious employer, may also be an indication that there
are known deficiencies in safety devices or operational aids.
b. Interview the operator and maintenance personnel to verify that all safety
devices are present and functioning properly. Paragraphs (a)(1) through (a)(7)
of § 1926.1415 can be used as a checklist. The operator can also be asked to
show where the devices are on the equipment.
c. If any of the devices listed in paragraphs (a)(1) through (a)(7) of § 1926.1415
are missing or not functioning, observe and document operation of the
equipment, interview the operator, maintenance personnel, lift director, and
employer, and review any available maintenance/repair documentation to
determine:
 if and when the equipment was operated without properly working safety
devices;
 whether proper tag-out procedures under § 1926.1417 were followed;
 when the safety device was removed/or ceased to function;
 when repair is scheduled to occur, or replacement parts were ordered and
scheduled to arrive; and
 if any safety devices were inoperable when personnel were hoisted.
d. Note, in accord with § 1926.1417(j), the operator is required to inform, in
writing at the end of the shift, the person (such as the lift director or
maintenance personnel) designated to receive such information of needed
equipment repairs and adjustments. Ask for and make copies of any such
exchanges of information as this documentation may contain information
about deficiencies regarding safety devices.
If a device stops working properly during observation of the hoisting job or
the information about the deficient device is obtained from an interview,
verify and document whether the operator stopped the operation safely and the
worksite conditions under which the hoisting job was stopped.

82
Safely Stop

For the application of this provision, “safely stop operations” gives notice to the employer that the
operator is not necessarily expected to stop the equipment immediately if doing so would create a
hazardous situation. Under this provision, the operator must rely on her or his knowledge and
skills to determine when stopping the hoisting operation would present a hazard. Operations may
not resume until such time as the aid or device has been repaired, replaced, or a temporary
alternative measure is implemented when allowed by the standard.

For example, if stopping crane operations immediately would jeopardize the stability or structural
integrity of the crane, operations could continue until the crane or load could be positioned better.

For hoisting operations that would suspend the load over employees should operations be stopped,
the equipment could be safely operated longer to allow the load to be landed or swung and
suspended in/over a place that would not be a hazard.

Another example could be when stopping the hoisting operation would not allow a hoisted
structural member of a building to be supported and secured to stabilize the frame of the building.

Citation Policy

e. §§ 1926.1415(a)(1) through (a)(7). If a safety device required by this section

is missing, consider citations for violations of provisions requiring the specific
device that is missing. For example, § 1926.1415(a)(2) requires a boom stop
on all equipment except hydraulic equipment and derricks. If the boom stop
has been removed or no longer functions, consider a citation under
§ 1926.1415(a)(2).
f. § 1926.1415(b). Consider a citation for violation of § 1926.1415(b) under the
following circumstances:
 if a device or devices listed in paragraphs (a)(1) through (a)(7) of
§ 1926.1415 are not functioning and the employer still allows the
equipment to be operated, or
 if a device ceases to function, and the operator does not stop operations, or
 if a device ceases to function, the operator stops operations in a safe
manner, but then does not take equipment out of service and resumes
operations before the device is working properly.
Even if multiple devices on one piece of equipment are not functioning
properly, only one citation under § 1926.1415(b) may be issued. The AVD of
this citation should list the specific safety device(s) in paragraphs (a)(1)
through (a)(7) of § 1926.1415 that are not functioning.

For more guidance regarding what is meant by requiring the operator to

“safely stop” the equipment when a safety device stops working during crane
operation, see the Safely Stop text box provided as inspection guidance for this
83
 provision. This provision may be cited, when it has been determined that the
employer allowed crane operations to continue with an improperly working
safety device even though there was a way to stop the operation without
creating another hazardous condition at the worksite. When citing the
employer for the operator’s failure to safely stop, group the citation with
§ 1926.1400(f).

In contrast, when crane operation was stopped such that another hazardous
condition was created on the worksite, consider a citation for a violation of a
provision other than § 1926.1415(b) even though the operations where
stopped “unsafely”. For example, when the load was suspending over
employees as described in the text box, it would be more appropriate to
consider citations for violations of § 1926.1424, Working Area Control,
instead of § 1926.1415(b) for “unsafely” stopping the load.
g. § 1926.1417(f). If proper tag-out procedures were not followed when a safety
device was missing or was not functioning, consider citations for violations of
applicable requirements of § 1926.1417(f). Section 1926.1415(b) shall not be
cited for violations of tag-out procedures because § 1926.1415(b) serves to
remind the employer that compliance with the requirements of § 1926.1417 is
also required.

2. § 1926.1416. Operational Aids.

Section 1926.1416 specifies requirements for operational aids and applies to all
equipment unless otherwise specified in Subpart CC. See, for example,
requirements for Tower Cranes, § 1926.1435(e)(1).
Operations must not begin unless devices listed in § 1926.1416(d) and (e) are
properly working on the equipment or a specified temporary alternative measure
has been implemented. When recommended by the manufacturer, the employer
must comply with additional measures.
If a device stops working during operations, the operator must safely stop
operations until the device is replaced or repaired so that it works properly again
or:
 the deficient operational aid is tagged out of service, and
 specified temporary alternative measures are implemented or the device is
replaced or repaired so that it works properly again.
Repairs must be completed within 7 working days after the employer received the
repair/replacement parts.

84
 Categories of Operational Aids

Category I aids include: boom hoist limiting device, luffing jib limiting device, and anti-two
blocking device.

Category II aids include: boom angle or radius indicators, jib angle indicators, boom length
indicators, load weighing and similar devices, outrigger/stabilizer position sensors/monitors, and
hoist drum rotation indicators.

Category I operational aids that are not working properly must be repaired or
replaced within 7 days after the deficiency occurs unless the employer documents
that the repair/replacement parts will not be received in time.
Category II operational aids that are not working properly must be repaired or
replaced within 30 days after the deficiency occurs unless the employer
documents that the repair/replacement parts will not be received in time.
Section 1926.1416(e)(4) clarifies that if a replacement part is no longer available,
the use of a substitute device that performs the same type of function is permitted,
and is not considered a modification under § 1926.1434.
Inspection Guidance

a. Make all inquiries relevant to operational aids and use the Inspection
Guidance for § 1926.1415 to help verify employer compliance with
§ 1926.1416.
b. Interviews with individuals such as the employer and operator, maintenance
personnel, and lift crew should be conducted to verify that:
 the operator and others working with the load understand the use and
purpose of temporary alternative measures when used instead of an
inoperable operational aid. Other crew members must also know this
information to be able to recognize the hazard that exists if the alternative
measures are not effectively implemented.
 how the operator verifies, on a daily basis, that operational aids are
functioning properly.
c. If the equipment is being operated with a temporary alternative measure
implemented:
 obtain the date that the operational aid ceased to function properly;
 confirm the temporary alternative measure implemented;
 verify that the temporary alternative measure meets the applicable
requirements in §§ 1926.1416(d) and (e), or those of the manufacturer, if
the manufacturer’s requirements are more protective;

85
  verify that the employer complied with the requirements of § 1926.1417(j)
regarding need for adjustments and repairs; and
 verify and document the dates of any receipts for parts ordered to repair or
replace an operational aid or safety device and/or relevant installation
dates for parts.
Citation Policy

d. § 1926.1416(a). If an operational aid listed in paragraphs (d) and (e) of

§ 1926.1416 is missing and no temporary alternative measure has been
implemented, consider a citation for violation of § 1926.1416(a).
For example, if there is not a boom hoist limiting device on the equipment and
no temporary alternative measure is in place

e. § 1926.1416(b). If a device listed in (d) and (e) of § 1926.1416 was not

functioning, no temporary alternative measure was implemented, and the
equipment was operated, consider a citation for violation of § 1926.1416(b).
Note to §§ 1926.1416(a) and (b)

 The AVD of the citation should list the specific missing or nonfunctioning
operational aid(s) noted in paragraphs (d) and (e) of § 1926.1416.
 If a temporary alternative measure has been established, but not
successfully implemented, the AVD should list the specific temporary
alternative measure that the employer attempted to use and explain why it
was inadequate.
 Even if multiple aids on one piece of equipment are not on the equipment
or not functioning, only one citation under § 1926.1416(a) and one citation
under § 1926.1416(b) may be issued.
f. § 1926.1416(c). Consider a citation of § 1926.1416(c) if an operational aid
ceases to function during operations, and the operator does not stop operations
when it is safe to do so. Group this citation with § 1926.1400(f).
Consider a citation for violation of § 1926.1416(b) when the compliance
inspection reveals the operator stopped operations upon discovery of the
deficiency, but then the operations resumed without repairing the operational
aid or implementing an alternative measure.
See the discussion of “safe to stop” provided in this compliance directive for
§ 1926.1415, Safety Devices.

g. §§ 1926.1416(d) or (e). When the employer was operating equipment with a

temporary alternative measure properly in place, but the applicable time limit
established by § 1926.1416(d) or (e) lapsed, consider a citation for violation of
86
 1926.1416(a) for missing operational aids or § 1926.1416(b) for an
operational aid not working. The AVD for this citation should list the specific
provision in paragraphs (d)(1) through (d)(3) or (e)(1) through (e)(5) of
§ 1926.1416 requiring the missing or non-functioning operational aid and
corresponding temporary alternative measure used.
If violations of §§ 1926.1416(d) and (e) are applicable to multiple operational
aids required for the equipment, only one citation of § 1926.1416(a) and (b)
should be cited because violation of any one provision of §§ 1926.1416(d) and
(e) would trigger a violation of §§ 1926.1416(a) or (b).

When citing the employer for failure to implement the temporary alternative
measure specified in § 1926.1416(e)(5)(i), group the citation with
§ 1926.1400(f).

I. § 1926.1417. Operation and § 1926.1418. Authority to Stop.

This section covers the general requirements for equipment operations. The employer
must comply with all manufacturer procedures, including those for the use of
attachments. These requirements address a variety of communication and safety
concerns, such as hazards related to:

 Workers being struck during unintentional movements of the equipment and/or

load, or while within the equipment’s swing radius or blind-spot areas.
 Changing conditions of the worksite such as ice, wind, and precipitation.
 Side-loading of the boom.
 Exceeding the capacity of the equipment.

The final rule focuses on concerns related to equipment operations that are very
common to construction activities. The standard specifies requirements for leaving
equipment unattended, that the operator’s attention not be diverted from the operation
of the equipment.

Duties of Crane Operators and Other Employees

Section 1926.1417 includes several duties for the crane operator and other employees at the
worksite. Section 1926.1400(f) requires that the employer ensure, via effective communication and
enforcement of work rules, that an operator, crew member, or other employee performs the tasks
required by Subpart CC. Where an employee does not meet a requirement of Subpart CC, and there
is no language explicitly requiring the employer’s compliance, consider grouping the citation with
§ 1926.1400(f). See discussion of § 1926.1400(f) in the Scope section for additional guidance.

1. §§ 1926.1417(a) through (e). Operation.

Inspection Guidance

a. The employer’s compliance with most provisions of §§ 1926.1417 and

87
 1926.1418 can be confirmed by observing workers operating the equipment.

For example, during operations, note:

 how and where suspended loads are left unattended;

 if there any employees in areas where they may be struck by moving

equipment or the load;

 whether the job involved buildings, vehicle/pedestrian traffic, weather,

ground conditions, etc.;

 the condition of the equipment--are the tires inflated, are outriggers fully
extended, are panels missing, and are there any signs of fluid leakages?;

 the time, date, and any construction activities being performed when it
appeared that the equipment was undergoing repairs or was idle;

 where barrier and warning signs have been erected;

 how the loads are handled. For example: what kinds of loads are hoisted?
Are there any lifts out of the view of the operator? Does the crane have to
travel with the load?;

 who appears to be in charge or making decisions affecting safety. For

example, who communicates with the operator? Are there signals given to
the operator? Under what circumstances are the signals given?

 if the full attention of the operator is on operation of the equipment. Note

if an employee is using a cell phone while operating the equipment and
determine if the cell phone is being used for signaling purposes. In accord
with Subpart CC, a cell phone may only be used as a means of
communication with the signal person and would have to be a hands-free
system when used for that purpose.

Remote Controls

The use of equipment with remote controls is becoming more common on construction sites,
especially when materials are hoisted onto a structure. Therefore, note when the operator uses
remote controls to position the load and also offload the equipment. In support of any citations
regarding the operator being distracted, it is important to document what activities distracted the
operator and how it was a distraction. Keep in mind that the operator is not operating the crane
using remote controls when he or she locks out the controls and then helps offload the crane.
Under a scenario like this, the offloading of the crane would not be considered a diversion. (Note
that the operator would still need to keep the remote controls immediately accessible to comply
with the requirements of .1417(e).)

b. Interview individuals and especially the operator regarding their observations

88
 of hoisting activities and the employer’s compliance with §§ 1926.1417 and
1926.1418. In general, the provisions of this section should be used to develop
questions for employees regarding their knowledge of any hazardous
conditions observed. For example, ask individuals to describe any scenarios
when the operation of the crane has raised safety concerns at the worksite and
the ability to perform assigned tasks safely.

c. Verify that the equipment’s operation procedures and load charts are available
to the operator in the cab and that they are applicable to the equipment being
used at the worksite.

Crane Identification

Often, the applicability of the operator’s manual and load charts to a piece of equipment can
be verified by ensuring that serial numbers or the make and model specified on the
documentation match that of the equipment being operated (§ 1926.1417(c)(1)).

d. If employer-developed operator’s procedures are being used,

 determine why the manufacturer’s procedures are no longer available or

why they are not being used;

 determine who developed the operator’s procedures; and

 verify the employer’s compliance with § 1926.1417(b).

e. Consider checking cellular phone company records to verify compliance with

§ 1926.1417(d).

Citation Policy

f. § 1926.1417(a). Consider a violation of this section where a manufacturer

recommended procedure was not followed. This section may be grouped with
each of a more specific violation of § 1926.1417, if another operation
requirement was not followed.

g. § 1926.1417(a) through (c). Unless specified otherwise, when applicable

requirements of § 1926.1417(a) through (c) have not be met, consider
citations for violations of the applicable provisions. Citations for violations of
multiple requirements under the same paragraph may be grouped when
appropriate.

h. When the manufacturer’s operation procedures are unavailable and:

 the employer did not develop and ensure compliance with all procedures
necessary for the safe operation of the equipment and attachments,
consider a citation of § 1926.1417(b)(1).
89
  the operation procedures for the operational controls were not developed
by a qualified person, consider a citation of § 1926.1417(b)(2).

 the operation procedures related to the capacity of the equipment were not
developed and signed by a registered professional engineer familiar with
the equipment, consider a citation of § 1926.1417(b)(3).

i. § 1926.1417(d). Where interviews establish that the operator was distracted

while operating the crane, consider a citation of this section.

j. § 1926.1417(e). In cases when the operator left the controls while the load
was suspended and:

 the requirements of paragraphs (e)(1)(i)-(iv) of § 1926.1417 were not met,

citations for violations of applicable requirements of § 1926.1417(e)(1)
should be considered. Consider grouping citations for violations of
multiple requirements of § 1926.1417(e)(1) because regardless of which
requirement of this provision is violated, it results in a violation of
§ 1926.1417(e)(1).

 working gear (such as slings, spreader bars, ladders, and welding

machines) was suspended over an exit or entrance and/or where the weight
of the working gear was not negligible relative to the lifting capacity of
the equipment as positioned, consider a citation of § 1926.1417(e)(2). This
exception was provided for employers who leave lightweight items
suspended overnight to avoid theft, but should not be done in such a way
that significantly strains the equipment.

2. § 1926.1417(f). Tag-out.

Inspection Guidance

a. To determine if the equipment was used while a function or the equipment as

a whole was taken out of service, use any relevant facts from the Inspection
Guidance for the application of §§ 1926.1417(a) through (e), and ask
employees:

 have they seen a warning tag on the out-of-service equipment and when;

 to describe what terms like tagged-out and out of service mean to them;

 who is authorized to place or remove a warning tag;

 to describe any instructions that were given to the operator regarding an

out-of-service function or equipment;

 who determines when it is safe to continue operations with the function or

equipment tagged out.
90
 Citation Policy

b. § 1926.1417(f). If the employer took the equipment out of service and:

 § 1926.1417(f)(1). The equipment or a function of the equipment was not

tagged-out in accord with the requirements of § 1926.1417(f)(1), consider
a citation of § 1926.1417(f)(1).

 § 1926.1417(f)(2). The requirements of § 1926.1417(f)(2)(i) were not met,

consider citations for violations of applicable requirements of
§ 1926.1417(f)(2)(i). Consider grouping citations for violations of multiple
provisions under § 1926.1417(f)(2)(i).

 § 1926.1417(f)(2)(ii). The requirements of § 1926.1417(f)(2)(ii) were not

met, consider a citation of § 1926.1417(f)(2)(ii). Specific requirements of
§§ 1926.1417(f)(2)(i)(A) and (f)(2)(i)(B) that were violated should be
referenced in the AVD of this citation.

3. §§ 1926.1417(g) through (aa). Operation.

Inspection Guidance

a. To verify compliance with § 1926.1417(j), use information collected for

paragraphs (a) through (f) of § 1926.1417 and also ask interviewees to
describe:

 any needed repairs or adjustments of the equipment and when they were
first aware of them.

 how the employer informed employees before each shift of needed

adjustments and repairs of the equipment or temporary alternative
measures implemented.

 any temporary alternative measures implemented and the hazards from

which the employees were intended to be protected. For example, in
absence of operational devices or when they are not operating properly,
how are limitations being maintained to ensure that the crane is always
operated within proper capacity, radius, etc.

 if the equipment was operated in excess of its rated capacity and if the
employer expressly required it. For example, an employer may have
directed the operator to operate the equipment in excess of its rated
capacity by relying on the equipment’s safety factor.

91
Repairs and Adjustments of Equipment

Section § 1926.1412(b)(1), inspection of repaired or adjusted equipment, requires that repairs or

adjustments of the equipment that affect its safe function and capacity must be done in accord
with the manufacturer’s or qualified person’s recommendations. The preamble for this section of
the final rule explains that repairs or adjustments are meant to restore equipment to original
design specifications and safety factors. Otherwise, OSHA could consider the activity a
modification of the equipment. In other words, repair or adjustment of a system or component
that affect safety must be consistent with the engineering in the original equipment design. [75 FR
47968]

Citation Policy

b. §§ 1926.1417(g) through (aa). Unless specified otherwise under this citation

policy section, when applicable requirements of §§ 1926.1417(g) through (aa)
have not be met, consider citations for violations of the applicable provisions.
Citations for violations of multiple requirements under the same paragraph
may be grouped when appropriate.

c. § 1926.1417(j). When adjustments or repairs of the equipment were necessary

and:

 § 1926.1417(j)(1). If the operator did not promptly inform, in writing, the

person designated by the employer to receive such information or the next
operator on a successive shift, consider a citation of § 1926.1417(j)(1).

 § 1926.1417(j)(2). If the employer did not notify all affected employees, at

the beginning of each shift, of the necessary adjustments or repairs and
any alternative measures, consider a citation of § 1926.1417(j)(2).

d. § 1926.1417(k). When safety devices and operational aids were used as a

substitute for the exercise of professional judgment by the operator, consider a
citation of § 1926.1417(k).

For example, the equipment had a limiting device to help the operator prevent
the crane from tipping over when loads and boom lengths approach limits
specified on the load chart. During the hoisting operation, the operator relied
solely on the limiting device to warn her or him or to stop the equipment prior
to reaching the tipping point of the equipment. When it can be determined,
that the operator did not use her or his skill and experience with the equipment
to not exceed the limits specified on the load charts, consider a citation of
§ 1926.1417(k).

e. § 1926.1417(o). When the equipment was operated:

 § 1926.1417(o)(1). If operated in excess of its rated capacity, consider a

citation of § 1926.1417(o)(1);

92
  § 1926.1417(o)(2). If the operator was expressly required to operate the
equipment in a manner that its rated capacity was exceeded, consider a
citation of § 1926.1417(o)(2).

 § 1926.1417(o)(3). If the operator did not verify the weight of the load as
being within the capacity of the equipment using one of the methods
specified in paragraphs (o)(3)(i) and (o)(3)(ii) of § 1926.1417, consider a
citation of § 1926.1417(o)(3). When the employer attempts to use one of
the specified methods for verifying the weight of the load but the method
was deficient, the provision of § 1926.1417(o)(3) which the employer used
and a description of its deficiency should be referenced in the AVD.

f. § 1926.1417(p). When the boom or other parts of the equipment contacted an

obstruction, consider a citation of § 1926.1417(p). The hazardous condition
may have been triggered by violations of other provisions of Subpart CC. For
example, a safety device or operational aid may not have been working, the
signal person may not have been qualified to give the operator signals, and the
operator may have relied on electronic warnings instead of exercising her or
his professional judgment to avoid contacting the object, or may have been
distracted when operating the equipment. When appropriate, consider
grouping with other citations, such as § 1926.1417(k). See citation policy for
§ 1926.1417(k).

g. § 1926.1417(r). When loads were lifted over the front area of wheel-mounted
equipment in a situation not permitted by the manufacturer, consider a citation
of § 1926.1417(r). When appropriate, consider grouping with a violation of
§ 1926.1417(a).

h. § 1926.1417(t). When the load or the boom was lowered below the point
where less than two full wraps of rope remained on their respective drums and
this work practice was not permitted by the manufacturer, consider a citation
of § 1926.1417(t). When appropriate, consider grouping with a violation of
§ 1926.1417(a).

i. § 1926.1417(u). When the equipment was used to travel with the load:

 § 1926.1417(u)(1). If the practice is prohibited by the manufacturer,

consider a citation of § 1926.1417(u)(1).

 § 1926.1417(u)(2). If the practice was allowed by the manufacturer but the

employer did not ensure that the requirements of paragraphs (u)(2)(i)
through (u)(2)(iii) of § 1926.1417 were met, consider a citation of the
applicable requirement of § 1926.1417(u)(2). Consider grouping citations
of multiple requirements of § 1926.1417(u)(2).

When appropriate, consider grouping citations under § 1926.1417(u)(2) with a

violation of § 1926.1417(a).

93
 j. § 1926.1417(x). When brakes are not adjusted in accord with manufacturer
procedures to prevent unintended movement, consider a citation of
§ 1926.1417(x). When appropriate, consider grouping citations under
§ 1926.1417(u)(2) with a citation of § 1926.1417(a).

k. § 1926.1417(y). If a safety problem occurred and an employee gave a stop or

emergency stop signal to the operator, but the operator continued operations,
consider a citation for violation of § 1926.1417(y).

l. § 1926.1417(aa). The equipment was not a tower crane and

 § 1926.1417(aa)(1)(i). If the equipment was operated without the

counterweight or ballast in place as specified by the manufacturer,
consider a citation of § 1926.1417(aa)(1)(i). When appropriate, consider
grouping citations under § 1926.1417(aa) with a violation of
§ 1926.1417(a).

 § 1926.1417(aa)(1)(ii). If the maximum counterweight or ballast specified

by the manufacturer for the equipment was exceeded, consider a citation
of § 1926.1417(aa)(1)(ii). When appropriate, consider grouping citations
under § 1926.1417(aa) with a violation of § 1926.1417(a).

 § 1926.1417(aa)(2). This provision is informational and should not be

cited.

4. § 1926.1418. Authority to Stop Operation.

Inspection Guidance

a. In addition to using relevant facts obtained from methods of information

collection discussed for the application of §§ 1926.1415 and 1926.1416,
interview the operator and employer to:

 verify that the operator is aware that he or she has the authority to stop and
refuse to handle loads when there are concerns regarding the safety of the
hoisting operation.

 determine if the operator has stopped operations due to safety concerns of

projects for this employer in the past. This information may serve as
evidence that the operator is aware of having this authority to stop the
operation and the employer is aware that it must ensure that the operator’s
safety concerns are addressed by a qualified person.

 obtain a description of how the employer addressed the operator’s safety

concerns, and who authorized the restart of crane operations.

 determine if and how the operator may have been discouraged from
exercising her or his authority to stop operations.
94
 Citation Policy

b. § 1926.1418. When there was a concern regarding safety and the employer did
not give the operator the authority to stop and refuse to handle loads until a
qualified person determined that safety was assured, consider a citation of
§ 1926.1418.

J. §1926.1419. Signals. General Requirements.

1. § 1926.1419(a). A signal person must be used in each of the following

circumstances:

 The point of operation is not in full view of the operator (§ 1926.1419(a)(1)).

 The equipment is traveling and the view in the direction of travel is obstructed
(§ 1926.1419(a)(2)).

The operator or person handling the load determines that a signal person is
necessary (§ 1926.1419(a)(3)).

Inspection Guidance

a. During the inspection, if operations are underway, equipment is moving, and

it appears that a signal is necessary, interview the employer to determine why
a signal person is not being used.

b. A live video system that provides a full view to the crane operator and enables
the operator to see all that is needed to operate the equipment safely satisfies
the “full view” requirement in § 1926.1419(a)(1), but a mirror system
generally does not. The sufficiency of any system depends on the particular
situation.

Citation Policy

c. §§ 1926.1419(a)(1) through (3). If a signal person is not being used and one or
more of the situations noted above is present, consider a citation for violation
of the standard. The citation should be for a violation of the most specific
provision applicable to the hazards present. For example, cite
§ 1926.1419(a)(1) if the operator does not have full view of the point of
operation and a signal person is not being used.

If more than one of the circumstances in §§ 1926.1419(a)(1)-(3) are present,

only one citation for violation of § 1926.1419(a) should be considered.
Instead, consider citing to the general provision § 1926.1419(a), and list the
specific deficiencies in compliance with provisions in § 1926.1419(a)(1)-(3).

If one or more of the circumstances listed in § 1926.1419(a) is present and a

signal person is being used, request the signal person’s qualification
95
 documentation and verify that the signal person is qualified for the type of
signal being used. If the employer is unable to present a qualification
document for a signal person or the documentation does not include the type
of signal used, consider a citation under § 1926.1428(a) or a sub-provision of
that section. See the Signal Person Qualifications section in this directive for
additional inspection guidance for § 1926.1428(a).

2. § 1926.1419(b). Signals to operators must be by hand, voice, audible or new

signals.

Citation Policy

a. § 1926.1419(b). A violation of § 1926.1419(b) should generally not be cited.

Violations associated with new signals should generally be cited under
§ 1926.1419(d), pursuant to the guidance noted below.

3. § 1926.1419(c). Hand Signals. When hand signals are used, standard signals
described in Appendix A must be used, unless the employer can demonstrate that
standard signals are infeasible. In that case, non-standard hand signals are
permitted. When using non-standard hand signals, the signal person, operator, and
lift director (where there is one) must meet with each other prior to the operation
and agree on the non-standard hand signals that will be used.

Inspection Guidance

a. If hand signals are being used, look for a hand signal chart posted in the
vicinity (most likely on the crane). Observe the signal person to verify that
signals given are consistent with those on the chart.

b. If the hand signals in use differ from those on the chart, determine whether
standard hand signals would be infeasible. One consideration in making this
determination is whether there was a need to signal an action for which there
is no standard hand signal (e.g., when a particular attachment for which there
is no hand signal is used with the equipment).

c. If non-standard hand signals are observed, evaluate whether both parties

understand the signals during operator and signal person interviews. The
interviews should verify:

 that the operator, signal person, and lift director (where there is one) met
to discuss the signals before beginning the hoisting operation, and

 that all parties agreed on the signals to be used.

Citation Policy

96
 d. § 1926.1419(c)(1). If standard hand signals are not being used, but would be
feasible under the circumstances, consider a citation for violation of
§ 1926.1419(c)(1).

e. § 1926.1419(c)(2). In cases where use of non-standard hand signals are

proper, if there was no pre-operation contact between the signal person,
operator, and lift director or there is disagreement as to the non-standard hand
signals that were used, consider a citation for violation of § 1926.1419(c)(2).

4. §1926.1419 (d). New Signals.

New signals are signals other than hand, voice or audible signals, and they are
permissible only if the employer demonstrates that:

 the new signals are at least as effective as voice, audible or hand signals
(§1926.1419(d)(1)), or

 the new signals comply with a national consensus standard that provides at
least equally effective communication as voice, audible or hand signals.

Inspection Guidance

a. If signal persons are observed using signals other than hand, voice or audible
signals, determine through observation and interview what system is being
employed (e.g., flag signals) and whether the system effectively conveys the
necessary signals.

 Ask the signal person and operator to explain the signal system being used
and why the signal person and operator chose to use this system to
determine whether it is effective and whether both signal person and
operator have the same understanding of the system.

 Ask the signal person and operator if there are any written materials on
site containing the employer’s policy on what signals should be given, or
if the signals are derived from a consensus standard, a copy of the
consensus standard or other source of the signals given.

 Ask the operator if he or she could receive and understand the signals.

Citation Policy

b. § 1926.1419(d). To comply with § 1926.1419(d), the burden is on the

employer to demonstrate that one of the options under § 1926.1419(d) has
been satisfied. If a new signal is not at least as effective as hand, voice, or
audible signals, consider a citation for violation of § 1926.1419(d).

97
5. § 1926.1419(e) requires that signals used and means of transmitting them must be
appropriate for site conditions.

Inspection Guidance

a. Observe the site for obstructions (e.g., visual or audible interference) which
might impact the transmitting of signals.

b. Ask the operator if he or she could clearly understand the signals given.

Citation Policy

c. § 1926.1419(e). If the signals used or the means of transmitting the signals

(line of sight, video, radio, etc.) are not appropriate to the site conditions,
consider a citation for violation of § 1926.1419(e).

6. § 1926.1419(f). The employer must ensure that the operator safely stops
operations if the ability to transmit signals between the operator and the signal
person is compromised or interrupted, and operations must remain stopped until
the ability to transmit signals is reestablished and a proper signal is given and
understood.

Inspection Guidance

a. If it appears that the ability to transmit signals between the operator and the
signal person was interrupted due to visual or audible disturbance, interview
the operator and signal person to determine whether the operator understood
the signals that the signal person was giving.

b. If the operator and signal person did not understand one another, ask the
operator why he or she did not stop operations.

c. If there is a halt in operations, and operations subsequently resume without

communication between the operator and signal person or a proper signal,
interview the operator and signal person to determine why operations were
halted and why they were resumed.

Citation Policy

d. § 1926.1419(f). Consider a citation for violation of § 1926.1419(f) if an

interruption of signals is observed and the operator fails to stop operations, or
if a halt in operations is observed, due to signal interruption, and operations
resume without a proper signal. The AVD should specify the circumstances
giving rise to the citation to ensure that the employer has adequate notice (i.e.
failure to stop or failure to properly resume operations). If the citation is for
failure to stop operations, group the citation with § 1926.1400(f).

98
7. § 1926.1419(g). Under § 1926.1419(g), if the operator becomes aware of a safety
problem and needs to communicate with the signal person, the operator must
safely stop operations until the operator and signal person agree that the problem
is resolved. In addition, under 1926.1417(y), the operator is required to obey a
stop or emergency stop signal given by another person. See the Operation and
Authority to Stop section in this directive for additional guidance regarding
citations of § 1926.1417(y). If the operator does not stop, group this citation with
§ 1926.1400(f).

Inspection Guidance

a. If a Compliance Officer becomes aware of a safety problem, or an accident

has occurred, determine whether operations were stopped.

 An example of a safety problem would be if the signal person signals to

the operator to lower the load, but the operator sees that an employee has
moved under the load, the operator would have to stop and communicate
the hazard to the signal person.

 Another example is where the signal person gives a hand signal but it
appears to the operator that the signal person is using the wrong signal.
The operator would be required to stop and communicate with the signal
person to resolve the problem.

b. If a halt in operations is observed, and then work resumes without

communication between the operator and signal person, interview the operator
and signal person to determine why operations were halted and why they were
resumed.

Citation Policy

c. § 1926.1419(g). Consider a citation for violation of § 1926.1419(g) (1) if a

safety problem that requires communication between the operator and signal
person occurred, but the operator fails to stop operations, or (2) if a halt in
operations due to a safety problem is observed and then operations resume
without a proper signal. The AVD should specify the circumstances giving
rise to the citation (i.e. failure to stop or failure to properly resume
operations).

8. § 1926.1419(h). Only one person may give signals to a crane or derrick at a time,
unless one person is alerting the operator of a safety problem while another
person is giving a signal.

Inspection Guidance

a. Observe the operation of the equipment and interview the operator to

determine who is giving signals, and whether multiple people are giving
signals.
99
 b. If multiple employees are observed giving signals, assess the following:

 Which employee was designated to give signals during that hoisting

operation?

 Why did multiple people give signals?

 Was one of the signals a stop or emergency stop signal? If so, did the
operator stop?

 Did a safety problem occur during operations?

Citation Policy

c. § 1926.1419(h). If more than one person at a time is observed giving signals

to the operator but none of them are alerting the operator of a safety problem,
consider a citation for violation of § 1926.1419(h).

9. § 1926.1419(j). Anyone who becomes aware of a safety problem must alert the
operator or signal person by giving the stop or emergency stop signal. The
operator is required to obey a stop or emergency stop signal under
§ 1926.1417(y). See section covering Operation and Authority to Stop in this
directive for additional guidance regarding citations of § 1926.1417(y).

Inspection Guidance

a. If a Compliance Officer becomes aware of a safety problem or an accident has

occurred, but the operator did not stop operations, determine whether a stop or
emergency signal was given by any employee.

b. If no stop or emergency stop signal was given, determine whether other

employees were aware of the safety problem.

c. If persons are observed alerting the operator to stop and the operator neglects
such signals, interview the operator to determine the reason for not stopping
operations.

Citation Policy

d. § 1926.1419(j). If a safety problem occurred and an employee was aware of

the safety problem but failed to give a stop or emergency stop signal to the
operator, consider a citation for violation of § 1926.1419(j).

10. § 1926.1419(k). All directions given to the operator by the signal person must be
given from the operator’s direction perspective. This means that the signal person
must give signals as if he or she was sitting in the operator’s seat and facing the
same direction as the operator.

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 Inspection Guidance

a. Observe the hoisting operation for indications of problems with

communication between the operator and signal person such as:

 the operator having to stop to verify what the signals mean, or

 the operator appearing to question the safety of the actions that she or he
has been signaled to perform.

b. Observe signals given, or listen to voice commands if they can be heard, to

verify that the signals are being given from the operator’s
direction/perspective and interview the operator to confirm.

Citation Policy

c. § 1926.1419(k). If directions are being given from other than the operator’s
direction/perspective, consider a citation for violation of § 1926.1419(k).

11. § 1926.1419(m). If a signal person is in communication with more than one crane
or derrick, a system must be used for identifying which piece of equipment each
signal is for. That system must be at least as effective as § 1926.1419(m)(1),
which permits the signal person to identify the crane/derrick the signal is for prior
to giving the signal.

Inspection Guidance

a. Observe equipment operations to determine whether the same signal person is

communicating with multiple pieces of equipment.

b. Observe the operation for indications that a system is being used to distinguish
the signals given to various pieces of equipment and verify that a system has
been implemented through interviews.

Citation Policy

c. § 1926.1419(m). If signals for multiple pieces of equipment are given by one

signal person, but no system is used for distinguishing between equipment, or
a system is used which is not as effective as the system in § 1926.1419(m)(1),
consider a citation for violation of § 1926.1419(m).

K. § 1926.1420. Radio, telephone or other electronic transmission of signals.

Inspection Guidance

a. Verify by observation of operations and interviews with the crane operator,

signal person and/or lift director that the following requirements under this
section are met:
101
  that devices were tested prior to operations to ensure that transmission is
effective, clear and reliable, in accord with § 1926.1420(a),

 that signal transmission is through a dedicated channel unless there are

multiple cranes, derricks or signal persons or the crane is operated on or
around railroad tracks and coordinated with equipment on the tracks, in
accord with § 1926.1420(b), and

Dedicated Channel: a line of communication assigned by the employer who

controls the communication system to only one signal person and crane/derrick or
to a coordinated group of cranes/derricks/signal person(s).

- Use of a dedicated channel ensures that the operator and signal person are not
interrupted or confused by users performing other tasks or by instructions not
intended for them.

 that the operator uses a hands-free system for receiving the transmission of
electronic signals, in accord with § 1026.1420(c). A hands-free system is a
system that does not require the operator to depress a button, manipulate a
switch, or take any action to receive the incoming signal.

b. Transmission of an electronic signal that is not clear, effective, or reliable

could pose a significant hazard, and such transmission would generally not
meet the “effective” requirement under § 1926.1420(a). Some issues that may
affect signal efficacy include static, time delay, and dropped signals.

Citation Policy

c. §§ 1926.1420(a) through (c). Consider a citation for violation of:

 § 1926.1420(a), if devices were not tested before operations,

 § 1926.1420(b), if signals are not being transmitted through a dedicated

channel and the exceptions are not applicable, and/or

 § 1926.1420(c), if the operator uses a non-hands-free system to receive

signals.

L. §1926.1421. Voice signals—additional requirements.

1. §§ 1926.1421(a) through (c). This section contains supplemental requirements

for voice signals.

Inspection Guidance

a. When possible, listen to voice signals being given on site. Verify by

observation of operations with voice signals and interviews of the operator,

102
 signal person and/or lift director it the following requirements under this
section were met:

 that voice signals were agreed upon by the operator, signal person, and lift
director before operations began and whenever another worker was added
or substituted during an operation, in accord with § 1926.1421(a),

 that each voice signal contains the following three elements in that order:
(1) function (such as “hoist,” “boom,” etc.) and direction, (2) distance
and/or speed, and (3) function, then stop command, in accord with
§ 1926.1421(b), and

 that the operator, signal person and lift director are able to effectively
communicate in the language the signals are given in, in accord with
§ 1926.1421(c).

b. An example of a proper voice signal would be: “hoist up; 10 feet; hoist stop.”
Actual words used may vary, but the order of the signals given must remain
consistent under § 1926.1421(b).

c. Observation of any misunderstandings or miscommunications between parties

involved in the operation may suggest that one or more of these requirements
has not been satisfied.

Citation Policy:

d. § 1926.1421(a) through (c). Consider a citation for violation of:

 § 1926.1421(a), if the operator, signal person and lift director do not share
the same understanding of what voice signals should be used,

 § 1926.1421(b), if voice signals do not contain the proper elements in the

proper order, and/or

 § 1926.1421(c), if the operator, signal person and lift director are not able
to communicate effectively in the language signals are given in.

M. §1926.1422. Signals—hand signal chart.

1. § 1926.1422. Hand signal charts must be on the equipment or conspicuously

posted near hoisting operations.

Inspection Guidance

a. Visually inspect the equipment and worksite to ensure that there is a hand
signal chart visible (usually on the crane), and that the chart is legible and not
too weathered.

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 b. If the hand signal chart is not readily visible, ask the employer where it is
located.

Citation Policy

c. § 1926.1422. If there is no hand signal chart, the chart is not posted on

equipment or near hoisting operations, or the chart is illegible, consider a
citation for violation of § 1926.1422.

N. §1926.1423—Fall Protection.

This section covers fall protection requirements that are applicable to equipment
covered by Subpart CC. This section outlines two important changes from the old
Subpart N:

• new requirements for determining adequate anchorage points on the

equipment, and

• using the load line as an anchor for fall protection/restraint systems. This
section also clarifies that fall protection equipment is not required when an
employee is at or near the draw-works (when equipment is running), in the
cab, or on the deck.

Fall Protection Equipment: guardrail systems, safety net systems, personal fall arrest
systems, positioning device systems or fall restraint systems.

Personal fall arrest system (PFAS): a system used to arrest an employee in a fall from
a working level. It consists of an anchorage, connectors, and a body harness, and may
also include a lanyard, deceleration device, lifeline, or suitable combination of these
things.

1. §1926.1423(a). Application.

Inspection Guidance
a. If tower cranes are present, note that only the fall protection requirements of
paragraphs (c)(1), (c)(2), (c)(4), (d), (g), (h), (j), and (k) of § 1926.1423 apply
to tower cranes.

Paragraphs (b), (c)(1), (c)(2),(c)(3), (d), (e), (f),(g), (j), and (k) of § 1926.1423
apply to all other equipment covered by Subpart CC.
b. Visually inspect the worksite, observe the hoisting operations (when possible),
and interview the employer, operator, lift director (if any), maintenance
personnel, and crew members to determine when and where employees must
work at elevated locations on the equipment. Fall protection requirements

104
 vary depending on the elevation; therefore, it is critical to determine and
document the elevations at which employees are working.

Citation Policy
c. § 1926.1423(a)(1). This provision should not be cited, as it only establishes
the scope for the application of the requirements of §§ 1926.1423(b) through
(k).

3. §§ 1926.1423(b) and (c). Boom Walkways, Steps, Handholds, Ladders,

Grabrails, Guardrails, and Railings.
This paragraph requires equipment manufactured after November 8, 2011 to be
equipped:

 with walkways on lattice booms when the vertical profile of the boom from
cord centerline to cord centerline is 6 or more feet.

 to provide safe access and egress between the ground and the operator work
station(s), including the forward and rear positions, by the provisions of such
devices as steps, handholds, ladders, guardrails and railings.

Inspection Guidance
a. Verify and document the manufacturing date of the equipment in use.

b. Visually inspect the equipment to determine if it is equipped with a lattice

boom and document by camera or video (when possible) the configuration
and condition of the boom. When equipped with walkways, and where there is
access to the boom for inspection, document the condition of observed
walkways, handrails, steps, guardrails, ladders, etc.

c. It is recommended that the employer be asked to lower the boom of the

equipment only after consulting with the Area Office about any concerns
regarding the condition of the boom and its configuration. Arrange a time with
the employer to have the boom safely lowered for inspection purposes.

When the boom of the equipment is not down, examine design specifications
of the walkway system possibly in the operator’s manual and/or available
maintenance manuals. In addition to the review of the manuals, verify from
the operator, employer, and/or maintenance personnel that the walkway
system on the equipment is the same as specified in the manuals.
d. When possible, observe how the operator accesses and egresses the work
station and document when it appears that devices such as steps, handholds,
ladders, guardrails and railings are needed to aid the operator’s movement on
the equipment. Review of the operations manual may provide

105
 recommendations regarding how to safely access and egress the operator work
station of equipment, as well as the devices that were provided by the
manufacturer to facilitate safe access and egress.

In situations where replacement parts have been used, document any instances
where devices are missing or have not been properly maintained.
e. Under conditions when it appears that the work station cannot be safely
accessed and egressed, ask the employer to describe why the required
safeguards or devices were not provided and document explanations regarding
the feasibility of providing these safeguards or devices.

f. Visually inspect the lattice boom to determine if it is supported by pendants or

bars, and when the boom is lowered and there is access for compliance
inspection purposes:

 measure and document the: width of the walkway, height of the guardrails
and/or handrails, distance between rungs if bent, broken, or missing, fall
distances from work positions on the equipment, cord widths, and brace
dimensions, and take any other measurements necessary to verify the
employer’s compliance with § 1926.1423(c).

 visually inspect the guardrails, railings, and other fall protection

attachments to verify that they are permanently attached to the equipment.
This information may also be obtained from interviews with the operator,
lift crew members, and maintenance personnel. For example, the operator
or one of the workers may be responsible for putting up or taking down
removable attachments. Document when the attachments are removable.

 document any evidence that would indicate that guardrails, railings, or

permanent fall protection attachments can or have already snagged a
pendant or bar, including interviews with the operator, lift crew members,
and maintenance personnel. Guardrails, railings, and other permanent fall
protection attachments are prohibited in situations where fall protection
attachments can snag a pendant.
Citation Policy

g. §§ 1926.1423(b)(1)(ii)(A) and (c)(1). Paragraphs (b)(1)(ii)(A) and (c)(1) of

§ 1926.1423 should not be cited because they only inform the employer that
guardrails/railings/and other permanent fall protection attachments are not
required along walkways, and that the “duty to have” provisions of
§ 1926.501(b) do not apply to equipment covered by Subpart CC.

h. § 1926.1423(b). Consider citations for violations of applicable requirements

of this provision when:

106
  boom walkways are required and the boom was not configured with a
walkway, or the walkway does not meet the requirements of
§ 1926.1423(b)(2)(i).

 guardrails, railings, and other permanent fall protection attachments are

used along a walkway under one of the conditions prohibited by
provisions of § 1926.1423(b)(2)(ii).

i. § 1926.1423(c). Consider citations for violations under this provision when

steps, handholds, ladders, grabrails, guardrails, and railings are needed to
facilitate safe access and access between the ground and the operator work
station/cab and the devices:

 were not provided;

 were provided but were missing; or

 were provided, but the requirements of § 1926.1423(c) were not met.

4. §1926.1423 (d) through (h). Personal Fall Arrest, Positioning Device, and Fall
Restraint Systems.
These paragraphs set forth requirements for when personal fall arrest systems,
positioning devices, or fall restraint must be used and the criteria that those
systems and their components must meet.

When Fall Protection Equipment Must Be Used By Workers While On the Equipment

Activity Trigger height for fall protection

Assembly/disassembly 15 feet
Tower cranes when erecting, 15 feet
climbing (jumping) or
dismantling
Non–assembly/disassembly 15 feet
when the lattice boom is at
horizontal*
Non–assembly/disassembly— 6 feet
non-lattice booms*
Non–assembly/disassembly 6 feet
when the lattice boom is not at
horizontal*
Tower cranes when not 6 feet
erecting, climbing (jumping),
or dismantling
*Applies both when moving point-to-point on a boom and when at a work
station on any part of the equipment.

107
a. Visually inspect the hoisting equipment, and identify and document (by
measurement, camera, or video) elevated areas of the equipment at which fall
protection must be used.

b. When possible, observe and document when employees were at elevated

locations or moving point to point on the equipment, to verify that workers are
using fall protection equipment in accord with the requirements of
§§ 1926.1423(e) and (h). Information needed to make this verification can
also be obtained from interviews with the employer, lift crew members, lift
director (if available), maintenance personnel, operator, and inspectors (if
available). Use trigger heights (chart above) to determine what fall protection
requirements apply.

c. If workers were at elevated locations on the equipment without fall protection

equipment, take measurements of working surface and fall distances to lower
levels; document the employee locations and fall distances through video,
interviews with manufacturers (if necessary), copies of range diagrams, boom
angle, etc.

d. Visually inspect any fall protection systems available for use on the jobsite to
verify that they have been maintained in good condition, appear to be
compatible with the system’s other components and that they and their
components meet the requirements of § 1926.502(d), except the system
anchorage requirements of §§ 1926.502(d)(15) and (e)(2) are not applicable.
However, the requirements of §§ 1926.502(d)(15) and (e)(2) are used as
references for a competent person when considering the suitability of a
substantial part of the crane as a possible anchorage for a fall protection
system.

Typically, the specifications of fall protection equipment can be obtained from

information provided by the equipment manufacturer, such as user’s guides.
Locate and use identifiers on the fall protection equipment, such as model
numbers, and capacity ratings to verify that the equipment is being used
properly in accord with information provided by the manufacturer or other
qualified individuals.

e. When fall protection equipment has been anchored to parts of the crane,
identify the competent person who determined that the anchorage would be
sufficient. If possible, interview the competent person to verify the
individual’s expertise regarding the subject matter and to obtain and document
a description of how the competent person made this determination.

Citation Policy

108
 f. § 1926.1423(d). When the use of a personal fall arrest or fall restraint system
is required and the employer did not meet the requirements of a
§ 1926.502(d), consider a citation of § 1926.1423(d). The AVD should also
identify what requirement of § 1926.502(d) was violated.

g. §§ 1926.1423(e) and (f).When fall protection equipment was not used, on

equipment other than a tower crane, under one of the conditions specified in
§§ 1926.1423(e) or (f), consider citations for violations of applicable
provisions of §§ 1926.1423(e) and (f).

h. § 1926.1423(g). When the use of fall protection equipment was required and
its anchorage did not meet the requirement § 1926.1423(g), consider citations
for violations of applicable provisions of § 1926.1423(g). The AVD should
also describe what provision of § 1926.502(d)(15) or § 1926.502(e)(2) the
competent person knew or should have known the anchorage would not meet.

i. § 1926.1423(h). When fall protection equipment was not used on a tower

crane under one of the conditions specified in § 1926.1423(h), consider
citations for violations of applicable provisions of § 1926.1423(h).

5. §1926.1423 (j). Anchoring to the Load Line.

This paragraph specifies the conditions under which fall protection equipment can
be anchored safely to the load line of equipment covered by Subpart CC.

Inspection Guidance

a. When possible, observe the operation, or conduct interviews to determine and

document when a worker’s fall protection equipment is or was anchored to the
load line of hoisting equipment. When the workers are or were anchored to the
load line, verify and document:

 the location of the operator because he or she must be on the worksite

while the workers are anchored to the load line of the equipment;

 when and how the operator was notified that the equipment is being used
to anchor fall protection on the worksite;

 if other loads were also suspended from the load line when the workers
were also anchored to the load line;

 when employees are being hoisted by the load line and lanyard and the
employer has not met the requirements of § 1926.1431, Hoisting
Personnel.

109
 b. When fall protection equipment was used and anchored to the load line of
hoisting equipment, interview the employer, operator, and workers to identify
the qualified person who made the determinations required by
§ 1926.1423(j)(1).

c. Review any available documentation, and/or have the qualified person

describe, how the determination was made that the anchorage setup and rated
capacity met § 1926.1423(g)(2) (which refers to § 1926.502(d)(15) for 5,000
pound criteria). Document, or obtain a copy, of any information obtained
from the qualified person regarding this determination.

d. Interview the qualified person to verify the individual’s expertise and to

obtain and document a description of how the qualified person made this
determination.

Citation Policy

e. § 1926.1423(j). When fall protection equipment was anchored to the load line
and the requirements of § 1926.1423(j) were not met, consider citations for
violations of applicable provisions of § 1926.1423(j).

6. §1926.1423 (k). This provision specifies the training that must be provided to
workers who work at elevated locations on equipment covered by Subpart CC.

Inspection Guidance

a. Observe the actions of, and interview, individuals to verify that they were
trained to use required fall protection equipment in accord with the
requirements of § 1926.1423(k). Elements of §§ 1926.1423, 1926.500, and
1926.502 can be used to form questions that may obtain information regarding
their training.

Citation Policy

b. § 1926.1423(k). When the workers, who were at elevated locations on the

equipment and exposed to fall hazards specified by § 1926.1423, were not
trained in accord with the requirements of § 1926.1423(k), consider citations
for violations of applicable provisions of § 1926.1423(k)

O. § 1926.1424. Work Area Control.

Section 1926.1424 addresses the striking/pinching/crushing hazards associated with

rotating superstructures of equipment.

110
 Superstructure/upperworks means the revolving frame of equipment on which the operating
machinery (and in many cases the engine) are mounted along with the operator’s cab. The
counterweight is typically supported on the rear of the superstructure/upperworks and the boom or
other attachment is mounted on the front.

1. §§ 1926.1424(a)(1). Swing Radius Hazards.

The requirements of § 1926.1424(a) apply when there are accessible areas in

which the equipment’s rotating superstructure (whether permanently or
temporarily mounted) poses a reasonably foreseeable risk of:

 Striking and injuring an employee: or

 Pinching/crushing an employee against another part of the equipment or

another object.

When such equipment is used, the employer must meet the requirements of
§ 1926.1424(a)(2)

Inspection Guidance

a. Visually inspect, and observe the operation of, the equipment to determine
whether the equipment has a rotating superstructure that presents “reasonably
foreseeable” swing radius hazards in areas that are accessible to workers. If
so, document by camera/video any hazard areas around the equipment and any
signs, warning/control lines, railings, or similar barriers in those areas. This
information will also be used to verify the employer’s compliance with the
hazard area designation requirements of § 1926.1424(a)(2)(ii).

Reasonably Foreseeable

Examples illustrating the presence or absence of “reasonably foreseeable” swing radius

hazards:

Example #1: The bottom of the rear of the rotating superstructure is 12 feet above the ground. An
employee standing on the ground within that swing radius could not be struck by the rotating
superstructure since the rotating superstructure would swing well above him/her. There is nothing
within that area on which the employee could stand. In this example the area does not pose a
reasonably foreseeable risk of being struck or pinched/crushed.

Example #2: Same scenario as example #1 above, except that a truck with material that is to be
unloaded from its bed is within the swing radius. If an employee were to stand on the truck bed
the employee would be within the swing radius. In this example, there is a reasonably foreseeable
risk of an employee being stuck or pinched/crushed.

111
 Citation Policy

b. § 1926.1424(a)(1). This provision serves to establish the scope for the

application of the requirements of §§ 1926.1424(a)(1) through (b). It should
not be cited.
2. § 1926.1424(a)(2). Keeping Employees Out of Hazard Areas.
To prevent workers from entering swing hazard areas, employers must (A) train
workers to recognize swing radius hazards; and (B) erect and maintain a method
of demarcation around the perimeter of the hazard area.
Inspection Guidance
a. If a swing radius hazard area is determined to exist under § 1926.1424(a)(1),
verify whether all employees assigned to work on or near the equipment were
adequately trained on swing radius hazards.

b. Observe the actions of and interview individuals that were assigned to work
on or near the equipment, to verify if they were trained to protect themselves
from the hazard areas. When employees do not appear to recognize the barrier
around the hazard area, ask about their work actions and training.

c. Determine whether hazard areas around the equipment are demarcated by

barriers. If not, determine whether the employer demonstrated the infeasibility
of such barriers and clearly communicated the hazards via warning signs and
high visibility markings on the equipment, and trained workers to understand
the significance of those signs/markings. Document the employer’s rationale
for why barriers are infeasible and whether it considered any other alternative
safety procedures to protect employees.

Citation Policy:

d. § 1926.1424(a)(2). Consider a citation for violations of specific requirements

of this provision if equipment used exposed employees to a reasonably
foreseeable risk of striking, pinching, and/or crushing from the rotating
superstructure, and the employer did not meet the requirements of
§§ 1926.1424(a)(2)(i) and (a)(2)(ii).

When the employer claims that it was infeasible to erect and maintain
methods of demarcation around the perimeter of the hazard area, the AVD
must also explain if the employer’s rationale for infeasibility is deficient.

3. § 1926.1424(a)(3). Protecting Employees in the Hazard Areas.

This provision addresses hazards to employees working in the hazard area. It
requires employees, before entering a hazard area, to ensure that the equipment
operator is informed that they will be entering the hazard area. It also prohibits

112
employees with knowledge of the presence of workers in the hazard area from
rotating the superstructure until he/she is informed that they are in a safe position.

The method of communication between the equipment operator and workers in

the hazard area must be established before the workers enter the hazard area. If a
signal person is used to relay this information, he or she must been the
requirements of § 1926.1428.

Acceptable Communication Systems

Below are some examples of acceptable communication systems between equipment operators
and workers in the hazard area:

--use of a signal person who can give a prearranged “all clear” signal to the operator when the
hazard area is clear of workers

--use of portable air horns by the workers in the hazard area to signal the equipment operator when
it is safe to rotate the superstructure

Inspection Guidance

a. When there are accessible hazard areas around the equipment’s superstructure,
document when and under what conditions workers entered those areas and
what workers were doing while there. In addition, document the location of
hazard areas that are out of the view of the operator.

b. Interview the crew members, operator, lift director, and lift crew members to:

 determine whether the employer has established and enforced the use of
notification procedures when employees must go in the hazard areas out of
the view of the operator.

 obtain and document a description of the pre-arranged method of

communication, e.g., what was the method used and when was it
discussed?

Often there are indications that employees have entered hazard areas, such as
footprints in the mud or items in the areas like signaling flags, water coolers,
lunchboxes, gloves, jackets, helmets, tool boxes, etc. If such indications are
present, search for further evidence of employee presence in hazard areas.
Citation Policy

c. § 1926.1424(a)(3). Consider a citation of this provision if the employer fails

to establish and require use of procedures for notifying equipment operators of
the presence of workers in the hazard area and/or procedures for notifying
operators of workers exiting from the work area.
113
 Also consider a citation if an operator, with knowledge of the presence of
workers in the hazard area, rotates the equipment superstructure prior to
verifying that the employees are not in the zone of danger.
Note that although the specific language of § 1926.1424(a)(3) requires
employees entering the hazard area to provide notification, the employer is
ultimately responsible for ensuring that an effective system of communication
is established and followed by employees. If such a communication system is
not established and followed, consider citing the employer(s) under this
provision. Under this scenario, this citation should be grouped with a citation
of § 1926.1400(f).
4. § 1926.1424(b). Two or More Pieces of Equipment with Intersecting Working
Radii.

When multiple pieces of equipment are positioned and used so that they have
overlapping working radii, this provision requires the controlling entity to
institute a system that coordinates their activities. For example, meeting this
requirement would prevent: the equipment from colliding with one another; or the
striking, or pinching in between moving equipment, of workers who are within
the working radii of both pieces of equipment. In the absence of a controlling
entity on a work site, the employer(s) operating the equipment must institute such
a system.
Inspection Guidance
a. Refer to the Inspection Guidance provided above under § 1926.1402(c)
(Ground Conditions) of this directive for guidance on determining the
existence of a controlling entity on the work site.

b. Interview the employer, controlling employer (if there is one), the operator,
lift director (if there is one), and lift crew members, to determine which
employer is responsible for the operation of each piece of equipment in use at
the work site.

c. Determine whether the working radii of the equipment overlap by

documenting information on the distances between individual pieces of
equipment and working radii for each piece of equipment.
Citation Policy

d. § 1926.1424(b). When multiple cranes with overlapping work radii are

operated in the absence of a system to coordinate their operations, consider a
citation of § 1926.1424(b). If the construction site does not have a controlling
entity, consider citing the employer(s) operating equipment with intersecting
working radii.

114
P. § 1926.1425. Keeping Clear of the Load.

This section identifies the employees that may and may not be in the fall zone of the
load and under the lift routes of the loads that must be hoisted. The section also
outlines requirements on the location of employees during tilt-up and tilt-down
operations.

1. § 1926.1425(a). Hoisting Routes.

Inspection Guidance

Fall zone: the area (including but not limited to the area directly beneath the load) into
which it is reasonably foreseeable that partially or completely suspended materials could
accidently fall.

Directly under the load: applies when a part or all of an employee is partially or
completely directly beneath a suspended load.

a. Observe the hoisting operation and route to determine and document by

camera/video the construction activities that are being performed and where
the loads are being staged to be hoisted in support of the activities.

b. Note the types of loads suspended by the equipment and when and where
employees are in the fall zones of those loads. Look for other potential
hoisting routes and load staging areas that the employer could use that would
not put employees in the fall zone.

c. Interview the employer, operator, and lift supervisor (if any) and document
how and why the hoisting route was chosen and why the hoisting job could
not be done using a safer hoisting route and load staging area. Be sure to ask
about and document any hoisting-related local requirements, such as public
safety codes, that may limit the employer’s options for hoisting routes. Ask
why that particular hoisting route was chosen.

115
 Fall zone and Travel Path of the Load

When determining the size of a fall zone, the type of load being hoisted should be factored into this
consideration. For example, a solid load such as a concrete block, would have a much smaller fall
zone than a bundle of pipe or a tank of liquid should there be loss of control of the load, especially
when the load is moving. The hazard area is wherever the employee can be struck by the load.

Public Safety: Many, especially urban, construction sites may have relatively small footprints that
may be bound on all sides by roads, sidewalks with high vehicular and pedestrian traffic. Due to
the employer’s compliance with local and public safety requirements, it may not always be feasible
for the employer to provide a hoist route that does not fly any loads over the heads of employees
who are concentrated within the small footprint of the construction site to perform construction
activities. Therefore, where possible, hoisting routes must be used that minimize the exposure of
employees to hoisted loads to the extent consistent with public safety.

Citation Policy

d. § 1926.1425(a). Consider a citation of § 1926.1425(a) when an alternative

hoisting route could have been used that would have reduced the number of,
or eliminated employees that must be in the fall zone of a suspended load.

The AVD of the citation should describe how the hoisting route could have
been altered to better protect employees from the hazard of suspended loads.
2. §§ 1926.1425(b) through (d).Working within the Fall Zone and Rigging of the
Load.
This section specifies the only conditions (other than for tilt-up or tilt-down
operations) under which employees are allowed to be in the fall zone of a load
when the operator is not moving the load.
Inspection Guidance
a. Photograph and document when and where an observed hoisting activity
involves: tilt-up or tilt-down operations, the use of a concrete bucket; the
initial connection of the load to a component or structure; or a load that must
be hooked, guided, or unhooked. Note which employees were in the fall zone,
the extent of the exposure, and what they were doing while there.

Tilt-up or Tilt-down Operations: means raising/lowering a load from the

horizontal to vertical or vertical to horizontal.

b. Interview the crew members, employer, operator, and lift director (if any) to
document why employees are in the fall zone and to verify the employer’s
compliance with §§ 1926.1425(b) and (d).
c. When employees were in the fall zone to hook, unhook, receive, or guide
loads, document who did the rigging and verify whether the rigging was done
by a qualified rigger. See the Assembly/Disassembly section in this directive
116
 for the definition of qualified rigger and for guidance in assessing the
individual’s qualifications.

d. Determine through interviews, review of any available and relevant rigging

documentation (like a lift plan or special instructions from the rigger or a
manufacturer), or visual inspection of the rigging and load to determine the
employer’s compliance with the requirements of § 1926.1425(c). When
possible, video or photograph the rigging used.
Citation Policy
e. § 1926.1425(b). Consider a citation of § 1926.1425(b) when employees were
in the fall zone of a load that was suspended but not moving and the
employees were not:

 guiding, hooking, or unhooking a load,

 operating a concrete hopper or concrete bucket, or

 initially attaching the load to a component or structure.

Consider citations for violations of §§ 1926.701(d) and (e) when equipment

other than a crane or derrick is used to hoist a concrete bucket. Consider
citations for violations of § 1926.702(f) regarding the design of the concrete
bucket.

f. § 1926.1425(c). When an employee was in the fall zone of a load while

engaged in one of the activities specified in § 1926.1425(b) and a requirement
of § 1926.1425(c) was not met, consider a citation of the applicable
requirement of § 1926.1425(c).

g. § 1926.1425(d). When an employee was not needed to receive the load and
the employee was in the fall zone of the load, consider a citation of
§ 1926.1425(d).

3. § 1926.1425(e). Tilt-up and Tilt-down Operations.

This section prohibits any employee from being directly beneath the load during
the performance of tilt-up or tilt-down operations. In addition, this section limits
the employees who can be in the fall zone of this particular type of load to only
those who are essential to the performance of 3 specified operations. These
operations are:
 physically guiding the load;
 closely monitoring and giving instructions regarding the load’s movement; or

117
  Either detaching the load from, or initially attaching the load to, another
component or structure.
Inspection Guidance
a. Photograph and document when and where an observed hoisting is a tilt-up or
tilt-down operation. Note what employees were in the fall zone and what they
were doing while there.
b. Use any relevant information collected from inspection guidance discussed
above for the application of §§ 1926.1425(a) through (d) to help verify the
employer’s compliance with the requirements of § 1926.1425(e).
Citation Policy
c. § 1926.1425(e). When an employee was in the fall zone of a load while
engaged in tilt-up or tilt-down operations and the employee was either directly
under the load or not engaged in an activity specified in § 1926.1425(e)(2),
consider a citation of applicable requirements of § 1926.1425(e).

Q. § 1926.1426. Boom Free Fall and Controlled Load Lowering.

This section discusses requirements relating to free fall of the boom and load line.
Included are provisions addressing the prohibitions that apply if the equipment has a
boom that is designed to free fall, as well as some specified methods of preventing
free fall of the boom.

This section also addresses hazards related to the operation of hydraulic, telescoping
booms requiring an integrally mounted holding device to prevent the boom from
retracting if there is a hydraulic failure.

In addition, hazards related to free fall of the load line are addressed. Free falls are
prohibited under specified conditions.

1. §§ 1926.1426(a) and (b). Prohibitions and Prevention of Free Fall of the Boom.

Typically, equipment with boom mechanisms that have free fall capability (“live
booms”) are found on older friction cranes, derricks, and cranes designed for use
on barges.

Live booms on equipment manufactured on or after October 31, 1984 are not
permitted.

Paragraphs (a) and (b) of § 1926.1426 work in conjunction to allow older models
of equipment with live booms (manufactured before October 31, 1984) to be used
safely by restricting the equipment’s use to operations where none of the
following worksite conditions are present:

 When an employee is in the fall zone of the boom or load;

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 When an employee is being hoisted;

 When the load or boom is directly over or within Table A (1408) distance of
the power line including the radius of vertical travel of the boom/load ;

 When the load is over a shaft and employees are in the shaft;

 When the load is over a cofferdam and an employee is in the fall zone of the
boom/load; and

 During lifting operations at a refinery or tank farm.

Under these conditions, free fall of the boom is prohibited when loads are hoisted
with equipment (manufactured before October 31, 1984) unless the equipment is
equipped with the secondary braking mechanisms/devices listed in
§§ 1926.1426(b)(1) to (4).

Inspection Guidance

a. Determine the date of manufacture of the equipment from operating manuals,

equipment identification labels, or other identification sources. The key
determination is whether the equipment was manufactured (1) before October
31, 1984, or (2) on or after that date. This information will be relevant to the
employer’s compliance with § 1926.1426.

b. Observe the performance of hoisting operations if possible and document

whether equipment with a live boom has been used in any of the six
prohibited situations listed above.

c. When operation of the equipment is observed in proximity to an overhead

power line, be sure to photograph/video and document all measurements
necessary to determine boom and load fall radius and Table A clearance
distances, including the equipment’s position relative to the power line, boom
length, load dimensions, power line height, and power line voltage. This
information will be used to verify the employer’s compliance with Table A
clearance distances and § 1926.1426(a)(2).

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 Calculating Boom and Load Fall Radius

When calculating the boom radius, consider both the vertical fall radius as well as a potential
swing radius equal to the length of the boom itself when measured from the pivot point at center
pin. When the pivot point of the equipment is not obvious, it can be determined through review
of the operations/service manuals or by asking the operator, maintenance personnel, or employer.

When calculating load fall radius, this would be a similar calculation to the “Fall Zone” as
identified in § 1926.1425. The fall zone depends on the load itself. A bundle of pipe or vessel
full of liquid would have a much larger fall zone than a single block of concrete.

d. When equipment with a live boom is used to move loads over a shaft,
document when employees were present in the shaft during lifts.

e. When equipment with a live boom is used to move a load over a cofferdam,
document if employees are present in the cofferdam during lifts and for how
long. However, note that there is no violation of § 1926.1426(a)(2) except
when the employees in the cofferdam were in the actual fall zone of the boom
or load.

f. When a worksite condition specified in § 1926.1426(a)(1) exists:

 if the live boom has a friction drum, verify by visual inspection, employee
interviews, and/or equipment manuals that there is a friction clutch and a
braking device, plus a secondary braking or locking device.

 if the live boom has hydraulic drums, verify by visual inspection,

employee interviews, and/or equipment manuals that the hydraulic drums
have an integrally mounted holding device or internal static brake.

 if the live boom has hydraulic boom cylinders, verify by visual inspection,
employee interviews, and/or equipment manuals that all hydraulic boom
cylinders have an integrally mounted holding devices.

NOTE: Neither clutches nor hydraulic motors are considered to be braking or

locking devices for purposes of this Subpart.

Citation Policy:

g. § 1926.1426(a)(2). Consider a citation for violation of § 1926.1426(a)(2)

when a load was hoisted using equipment:

 with a live boom (manufactured before October 31, 1984),

 under any of the six prohibited conditions listed under

§§1926.1426(a)(1)(i)-(a)(1)(vi), and
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  that is not a floating crane/derrick or land crane/derrick on a
vessel/floating device.

The AVD of the citation should list the specific conditions in paragraphs
(a)(1)(i) through (a)(1)(vi) of § 1926.1426 that existed when free fall of the
boom occurred.
2. § 1926.1426(c). Preventing Uncontrolled Retraction.

Hydraulic Telescoping Booms (also known as “hydraulic extensible booms”) are

required to have an integrally mounted holding device to prevent boom retraction
in the event of a hydraulic failure. An integrally mounted holding device (such as
a load hold check valve) is designed to prevent retraction of the boom in the event
of catastrophic hydraulic failure, such as a supply hose rupture. It is not designed
to prevent retractions caused by minor systemic fluctuations in the hydraulic
system caused by temperature changes.
Inspection Guidance

a. Through visual inspection, operating manuals, and interviews, determine if the

equipment is configured with a hydraulic, telescoping boom.

b. If equipped with a hydraulic, telescoping boom, through visual inspection,

determine if the boom is equipped with the required holding device. If the
presence of the device is not apparent, review the operating manual,
manufacturer’s equipment specifications, and interview the employer,
operator, or available maintenance personnel to verify. For example, the
employer can be asked for a copy of any available documentation of tests
performed to confirm the operation of this device.

Citation Policy

c. § 1926.1426(c). Consider a citation of § 1926.1426(c) if the hydraulic

telescoping boom does not have an integrally mounted holding device.

3. § 1926.1426(d). Load Line Free Fall.

Load line Free Fall: Where only the brake is used to regulate the descent of the load line
(the drive mechanism is not used to drive the load down faster or retard its lowering).

Controlled Load Lowering: Lowering a load by means of a mechanical hoist drum device
that allows a hoisted load to be lowered with maximum control using the gear train or
hydraulic components of the hoist mechanism; requires the use of the hoist drive motor,
rather than the load hoist brake, to lower the load.

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Controlled lowering of the load line is required and free fall of the load is not
allowed under the following worksite conditions:

 When an employee is directly under the load;

 When an employee is being hoisted;

 When the load or boom is directly over or within Table A (§ 1926.1408)

distance of the power line including the radius of vertical travel of the
boom/load;

 When the load is over an occupied shaft;

 When the load is over a cofferdam and employees are in the fall zone of the
load.

Inspection Guidance

a. Observe the operation of the equipment and interview the operator, and/or use
camera/video equipment when loads are permitted to free fall in any of the
five situations listed above. If using video, maximize audio gain to capture the
presence or absence of hoist drive motor sounds. Absence of hoist drive motor
sounds may indicate a free fall of the boom or load.

b. When operation of the equipment with load line free fall is observed in
proximity to a power line, be sure to photograph/video and document all
measurements necessary to determine boom and load fall radius and Table A
clearance distances, including the equipment’s position relative to the power
line, boom length, load dimensions, power line height, and power line voltage.
This information will be used to verify the employer’s compliance with Table
A clearances distances and § 1926.1426(a)(2).

c. When equipment is observed being used to move a load over a cofferdam,

document whenever employees were present in the cofferdam. However, note
that there is no violation of § 1926.1426(d)(5) except when the employees in
the cofferdam were actually in the fall zone and load line free fall was used.

Citation Policy:

d. § 1926.1426(d). Consider citations for violations of applicable requirements

of 1926.1426(d) when a free fall of the load occurred under one of the
conditions specified in §§ 1926.1426(d)(1)-(5).

The AVD of the citation should list the specific condition in paragraphs (d)(1)
through (d)(5) of § 1926.1426 that existed when free fall of the load line
occurred.

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§ 1926.1427. Operator Training, Certification, and Evaluation.

1. § 1926.1427(a). General Requirements for Operator Competency

Operator Competency

Overall, the employer must ensure that each operator is:

Trained AND certified/licensed AND evaluated in accordance with this
section, OR
The operator must be continuously supervised in compliance with
operator-in-training requirements of subpart CC
Exceptions:
 When the equipment operated is excluded from the crane rule by § 1926.1400,
including
o When digger derricks are used to perform pole work in telecommunications
work and pole/substation construction work in power distribution and
transmission work (see § 1926.1400(c)(4))
o Material delivery (see §1926.1400(c)(17)

 When an employee of the U.S. military (not including contractors) has been qualified
by the U.S. Military
o This qualification is valid only where the operator is employed by the U.S.
Military and performing work for that employer.
 When the following equipment is operated (see § 1926.1427(a)(3)):
- Derricks (§ 1926.1436);
- Sideboom cranes (§ 1926.1440); or
- Equipment with a maximum manufacturer-rated hoisting/lifting capacity of 2,000
pounds or less (§ 1926.1441).

OSHA’s crane operator requirements allow employers flexibility in how they ensure the
competency of their operators but provide some specificity in the kinds of information that
construction employers commonly assess when making determinations about the operator’s
knowledge and abilities.

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 Crane Operator Development:
There is no particular order in which an employer must comply with certification and
evaluation requirements for crane operators. For example:
• Inexperienced Operators can be- Trained → Certified → Evaluated
• Inexperienced Operators can be- Trained → Evaluated → Certified
• Experienced Operators can be- Hired Already Trained → Evaluated → Certified
• Experienced Operators can be- Hired Already Trained → Certified → Evaluated
• Certified Operators can be- Hired Already Certified → Trained → Evaluated
* Provided by the employer (in bold)

** Additional training and evaluation is required when the operator needs new knowledge or skills to
operate different equipment or complete new tasks

Frequently used Terms that are not Explicitly Defined

 “Operator-in-training” is an employee not fully trained, certified/licensed and

evaluated to operate assigned equipment. An operator-in-training may operate
assigned equipment under supervision in accordance with § 1926.1427(b).

 “Certification/certified” is the term used in § 1926.1427 to describe an operator who

has passed a written and practical exam administered by an accredited testing
organization (§ 1926.1427(d)) or an auditor certified to evaluate such exams (§
1926.1427(e)). The operator is certified for the duration specified on the certification
for a maximum of five years. An operator whose certification has expired or been
revoked is no longer certified.

 “Licensing/licensed” is the term used in § 1926.1427 to describe an operator who is

licensed by a state or local government through a process that meets the minimum
“federal floor” criteria set out in the crane standard (§ 1926.1427(c)(1)).

 “Qualification” is the term used in § 1926.1427 when an operator is approved by the

U.S. military (§ 1926.1427(a)(3)) (limited to employees of the Department of Defense
or Armed Forces). OSHA defers to the operator qualification process of the U.S.
Military.

 “Accredited by a nationally recognized accrediting agency” refers to the process of

validating the testing procedures used by a certification testing organization. ANSI
and NCCA are examples of a nationally recognized accrediting agency. Although
accrediting agencies post on their websites the programs that they accredit, if you
have questions about whether a certification is issued by a properly accredited
organization, please contact the national office.

Multi-purpose machines and §1926.1427 - Operators of multi-purpose machines must be trained,

certified, and evaluated in accordance with this standard when these machines are configured and
used as equipment covered by the standard. For example, some manufacturers market
124
equipment as meeting both the applicable consensus standards for cranes and aerial lifts but only
for a particular range of the equipment’s load charts. When the employer configures and uses the
equipment like a crane (to hoist and lower, by means of a winch or hook, and horizontally move
a suspended load), the employer must meet all requirements of the crane rule, including operator
training, certification/licensing and evaluation requirements. When there are concerns about the
equipment’s configuration, condition, or use during a compliance inspection or incident
investigation, the Compliance Officer should conduct interviews of the employer, the
operator(s), employees working with the crane, and, if available, the trainer(s), lift director(s),
and site supervisor(s). To ensure that the employer is complying with the manufacturer’s
recommendations, which may include operation, it may be necessary for the Compliance Officer
to contact the manufacturer or rental company to obtain additional information related to the
crane’s configuration and use.

Multi-Employer Worksites and Contracts - The crane standard specifies minimum duties of
controlling employers (see 1926.1402 and 1926.1424), but is not intended to discourage
controlling employers from continuing to implement additional measures that have been
determined effective for ensuring crane safety at their jobsites. Please refer to the analyses
provided in the Multi-Employer Citation Policy, CPL 02-00-124, for additional guidance.

On multi-employer worksites where a crane operator could expose employees of other

employers to hazards from the operation of that equipment:

 Controlling contractors must exercise reasonable care to prevent and detect violations
of the crane standard at the construction site (it should already be a customary work
practice for controlling employers to obtain some information from employers on their
construction sites about their overall safety programs and to confirm that crane
operators are trained and qualified to do the work they will perform).
 Controlling contractors assume a heightened duty to monitor an operator who is
allowed on the site without providing evidence that the operator has been
certified/licensed and evaluated in accordance with the crane standard. For example,
when employees could be exposed to hazards of crane operation by an
uncertified/unlicensed self-employed crane operator not required to comply with
OSHA standards, the controlling contractor would need to observe the operation of the
crane to ensure that the uncertified/unlicensed operator is not lifting loads over
employees at the site or operating too close to power lines that could electrocute an
employee if disturbed.
 If the controlling contractor informs the other employers on the site that the crane
operator has not provided evidence of certification/licensing, each employer could
then take appropriate measures to ensure the safety of its own employees to fulfill its
duties as an exposing employer.
 Employers at the worksite other than the worker’s employer may share obligations
regarding the safe operation of cranes as creating and being able to correct conditions
when crane operators are not trained, certified, or evaluated as required but are still
allowed to operate cranes on construction sites. In addition to an analysis of the
Darden factors to determine whether an employer/employee relationship exists,
contracts between employers should also be reviewed at multi-employer sites to
determine corresponding safety and health responsibilities.
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 Inspection Guidance
Documentation of Operator Qualifications
a. Typically, Compliance Officers inspect cranes and interview crane operators as part of
broader programmed inspections of construction worksites, inspections triggered by
observed violations of the crane standard (including referrals and complaints), incident
investigations, or because of a crane hazard emphasis program.
Compliance Officers should request the following crane operator documentation,
which may be in hard copy or electronic form:
 A license or certificate (§ 1926.1427(c) and (d)); and
 Documentation of the operator’s evaluation(s) (§ 1926.1427(f))
Absent safety concerns about the condition of a crane, its set-up, operation, or the
tasks for which it is being operated, this documentation should be sufficient to confirm
the employer’s compliance with the requirements of § 1926.1427(a).
b. If unsafe operation or the condition of a crane causes a Compliance Officer to have
concerns about the competency of the crane operator, they should document any unsafe
operations or conditions and conduct interviews of the crane operator(s), employer, and if
available, trainers, hoist director and hoist crews to verify the qualifications of the
operator(s).
c. If an operator lacks the required documentation for licensing/certification or evaluation,
the Compliance Officer should interview the employer and document the operator’s
explanation regarding the reason for the lack of documentation. The employer’s and
operator’s statements should also be noted regarding whether the operator has in fact
been licensed/certified and evaluated for any specific equipment or tasks. In some cases,
the operator has been trained, certified, and evaluated on some equipment or tasks, but
not for the operator’s current equipment or task.
If an operator lacks the required documentation for licensing/certification or evaluation,
the Compliance Officer should determine if the operator is an operator-in-training and, if
so, the name of the trainer who is providing continuous supervision and his/her employer
and trainer qualifications.
NOTE: For more specific inspection guidance and citation policy, the Compliance
Officer shall refer to the Field Operations Manual and other sections of this directive
regarding specific requirements for crane operator training, certification/licensing, and
evaluation.
Citation Policy
d. § 1926.1427(a). When an employer has not provided training, a required
certification/license, or conducted an evaluation, and has not attempted to meet
operator-in-training requirements, consider a citation for a violation of § 1926.1427(a).
e. § 1926.1427(a). When an employer has tried and failed to meet the training,
certification/licensing, or evaluation requirements, and has not attempted to meet
operator-in-training requirements, consider a citation for a violation of § 1926.1427(a)
grouped with citations for violations of particular requirements of § 1926.1427(b) –
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 training, § 1926.1427(c)- state or local licensing, (d)- accredited certification, (e)-
audited employer program and certification, (f)- operator evaluation, and (h)(1)-
language and literacy.
f. § 1926.1427(a)(1). When an operator-in-training operates equipment but the employer
did not meet all requirements of § 1926.1427(b), consider a citation for a violation of §
1926.1427(a)(1) grouped with citations for violations of particular requirements of §
1926.1427(b).
g. § 1926.1427(a)(2). Do not cite this provision because it is only information about an
exception to the requirements of § 1926.1427.
NOTE: A safety violation related to the crane does not necessarily mean there is a
violation of these requirements.
2. §1926.1427(b). Operator-in-training
Purpose: Compliance with this section allows an employee to continue operating cranes
when an employee is not yet certified/licensed or evaluated as required, but in such cases
the operation must be under supervision of a trainer.

Note on continuous cycle of training, certification, and evaluation: Operators who

are sufficiently trained (commonly referred to as “experienced”) in accordance with this
subpart are still considered operators-in-training until they are certified/licensed and pass
an evaluation by the employer. Even then, these operators would again assume operator-
in-training status with respect to new equipment or tasks that require new skills,
knowledge, or the ability to recognize and avert risk, necessary to operate particular
equipment safely for the assigned task. However, the employee still may operate the new
equipment or perform new tasks as an operator-in-training under supervision in
accordance with § 1926.1427(b) until they have been trained and evaluated on those new
knowledge, skills, and abilities. Additional certification is required each time an operator
switches to a different type of crane, so operators who switch types of cranes may assume
an operator-in-training status pending the applicable new certification. As changes in
equipment and operating activities require different or higher levels of crane operating
knowledge, skills, and abilities, employers must provide additional training to address
these needs of the operator. The training may be limited to address only the aspects of
crane knowledge and operating competency in which the operator lacks.

 Training requirements and the operator-in-training limitations are described in §

1926.1427(b). The operator may only assign tasks within the operator-in-training’s
ability, and only a certified/licensed operator-in-training may operate the equipment
for the most hazardous types of lifts identified in § 1926.1427(b)(3). This list includes
lifts performed: in proximity to energized power lines; to hoist personnel; as multiple-
equipment lifts; over a shaft, cofferdam, or tank farm; and as a multiple lift rigging
operation.
The employer must ensure that an operator-in-training is monitored in accordance with
§ 1926.1427(b)(4).

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 OPERATOR-IN-TRAINING

This flowchart is designed to assist Compliance Officers in determining whether an employer has met the
operator-in-training requirements. If the operator is not an operator-in-training and has not been certified
and evaluated, consider a citation of § 1926.1427(a). Note: Violations in this flowchart should also be
grouped with a citation for violation of § 1926.1427(a)(1). See Citation Policy.

Is a trainer assigned to
continuously monitor the operator- No Possible § 1926.1427(b)(2)
in-training as that person operates violation
the crane?

Yes

Did the employer determine the

trainer is qualified? Please
No Possible § 1926.1427(b)(4)(i)(B)
document qualifications.
violation

Yes

Did the employer comply with all

continuous monitoring No Possible § 1926.1427(b)(4)
requirements in 1926.1427(b)(4)? violation, grouped with §
1926.1427(b)(2) and §
1926.1427(a)(1)
Yes

Was the operator-in-training

assigned tasks that person’s ability?
No Possible § 1926.1427(b)(3)
violation

Yes

Was the operator-in-training

performing tasks specified by § Yes
1926.1427(b)(3)(i)-(v)?
Is the operator-in-training
certified for that type of No
crane?
No

Yes Possible § 1926.1427(b)(3)

violation

Compliant Operator-in-Training Program

128
 Inspection Guidance
a. If the employer has designated the crane operator as an operator-in-training, the
Compliance Officer should:
 Request and review any written training program materials the employer has
available.
 Although the standard does not require employers to create and maintain training
records, ask for training records for each training requirement, if available (i.e.,
written exams, evaluations, sign-in sheets, curriculums).
 Interview the employer and employees to determine what training the employer
has provided.
- Do employees understand what was conveyed/covered in the training?
- Do the employees feel that the training is useful? What did they learn?
- When is training provided? How frequently? How long does training last?
- When was the employee last trained? What was the training about?
- Did the training involve operating equipment or performing activities, or
was it verbal training only?
- Is training provided by the employer directly or an outside vendor?
- How did the employer determine that the trainer was qualified to train the
operator-in-training?
- Did the employer comply with all other operator-in-training requirements,
including the trainer’s presence and activities at the worksite to comply
with continuous monitoring requirements (29 CFR 1926.1427(b))?
Note: Training not provided by current employer can be accepted if verified. Not all
operators-in-training will be inexperienced operators or unfamiliar with the crane(s)
they operate. They may be operating in a status pending certification or evaluation. In
such cases, the employer should have determined that the operator has been sufficiently
trained by a prior employer or other means, such as a labor union, and is familiar with
the crane(s) and its operations such that additional training is not required. Therefore, it
is reasonable that the employer may not have a record of providing formal and practical
instruction for particular operators as long as the employer complies with the
certification and evaluation requirements of the standard.
When there are concerns about the operator(s) familiarity with the crane operated and
the task assigned, and whether sufficient training was provided, the Compliance Officer
should interview the employer, crane operator(s), and operator’s trainer(s) to document
any training provided (if any), and how the employer determined that crane operation
and tasks assigned are within the ability of the crane operator (including any
documented evaluations). Note that training under a previous employer may be
acceptable if verified by the current employer – employers need not re-train an
experienced operator just because the operator switches employers. Ultimately,
however, it is the employer’s duty to ensure the operator is trained.
b. Retraining- Retraining is required when the operator’s performance, or an evaluation of
the operator’s knowledge, indicates that the operator did not fully grasp initial training.
129
 Employers have a continuing duty to monitor the performance of their operators to
determine whether retraining is necessary. For example, construction employers often
rely on evaluations or other feedback about the performance of crane operators,
especially about near-miss incidents or reports of other unsafe operation received from
site supervisors, hoist crews, lift directors, trainers, and other employers who have
worked with or around the crane. These entities should be interviewed to determine what
steps the employer has taken to identify any concerns about the operator’s ability to
safely operate the crane, perform assigned tasks and what steps the employer has taken
when such concerns have been identified.
Citation Policy
c. Both §1926.1427(b) and §1926.1430(c) include training requirements for operators, but §
1926.1430(c) refers back to § 1926.1427(b) for most operators. Only cite to §
1926.1430(c) if the equipment being operated is a derrick, a sideboom crane, or has
a capacity of less than a ton (for those, cite § 1926.1430(c)).
d. § 1926.1427(b). Consider a citation for a violation of § 1926.1427(b) grouped with
citation for a violation of § 1926.1427(a)(1) when the employer attempted to comply with
operator-in-training requirements, but did not make efforts to determine that the operator
was sufficiently trained for the assigned tasks.
The AVD should describe how the lack of formal or practical training deprived the
operator of the opportunity to become familiar with the crane(s) and assigned task(s),
creating a hazardous worksite condition.
e. § 1926.1427(b)(1). Consider a citation for a violation of § 1926.1427(b)(1) grouped with
citation for a violation of § 1926.1427(a)(1) when an employer provided training, but it
was inadequate because:
 the training provided did not cover the requisite knowledge and skills listed in
paragraphs (j)(1) and (2) of § 1926.1427.

f. § 1926.1427(b)(2). Consider a citation for a violation of § 1926.1427(b)(2) grouped with

citation for a violation of § 1926.1427(a)(1) when an employer attempted to comply with
the operator-in-training requirements but:
 the employer did not provide continuous monitoring of the operator in training; or
 the employer’s continuous monitoring of the operator-in-training did not comply
with all requirements of § 1926.1427(b)(4)
The AVD must describe how the Compliance Officer determined that continuous
monitoring was not provided or how the employer violated a provision of §
1926.1427(b)(4). In some cases, there may also be evidence that a failure to continuously
monitor would prevent a monitor from recognizing and preventing a hazardous condition
caused by the operator-in-training while operating a crane.
g. § 1926.1427(b)(3). Consider a citation for a violation of § 1926.1427(b)(3) grouped with
citation for a violation of § 1926.1427(a)(1) when an employer attempted to comply with
operator-in-training requirements but:

130
  the assigned task was beyond the ability of the operator-in-training; or
 the operator-in-training was not certified/qualified in accordance with §
1926.1427 and was performing an assigned task listed in § 1926.1427(b)(3)(i)-(v).
The AVD must describe how the task assigned was not within the ability of the operator-
in-training. In some cases, it may be evident that the employer did not make any efforts to
make this determination. In others, the employer’s determination may be subjective and
should be balanced with other evidence.
h. § 1926.1427(b)(4). Consider a citation for a violation of § 1926.1427(b)(4) when the
qualifications of the person monitoring the operator-in-training did not comply with all
requirements of § 1926.1427(b)(4). Any citations for violations of §
1926.1427(b)(4)should be grouped with citations for violations of § 1926.1427(b)(2) and
§ 1926.1427(a)(1). The AVD should specify which provision of § 1926.1427(b)(4) has
been violated.
i. § 1926.1427(b)(5). Consider a citation for a violation of 1926.1427(b)(5) grouped with a
citation of 1926.1427(a)(1) when the employer allowed an operator to operate a crane and
there was an indication that retraining was needed and was not provided.
The AVD of the citation must describe any facts that were evident to the employer, or
presented to the employer, and triggered a need for retraining of the operator. In some
cases, near-miss incidents or observed hazardous conditions that were created, or t not
recognized or averted by the operator should be used in support of the citation. The
AVD should also include the hazardous condition(s) that could have been prevented
through retraining of the operator.
3. §1926.1427(c). Operator Certification and Licensing.
Except as identified earlier, employers must ensure that their operators are certified or
licensed through at least one of the following:
 Certified by a testing body accredited by a nationally recognized accrediting
agency.
 Certified by the employer through an audited employer program that meets all of
the criteria in § 1926.1427(e).
 Licensed by a state or local government authority who has determined that its
certification/licensing programs meet the requirements of paragraphs (c)-(e) of §
1926.1427.

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 OPERATOR CERTIFICATION/LICENSING
This flowchart is designed to assist Compliance Officers in determining whether an employer
has met the operator certification/licensing requirements. This flowchart should be used after
determining that the equipment operated is within the scope of the rule (see § 1926.1400) and
that none of the exceptions of § 1926.1427(a) apply. For jurisdictions requiring licenses,
Compliance Officers should determine whether the operator has the jurisdiction’s license and
whether the jurisdiction’s license meets the federal floor. Note: Violations under § 1926.1427(c)
in this flowchart should also be grouped with a citation for violation of § 1926.1427(a).
Violations under § 1926.1427(d) should also be grouped with a citation for violation of §
1926.1427(a) and § 1926.1427(c)(2). See Citation Policy.

Yes Is the operator certified/licensed? No

Was the certification/license issued

by an accredited testing organization,
No Possible § 1926.1427(a)
an audited employer program or
violation
compliant state or local government
licensing program?

Possible violation of
§ 1926.1427(c)(1) or (d)
Yes Go to Operator-in-Training
flow chart to verify
compliance with operator-in-
training requirements.

Is the certification/license within the

expiration period established by the
issuing entity and has not exceeded 5 No
years since it was issued?
Go to Evaluation flowchart to
verify compliance with
evaluation requirements.
Yes Possible violation of §
1926.1427(d)(4)

Is the type of crane operated the same

as, or similar to, that specified by the No
certification/license?

Possible violation of §
1926.1427(d)(1)(ii)(B)
Yes

Compliant Certification or License

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 State/local government Licensing- A single state or local license may satisfy OSHA and
state/local government requirements.
 If the state or local license meets OSHA’s minimum “federal floor”
requirements, then OSHA’s standard requires an operator to obtain that
license to operate within that jurisdiction. See discussion of “federal floor”
below.
 If a state or local government’s licensing program does not meet the minimum
“federal floor” requirements specified by OSHA, employers operating cranes
within those jurisdictions must meet one of the other options for
certification/qualification as specified by § 1926.1427.
 A state or local government may choose to require employers operating cranes
within its jurisdiction to provide crane operators with certifications issued by a
particular accredited testing organizations chosen by the state or local
government. As long as the state or local license meets all requirements in §
1926.1427, the operator must obtain that certification to comply with OSHA’s
standard.
Meeting the Federal Floor

The “federal floor” refers to OSHA’s base criteria for a state or local crane operator license.
The “federal floor” requirements are intended to ensure that state and local licensing
requirements meet most of the same minimum requirements specified for an accredited
certification body. An oversight office—in addition to the licensing office—is one of the
requirements for a state/local licensing program to meet the “federal floor.” That oversight
office must declare that the licensing program:

• Requires written and practical assessment of knowledge and skills listed in

1926.1427(j)(1) and (2); and
• Meets industry-recognized testing criteria

It is anticipated that the license will either include that declaration or indicate that the licensing
authority has posted that declaration on its website. Consult the Regional Office or DOC for
more guidance on whether such declaration has been made or if an inquiry must be initiated.

In order to meet the federal floor, the licensing program must also include a specific re-licensing
process.

Training and Testing Provided by the Same Testing Organization- Compliance with §
1926.1427(c)(4) is intended to prevent a licensing/testing organization’s training arm
from “teaching to the test,” which would undermine the test’s ability to determine the
individual’s true subject matter expertise for safe operation of equipment. If a
Compliance Officer becomes aware of any allegations that a licensing/testing
organization is also providing training and “teaching to the test,” they should
immediately contact the Regional Construction Coordinator and inform/consult with
the National Office about such allegations.
Inspection Guidance
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 When a license or certification is required, the Compliance Officer should:
a. Ask operators if they have a certificate or card or ask the employer to make the
certification available for review. Operators may carry a certification/license with them,
while some employers may keep copies of those documents in a central location to
facilitate accessibility. Electronic documents are acceptable.
b. Verify that equipment operators have been certified/licensed in accordance with the
requirements of § 1926.1427(a) to operate assigned equipment.
c. If the documentation is a state or locally-required license, verify that the license meets the
“federal floor” requirements of 29 CFR 1926.1427(c)(1) (discussed above). If necessary,
contact the Regional Office Enforcement Programs for guidance, and, if necessary, the
Directorate of Construction.
d. If there are any concerns regarding the information provided by an accredited testing
organization or compliant state or local government program about their programs,
contact the Regional Office Enforcement Programs for guidance and, if necessary, the
Directorate of Construction (DOC).
e. There may be attempts to create fraudulent certification cards that may raise concerns
during inspections. If there are concerns about whether the certification/license is
genuine, contact the testing organization to verify the validity of the certification. It is
common practice for testing organizations to keep record of certified operators. Also, if
necessary, contact the Regional Office Enforcement Programs for guidance and the
Directorate of Construction (DOC).
f. Verify that the certification/licensing documentation:
 identifies the operator and the accredited certifier;
 specifies the type, or type and capacity, of equipment for which the operator is
certified to operate;
 specifies the language in which the operator is certified; and
 has not exceeded the expiration date specified by the certification, or five years
(whichever is shorter).
 For certifications, confirm that the testing organization is accredited to perform tests
for the type of equipment listed on the certification.
g. If the equipment is not of the type listed on the operator’s certification/license, then
document the make and model of equipment operated and obtain a copy of the operator’s
certification. To determine the type of equipment, note the equipment’s design and
function, and if necessary, review the operations manual or contact the manufacturer.
Contact the testing organization, if necessary, for assistance determining if the equipment
is within the type specified on the certification/licensing documentation or similar.
h. If it is unclear whether there is a certification available for similar equipment, contact the
testing organization and, if necessary, consult with the Regional Office of Enforcement
Programs and Directorate of Construction.
i. Verify that the language specified on the operator’s certification/license documentation is
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 the same as that in the crane manual, load charts, etc., in the equipment operated at the
jobsite.
j. Interview the operator to determine who paid for the operator’s certification or license
(including recertification). If the operator paid, Compliance Officers should ask when the
operator was certified, whether the operator was employed by the employer at that time,
and whether the operator was reimbursed. Employers are required by § 1926.1427(c)(3)
to pay for the certification of operator’s they employ, but only for certifications after the
effective date of the revisions to the standard: February 7, 2019. While payment for
recertification of an employed operator is covered under this provision, payment for test
preparation for certification testing is not covered. Employers may devise various
arrangements to pay for certification of an operator, so evaluate these arrangements on a
case-by-case basis.
k. An operator’s non-compliance with provisions of Subpart CC may be an indication that
they need retraining or the employer may not have effectively communicated and
enforced work rules to ensure compliance with the requirements. The Compliance Officer
should interview the operator, employer, and A/D/lift director (if there is one) to
determine what was observed by workers/employees regarding the unsafe operations of
the crane and any actions taken by the employer to address concerns about the
operator(s).
l. If Area Offices experience difficulties in obtaining information from testing
organizations, state or local governments, or accrediting agencies necessary to the
Compliance Officer to an evaluation about particular licenses or certifications used at
worksites, the Regional Office of Enforcement Programs and if necessary, the National
Office should be contacted for assistance.
Citation Policy
m. § 1926.1427(c)(1). Consider a citation for violation of § 1926.1427(a) grouped with §
1926.1427(c)(1) when:
 the employer operates a crane within the jurisdiction of a state or local
government
 that state or local government requires a license to operate a crane within its
jurisdiction;
 the license meets requirements of § 1926.1427(c); but
 the operator has not acquired the required license
n. § 1926.1427(c)(2). Consider a citation for a violation of § 1926.1427(c)(2) grouped with
a citation for a violations of § 1926.1427(a) when:
 a license is not required and the operator is not certified as specified under §§
1926.1427(d) and (e)
o. § 1926.1427(c)(3). Consider a citation for a violation of § 1926.1427(c)(3) grouped with
a citation for violation of § 1926.1427(a) when the employer has not complied with the
requirement to ensure that certification or license is provided at no cost to its employee.

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4. § 1926.1427(d). Certification by an Accredited Crane Operator Testing Organization.
Inspection Guidance
a. Refer to inspection guidance provided in this directive for § 1926.1427(a)-(c).
Citation Policy
b. § 1926.1427(d). Consider a citation for violations of specific requirements of §
1926.1427(d) grouped with citations for violations of § 1926.1427(c)(2) and §
1926.1427(a) when the operator’s certifying body is not accredited or otherwise fails to
satisfy the specific requirements of § 1926.1427(d). Multiple violations of §
1926.1427(d) should be grouped together with § 1926.1427(c)(2) and § 1926.1427(a) in
one citation. If there is evidence suggesting that the certification might not satisfy
OSHA’s requirements, the Compliance Officer must consult with the national office.
5. § 1926.1427(e). Certification by an Audited Employer Program.
Under this option, employers can certify their own crane operators. However, the
program’s written and practical tests must be either: developed by an accredited crane
operator testing organization or approved by a third-party auditor in accordance with
requirements specified by § 1927.1427(e)(1)(ii)(A)-(D).
Inspection Guidance
a. Refer to inspection guidance provided in this directive for §1927.1427(a)-(c).
b. If the employer provides its own certifications and that is the only certification the
operator has, ask the employer to provide information or documentation about its
certification program, including evidence that its testing program was audited by an
accredited crane operator testing organization or audited by a third-party certified auditor.
c. If there are any concerns about whether the employer’s audited program satisfies the
requirements of §1927.1427(e), such as its approval status, contact the auditor or auditing
company using information obtained from the employer.
d. Contact the national office.
Citation Policy
e. § 1926.1427(e). Consider a citation for violations of specific requirements of §
1926.1427(e) grouped with citations for violations of § 1926.1427(c)(2) and §
1926.1427(a) when the operator’s only certification is a certification issued under an
employer audited program certification that does not meet the requirements of §
1926.1427(e). Multiple violations of § 1926.1427(e) should be grouped together with §
1926.1427(c)(2) and § 1926.1427(a) in one citation.
6. § 1926.1427(f). Evaluation.
OSHA does not expect the assessment criteria provided in §1926.1427(f) to change
significantly when and how Compliance Officers assess operator competency. Long
before the 2010 crane rule became effective, 29 CFR 1926.20(b)(4) required employers
to permit only those employees qualified by training or experience to operate equipment
and machinery. The 2018 operator qualifications rule provided criteria and accepted

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means for evaluating an operator’s experience in operating cranes.
The evaluation requirements of 29 CFR 1926.1427(f) are intended to provide the
necessary specificity and notice to employers to ensure that an evaluation satisfies the
minimum criteria necessary for the safe operation of cranes by operators. It also provides
employers with flexibility in how they may conduct such evaluations.
The main focus of the evaluation requirements are to ensure that the operator has the
knowledge, skills and abilities to operate:
 the assigned equipment
 for specified assigned tasks
Previously evaluated operators must therefore be re-evaluated when new knowledge,
skills or abilities are required for new tasks or operating different equipment,
configurations, etc.
Documentation- As a new requirement, the 2018 crane rule requires that employers must
document the completion of the evaluation in accordance with § 1926.1427(f)(6) and
make the document available at the worksite for as long as the employer employs the
operator. The employer is only required to document the following information:

1. operator’s name;
2. evaluator’s name and signature;
3. date the evaluation was completed; and
4. make, model, and configuration of the crane(s) that the operator can safely operate for
construction tasks
A Compliance Officer, the operator’s employer, or other interested parties such as
employers on multi-employer worksites can compare this baseline information for the
equipment on which the operator was originally evaluated to the crane that is being
operated to determine whether the operator has been appropriately evaluated for the
current equipment. The focus should be on whether operation of the different equipment
requires different knowledge, skills, or abilities to recognize and avert risk. Employers
have traditionally been able to communicate this kind of information to labor unions,
rental companies, and subcontractors when they identify the types of cranes that are
needed for a project and to match the skills and abilities of operators to that particular
equipment. The same make and model of cranes can be configured in many ways and
include varying operating systems. Some makes and models of cranes may be so similar,
even between manufacturers and models, that typically operators can safely operate them
without the need for additional training. In such cases, employers would not need to
document separate evaluations on each of those equipment. Employers need only
document baseline evaluations and then evaluations for different equipment that requires
increased levels of operator training and/or familiarization. In addition, employers only
need to distinguish and list operational aides and safety devices on an operator’s
evaluation documentation to the extent that they require operators to acquire differing
skills, crane knowledge or familiarity with the equipment. For examples of safety
devices, refer to 29 CFR 1926.1915. For examples of operational aides, refer to 29 CFR

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1926.1416. These are not comprehensive lists of safety devices and operational aides.

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 CRANE OPERATOR EVALUATION

Note: Violations in this flowchart should also be grouped with a citation for violation of §
1926.1427(a). See Citation Policy.

Yes Has the crane operator been evaluated No

on the assigned equipment?

Did the employer determine the Possible § 1926.1427(f)

evaluator is competent? No
violation

Yes. Please document

Possible § 1926.1427(f)(2)
qualifications.
violation

See Operator-in-Training
flowchart for additional
compliance with the standard
Did the evaluator determine the
operator is competent to operate No
a crane which is similar to that
assigned, and for a task similar
to that assigned?
See Certification flowchart for
additional compliance with the
Possible § 1926.1427(f)(1) standard
Yes violation

Does the required evaluation

documentation include at least No
the six pieces of information
specified?

Possible § 1926.1427(f)(4)
violation
Yes

*The evaluation process from this flowchart must be

completed each time an operator requires new knowledge,
skills, and abilities to hazards avert risks when performing
assigned tasks or operating different equipment.
Compliant Evaluation*

139
 Inspection Guidance

a. Refer to inspection guidance provided in this directive for §1927.1427(a)-(c)

b. When an employer has conducted an operator evaluation, consider all relevant facts
obtained from interviews with the employer and operator to verify whether all the
requirements of § 1926.1427(f) were met.
c. Documentation: when the employer has conducted an operator evaluation, the
Compliance Officer should confirm that required documentation includes, at a minimum,
the required information:
1. operator’s name;
2. evaluator’s name and signature;
3. date that the evaluation was completed; and
4. the make, model and configuration of equipment for which that the operator has
demonstrated competency to safely operate.
d. If the evaluation documentation is deficient or unavailable, the Compliance Officer
should determine whether the operator is an operator-in-training. If yes, refer to
Inspection Guidance in this directive for § 1926.1427(b). If not, the employer or the
evaluator (if available) should be asked what factors were considered when they
determined that the operator could safely operate the crane to perform the assigned
construction task. The Compliance Officer should document this information.
e. Operators should be asked to describe the specifics of their evaluation, operating
experience, and how/why they are applicable to the crane operated and the construction
task performed. The Compliance Officer should document this information.
f. The employer or the evaluator (if available) should be asked to describe the specifics of
their evaluation and why it is applicable to the crane operated and the construction task
performed at the worksite.
g. If the operator is not operating the equipment on which they were previously evaluated,
the Compliance Officer should document the characteristics of the current crane and
tasks. The current tasks should be compared to the equipment and tasks for which the
operator was previously evaluated, including the size and configuration of the equipment
and any other characteristics considered relevant to the equipment operated at the
worksite. The size and configuration of the equipment includes, but is not limited to,
lifting capacity, boom length, attachments, luffing jib, and counterweight set-up.
Consider differences between the equipment such as changes to the attachments being
used, significant differences in boom length, or in the location of controls and their
function.
h. Document the task(s) in which the operator is engaged. Note that the standard does not
require employers to document the tasks for which an operator has been evaluated.
Management and employee interviews will usually be the most effective method of
determining whether the operator possesses sufficient knowledge, skill, and ability to
perform certain tasks (e.g., multiple-lift, blind picks, etc.)

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i. For operators employed prior to December 10, 2018, in cases where the employer has
determined that the evaluations are still applicable to the equipment operated, that
employer (or an evaluator) may sign and date documentation supporting previous
successful evaluation(s) in lieu of conducting a new evaluation. This is an acceptable
practice and no citations will be issued to employers who have evaluated their operators
prior to the rule and documented it appropriately.
j. In some cases, compliance issues may arise regarding the accuracy of an operator’s
evaluation, especially in light of an operator’s violations of other provisions of the crane
rule (e.g., keeping the load clear of workers and away from power lines, operating on a
level surface, etc.). In these situations, refer to Paragraphs f, g and h of this section for
inspection guidance.
k. The Compliance Officer should discuss any significant concerns regarding an employer’s
evaluation with a supervisor and if necessary, a Regional Construction Coordinator and
the Directorate of Construction in the National Office.
Note: If the employer has not conducted the required evaluation(s) of the operator that
serves as the basis for the operation of particular equipment for the particular task, then
the operator shall be considered an operator-in-training with respect to that equipment
or task. In such cases, the employer is subject to the requirements of § 1926.1427(b) and
the operator-in-training may only operate a crane that is within the operator’s
knowledge and abilities. The employer is not required to document the knowledge and
abilities of the operator-in-training, but any descriptions obtained from interviews should
be documented by the Compliance Officer.

Citation Policy

l. Consider a citation of § 1926.1427(f)(1)(i)-(ii), and (f)(4)-(7) grouped with citation for a

violation of § 1926.1427(a), when an operator is operating assigned equipment, but was
not evaluated in accordance with the paragraphs under § 1926.1427(f)(1)(i)-(ii) or (4)-(7).
Note the relevant subparagraph(s) of § 1926.1427(f) applicable to the facts on the
citation.

Alternatives to citing for improper evaluation

An employer’s evaluation may have been adequate even when an operator violates other
provisions of Subpart CC. The violations may be an indication that an operator needs
retraining or the employer may not have effectively communicated and enforced work rules
to ensure compliance with the crane rule. Consider citations for violations of § 1926.1400(f)
(work rules) or 1926.1427(c) (training).

The AVD of the citation should describe the facts supporting the violated provisions of §
1926.1427(f). For example, if the employer did conduct an evaluation but did not
properly document the completion of the evaluation, then cite § 1926.1427(f)(6) and
describe the deficiency of the documentation.

141
m. If the employer evaluated an operator on assigned equipment, but has not evaluated the
operator since changes to the equipment that would require new skills or knowledge
(different software, new attachments, longer boom length, etc.), cite § 1926.1427(f)(1)(i)
grouped with citation for a violation of § 1926.1427(a).
n. If the employer evaluated the operator on assigned equipment and for previous tasks, but
not for a new assigned task that requires additional knowledge or skill level (e.g., a blind
lift), cite § 1926.1427(f)(1)(ii) grouped with citation for a violation of § 1926.1427(a).

7. § 1926.1427(h). Language and Literacy.

Accredited organizations can administer tests for certifying crane operators in languages
other than English. However all certifications must specify the language in which
operators originally took them. Certification testing is specifically intended to confirm
that operators in the construction industry can effectively use required information about
the crane, including load charts and manufacturer instructions typically kept in the cab of
the crane. It is therefore essential that this required information is immediately available
to the operator in the cab, and is in the language for which the operator has already
demonstrated competency during their certification exam. A Compliance Officer should
make this inquiry in addition to any another violation related to the crane and its
operation.

Inspection Guidance

a. Document the language specified on the certificate. Determine whether the load charts
and other written materials in the cab are in that language.
b. In some cases, the operators may be bilingual to varying degrees. The extent to which
someone can understand another language well enough to effectively use load charts,
operation manuals, and other required information may also vary from person to person.
Thus § 1926.1427(h)(2) mandates that the load charts and materials in the cab must
match the language of the operator’s certification test.
Citation Policy
c. Consider a citation for a violation of § 1926.1427(h)(1)(i) grouped with § 1926.1427(a)
when an operator is operating equipment and a test administered under this section was
administered verbally without evidence the operator passed a written demonstration of
literacy relevant to the work.

d. Consider a citation for a violation of § 1926.1427(h)(1)(ii) grouped with § 1926.1427(a)

when an operator is operating equipment and a test administered under this section was
administered verbally, without evidence that the operator demonstrated the ability to use
the written manufacturer procedures for the equipment.

e. Consider a citation for § 1926.1427(h)(2) when:

 a test under this section was administered in a language the operator did not
142
 understand,
 the operator’s certification did not note the language in which the test was given,
or
 the testing language specified by the operator’s certification is not the same as
that of information about the crane that is required by § 1926.1417(a).

If there are no other concerns about the operator’s ability to make determinations
regarding crane safety, and the employer did not provide information required by §
1926.1417(a) in the language specified by the operator’s certification but can demonstrate
that the operator understands the materials in the language in which they are printed, a
citation for a violation of §1926.1427(h)(2) shall be considered as other than serious.
Note that if an operator’s certification lists more than one language, the employer would
be in compliance if the materials in the cab are in any one of the languages specified on
the certification.

Please contact the Directorate of Construction prior to issuing any citations for violations
of § 1926.1427(h).

8. § 1926.1427(j). Certification Criteria.

This paragraph specifies criteria that a certification testing program must assess for that
certification to meet the requirements of § 1926.1427(c). Accrediting agencies are tasked
to verify when organizations meet industry-recognized criteria for written testing
materials, practical examinations, test administration, grading, facilities/equipment, and
personnel.

Employers acting in good faith will typically meet most requirements of § 1926.1427(j)
by ensuring that a testing organization that has certified its operators is accredited; a
state’s or local government’s licensing program has been declared compliant by its
government authority; or a certified auditor has approved an employer’s certification
program.
Citation Policy
Do not issue stand-alone citations for violations of § 1926.1427(j) requirements without
consulting the national office. Establishing a violation of that provision will likely
require an examination of the testing procedures of the certification or licensing body and
the reasonableness of the employer’s reliance on the testing by that entity.

R. § 1926.1428. Signal Person Qualifications.

1. § 1926.1428(a). Employers must ensure that each signal person meets the
Qualification Requirements in § 1926.1428(c) before that person may give any
signals. Employers have two options for meeting this requirement:

 § 1926.1428(a)(1) (Option (1)). The signal person has documentation from a

third-party qualified evaluator showing that the signal person met the
Qualification Requirements, or

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 § 1926.1428(a)(2) (Option (2)). The employer’s qualified evaluator has
assessed the signal person and provided documentation that he or she met the
Qualification Requirements.

Qualified Evaluators

Qualified evaluator (third-party) is an entity that, due to its independence and expertise, has
demonstrated that it is competent in accurately assessing whether an individual meets the
qualification requirements for a signal person.

- OSHA does not evaluate or endorse specific products or programs, and makes no
determination as to whether a certification program meets the definition of a "qualified evaluator
(third-party)."

- Labor-management joint apprenticeship training programs that train and assess signal persons
would typically meet the definition for a third-party qualified evaluator.

Qualified evaluator (not a third-party) is a person employed by the signal person’s employer
who has shown that he/she is competent in assessing whether an individual meets the
qualification requirements for a signal person.

Inspection Guidance

a. Ask the employer to see qualification documentation for all signal persons on
site.

b. If the employer produces no documentation, interview the employer and

signal person to determine whether documentation exists.

c. When qualification documentation is produced by the employer, examine it to

verify its authenticity and to determine whether the documentation is from a
third-party qualified evaluator (Option (1)) or from the employer’s audited
evaluator (Option (2)).

d. Under § 1926.1428(a)(2), employers are not permitted to rely on a former

employer’s assessment of a signal person’s qualifications. Verify that a signal
person’s documentation does not come from a former employer.

e. Under § 1926.1428(a)(3), the employer must document the signal person’s

qualification/evaluation and make it available at the worksite. This can
include physical documentation, such as a qualification card, or electronically
through use of an on-site computer or other device. Documentation must
specify each type of signal for which the signal person meets the Qualification
Requirements in § 1926.1428(c) (e.g., hand signals, radio signals, or flag
signals).

 Verify that the method/types of signals used during the operation are
consistent with those specified on the signal person’s qualification
documentation.
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 f. If an audited employer program (Option (2)) was used, review the program to
evaluate whether it covers the Qualification Requirements of § 1926.1428(c).
Determine by observation and interviews if there are indications that signal
persons may not have been properly trained, and interview the employer to
determine how the qualified evaluator’s qualifications were confirmed. If
there is no written program, interview the employer to determine whether the
program ensures that signal persons meet the Qualification Requirements of
§ 1926.1428(c).

Citation Policy

g. § 1926.1428(a). Consider a citation for violation of § 1926.1428(a) if:

 the employer does not have qualification documentation for all signal
persons giving signals,

 the employer is relying on a signal person’s qualification documentation

from a former employer,

 the signal person is using types of signals that he or she is not qualified to
use, or

 the employer relies on a qualified evaluator program under Option (2) that
does not satisfy the Qualification Requirements of § 1926.1428(c). If an
inadequate employer qualified evaluator program is the basis for a
§ 1926.1428(a) citation, the AVD accompanying the citation should list
the specific provision(s) of § 1926.1428(c) that the employer’s program
failed to address.

h. § 1926.1428(a)(3). Consider a citation for violation of § 1926.1428(a)(3)

instead of § 1926.1428(a) if:

 no qualification documentation is produced on site by the employer but a

signal person or employer has documentation off-site showing that the
signal person satisfied Option (1) or Option (2), or

 the documentation does not specify type(s) of signals for which the signal
person meets the Qualification Requirements.

Evaluator Designated by a City/Local Authority

When an evaluator designated by a City/Local Authority is qualified to perform an assessment of a

signal person’s qualifications, employers who have their signal persons qualified by that evaluator
would be in compliance with § 1926.1428(a). However, section 1926.1428 does not require an
employer to use any particular evaluator (including city or local authority-mandated evaluator) to
assess the qualifications of the employer's signal persons, provided that the evaluator used is
"qualified" within the meaning of the standard.

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2. § 1926.1428(b). Employers must not allow a signal person who has
documentation that meets the requirements of § 1926.1428(a), but whose actions
indicate that he or she does not meet the basic knowledge requirements under
§ 1926.1428(c), to give signals during operations until he or she is retrained and
reassessed.

Inspection Guidance

a. If there are indications that a signal person does not meet the requirements in
§ 1926.1428(c), determine by whether the signal person is qualified and
whether he or she has undergone subsequent assessment.

Citation Policy

b. § 1926.1428(b). If the employer is allowing a signal person who has

documentation meeting the requirements of § 1926.1428(a), but who does not
meet the Qualification Requirements in § 1926.1428(c) to continue signaling
without retraining and reassessment, consider a citation for violation of
§ 1926.1428(b). The AVD accompanying the citation should list the specific
provision(s) of § 1926.1428(c) that the signal person does not meet.

c. §§ 1926.1428(a) and (b). In situations where multiple signal people are on

site, an employer could be cited for violations of both § 1926.1428(a) and (b).
One scenario that could lead to multiple citations could be where an employee
was hired as a signal person, and that person had third-party qualification
documentation (Option 1). In addition, the employer also provided a program
to train signal persons (Option 2). If the employer’s program was inadequate,
consider a citation of 29 CFR 1926.1428(a). In addition, if the employer
allowed the signal person with third-party documentation to give signals
without retraining, and the employee’s qualifications did not satisfy the
requirements of 1926.1428(c), a citation of § 1926.1428 (b) could also be
considered.

d. § 1926.1430(b). Although section 1926.1430(b) establishes a duty for

employers to retrain employees who do not meet the Qualification
Requirements in § 1926.1428(c), this requirement overlaps with the
provisions of § 1926.1428(b). To maintain consistency, citations addressing
this hazard should generally be considered for a violation of § 1926.1428(b)
as opposed to § 1926.1430(b). See section on Training, for additional
guidance regarding citations for violations of § 1926.1430.

3. § 1926.1428(c). Signal person Qualification Requirements.

Inspection Guidance

a. Under § 1926.1428(c)(1), signal persons should understand the type of signals

used, and using hand signals, they must know be familiar with the Standard

146
 Method of hand signals. To determine whether § 1926.1428(c)(1) is satisfied,
consider the following:

 Determine through observation and interviews if the operator understands

the signals given by the signal person.

 If hand signals are given, look for the hand signal chart posted in the
vicinity (most likely on the crane).

 Where possible, observe the signal person in action to verify that signals
given are consistent with those on the chart.

b. Under § 1926.1428(c)(2), signal persons must be competent in the application

of the type of signals used. To determine whether an employer is complying
with § 1926.1428(c)(2), consider the following:

 Determine through observation and interviews how the signal method/type

was selected for that job (particularly for non-traditional hand signals).

 Observe the site for obstructions (e.g., visual or audible interference) that
might make the type of signals used inappropriate for the job.

 Assess whether the operator understands the signals given by the signal
person.

c. Under § 1926.1428(c)(3), signal persons must have a basic understanding of

equipment operation and equipment limitations, including crane dynamics
involved in swinging and stopping loads and boom deflection from hoisting
loads.

Assess whether the signal person has a basic understanding of operations and
equipment limitation, including how the crane and load will move in response
to various signals.

d. Under § 1926.1428(c)(4), signal persons should understand the relevant

requirements of §§ 1926.1419-.1422 and 1926.1428. See sections covering
§ 1926.1419-.1422 in this directive for additional guidance regarding citations
for violations signal standards.

A signal person need not understand requirements under §§ 1926.1419-.1422

pertaining to types of signals for which he or she is not qualified. For
example, a signal person who is qualified to give hand signals is not required
to understand the requirements under § 1926.1420 for radio, telephone, or
electronic signals.

e. Under § 1926.1428(c)(5), signal persons must demonstrate knowledge of the

Qualification Requirements through both a practical test and an oral or written
test. Verify that testing was administered.
147
 Citation Policy

f. § 1926.1428(a) and/or § 1926.1428(b). If deficiencies are observed in the

signals given by a signal person, consider a citation under § 1926.1428(a) or
(b), as appropriate. List the specific § 1926.1428(c) provisions the signal
person does not satisfy in the AVD. Section 1926.1428(c) should not be cited.

S. § 1926.1429. Qualifications of Maintenance and Repair Employees.

1. § 1926.1429(a); Maintenance, inspection, and repair personnel not meeting the

certification requirements of § 1926.1427 may operate a crane or derrick only
when the requirements under §§ 1926.1429(a)(1) and (2) are both met:

§ 1926.1429(a)(1); Operation of the crane/derrick must be limited to the functions

necessary to perform maintenance, inspect the equipment, or verify its
performance.

§ 1926.1429(a)(2); The personnel operating the crane must either operate the
equipment under the direct supervision of an operator who meets the certification
requirements of § 1926.1427 (§ 1926.1429(a)(2)(i)) or be familiar with the
operations of the equipment (§ 1926.1429(a)(2)(ii)).

Inspection Guidance

a. Ask personnel whether they are maintenance, inspection, or repair persons and
by observation, interview and review of documentation determine if the
employer is complying with § 1926.1429(a)(1) by considering the following:

 the qualifications of personnel conducting inspections, maintenance, or

verification of performance;

 whether the observed operation of the equipment was necessary for

maintenance, to verify performance, or for inspection; this includes, but is
not limited to, operation of equipment to access components, diagnose
problems, and check repairs.

b. To decide whether the requirements of § 1926.1429(a)(2) are satisfied,

interview the employee, note any observation of operation of the equipment,
and consider the following:

 if the equipment was operated under the supervision of a

qualified/certified operator; and

 if the equipment was operated by a maintenance/repair worker who is

familiar with the equipment type, its characteristics, limitations, and
hazards.

Citation Policy
148
 c. § 1926.1429(a)(1). If the operation of the crane/derrick exceeded necessary
functions for performing maintenance, inspection, or performance
verification, consider a citation for violation of § 1926.1429(a)(1).

d. § 1926.1429(a)(2). If personnel operated the crane and were not familiar with
the equipment, consider a citation for violation of § 1926.1429(a)(2).

e. § 1926.1429(a). If the maintenance, inspection, or repair person failed to

satisfy the requirements of both §§ 1926.1429(a)(1) and (2), consider a
citation for violation of § 1926.1429(a). Separate citations for violation of
§§ 1926.1429(a)(1) and (2) should not be issued. However, the AVD for the
citation should set out the grounds for violation of each provision.

2. § 1926.1429(b). Maintenance/repair personnel must be qualified with respect to

both the equipment and the maintenance/repair tasks to be performed.

Inspection Guidance

a. If maintenance or repairs were completed on the equipment, determine by

observation and interview whether the maintenance or repair personnel meet
the definition of a qualified person. Factors to consider include, but are not
limited to:

 education and degrees possessed by personnel,

 amount of experience in this and related jobs,

 maintenance/repair personnel’s knowledge of the tasks being performed,

and

 knowledge of the equipment and its operation.

Citation Policy

b. § 1926.1429(b). If maintenance/repair personnel do not meet the definition of

a qualified person with respect to the equipment or maintenance/repair tasks,
consider a citation for violation of § 1926.1429(b).

T. § 1926.1430. Training.

Section 1926.1430 applies to all equipment covered under Subpart CC except for
equipment covered under § 1926.1441 (Equipment with a rated hoisting/lifting
capacity of 2,000 pounds or less). Section 1926.1430 includes three types of
provisions:

 Training requirements that are identical to, or overlap substantially with training
requirements found in other sections of Subpart CC;

149
 training requirements not found in other sections of Subpart CC; and

 general requirements regarding payment for training, administration of training,

and retraining applicable to all training in Subpart CC.

Because the steps for evaluating the effectiveness of training requirements are similar
for most kinds of training, the first part of this section, Inspection Guidance, provides
general guidance for collection of information related to training during a worksite
inspection and some specific guidance for collecting information related to specific
training requirements in § 1926.1430. Because many of the training requirements in
§ 1926.1430 overlap with training requirements in other sections of Subpart CC, the
second part of this section, Citation Policy, provides a basic hierarchy for determining
which training requirement to consider for citations. Additionally, a chart which
summarizes Subpart CC training requirements, including § 1926.1430 and other
sections, provides citation policy for these requirements.

Inspection Guidance:

a. Determine by interview what activities are taking place on the worksite to

establish which training requirements under Subpart CC, and in particular,
§§ 1926.1430(a) through (f) must be met. Refer to the chart in the second part
of this section as a checklist for training requirements which may apply to the
employer.

b. Request and review any written training program materials the employer may
have available.

c. For each training requirement, ask for training records (i.e., written exams,
evaluations, sign-in sheets, curriculums). Note that the employer is generally
not required to maintain written records of training unless required by a
standard.

d. Interview the employer and employees to determine what training the

employer has provided.

 Do employees understand what was conveyed/covered in the training?

 Do the employees feel that the training is useful? What did they learn?

 When is training provided? How frequently? How long does training last?

 When was the employee last trained? What was the training about?

 Did the training involve operating equipment or performing activities, or

was it verbal training only?

 Is training provided by the employer directly or an outside vendor?

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e. Many of the training requirements in Subpart CC have an evaluation
component. In addition, § 1926.1430(g)(1) requires employers to evaluate
each employee required to be trained under Subpart CC to confirm that the
employee understands the training. Interview the employer and employees to
determine the following:

 How does the employer confirm that the employee understands training
information?

 What method or system for evaluating whether employees understand the

instructions has the employer implemented? Are evaluation records kept?

 The method of evaluating an employee’s training for effectiveness will

vary by subject matter and employee. Any number of methods could be
used to determine if an employee has understood the training provided.
For example, during assembly/disassembly a certain method of blocking
may be needed. The supervisor trains and instructs the employee on the
proper method. The supervisor can then ask questions about the task and
have the employee describe the hazards and procedures while being
observed doing the job. Based on how the employee responds, the
assessment has been completed when the evaluator is confident that the
employee understands the training and can safely do the job.

f. Section 1926.1430(g)(2) provides requirements for refresher training in

relevant topics for employees when, based on the conduct or evaluation of an
employee, there is an indication that retraining is necessary. Other
requirements in Subpart CC provide for retraining as well. In addition to the
questions suggested above in paragraphs (d) and (e), observe employees to
note obvious need for retraining. If an employee who is required to be trained
is observed demonstrating a lack of understanding of safety requirements or
hazards related to a particular activity in which training is required, interview
the employer and the employee:

 Has this employee ever been retrained? Have any employees been
retrained?

 What is the system for determining when retraining is needed? Are there
regular evaluations?

 Does the employee have an understanding of the activity and what is being
done incorrectly?

g. Section 1926.1430(g)(3) states that whenever training is required under

Subpart CC, it must be provided at no cost to the employee. Other
requirements under Subpart CC deal with payment for training as well. To
assess compliance with requirements related to payment for training,

151
 interview the employer and employees to determine whether employees ever
had to pay for training.

 Was that training mandatory?

 If so, what was the subject matter of the training?

h. Section 1926.1430(d) requires the employer to train each competent and

qualified person in the requirements of Subpart CC that are applicable to their
respective roles. To evaluate compliance, determine what competent and
qualified persons are required for the work being done. Interview the
employer and competent/qualified persons to see if they received adequate
training and how the employer evaluates the knowledge level of these
employees.

Citation Policy:

Compliance officers should generally follow the following citation policy

hierarchy when deciding what provision or provisions to cite for deficiencies in
the training of employees:

 Consider citations under the most applicable vertical standard in Subpart CC.

 If the vertical standard does not cover the training violation, consider citations
for violation of the requirements under § 1926.1430.

 If no vertical standard applies and § 1926.1430 does not cover the training
violation, consider citations under the more general § 1926.21 (safety training
and education).

The following chart summarizes Subpart CC training requirements, including

§ 1926.1430 and other sections, and provides citation policy for these
requirements:

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 Provision(s) Training Requirements
§ 1926.1408(g)(1)–(3) Power line safety: For operations covered by §
1926.1408, § 1926.1409 and § 1926.1410, the
§ 1926.1410(m) employer must train each operator and crew member
assigned to work with equipment in the topics in §§
§ 1926.1430(a) 1926.1408(g)(1) through (3). See power lines sections
of this directive for additional guidance regarding
citations for violations of §§ 1926.1408-
1410.

The requirement in § 1926.1408(g) and §

1926.1410(m) is identical to the requirement in §
1926.1430(a).

Citation Policy: Group as follows:

- For operations under § 1926.1408 (up to 350 kV),

consider citing §§ 1926.1408(g)(1) through (3);

- For operations under § 1926.1409 (more than 350

kV), consider grouping each citation of
§§ 1926.1408(g)(1) through (3) with §
1926.1409; and

- For operations under § 1926.1410 (closer to

power line than the table A zone), consider
grouping each citation of §§ 1926.1408(g)(1)
through (3) with § 1926.1410(m).

Do not consider citations under § 1926.1430(a).

§ 1926.1423(k) Fall protection: Under § 1926.1423(k), the employer
must train each employee who may be exposed to fall
hazards while on or hoisted by Subpart CC equipment.
Under § 1926.1423(k)(1), training must include all
requirements in Subpart CC addressing fall protection.
Under § 1926.1423(k)(2), training must
also cover applicable requirements in § 1926.500 and §
1926.502. See section covering Fall Protection in this
directive for additional guidance regarding citations of
§ 1926.1423(k).

153
 Provision(s) Training Requirements
§§ Swing radius hazards: Under § 1926.1424(a)(2)(i),
1926.1424(a)(2)(i)through employees assigned to work on or near the equipment
(ii) (“authorized personnel”) must be trained to recognize
struck-by and pinch/crush hazard areas of rotating
§ 1926.1430(e) superstructures. Under § 1926.1424(a)(2)(ii), if the
employer uses warning signs and high-visibility
markings to protect against swing radius hazards, the
employer must train employees to understand these
markings. See section covering Work Area Control in
this directive for additional guidance on citations for §§
1926.1424(a)(2)(i) through (ii).

Under § 1926.1430(e), the employer must train all

employees on or near equipment to keep clear of holes,
crush/pinch points, and all hazards in § 1926.1424.

Citation Policy: Sections 1926.1424(a)(2)(i-ii) and

§ 1926.1430(e) overlap, but are not identical. Consider
citing § 1926.1430(e) only if §§ 1926.1424(a)(2)(i)
through (ii) do not cover the specific circumstance, but
§ 1926.1430(e) does, as follows:

- Section 1926.1430(e) requires training for all

employees on or near equipment, but
§ 1926.1424(a)(2) covers only “authorized
personnel.” Consider a citation under §
1926.1430(e) for an employee on or near the
equipment that the employer has not “authorized”
to be there.

Section 1926.1430(e) requires training for all hazards

in § 1926.1424, not just ones specified in
§§ 1926.1424(a)(2)(i) through (ii). Consider a citation
under § 1926.1430(e) when an employee is not trained
in a hazard listed under § 1926.1424, other than the
hazards in §§ 1926.1424(a)(2)(i) through (ii).

154
 Provision(s) Training Requirements
§ 1926.1427(a) Operator training: The employer must ensure that the
person operating equipment covered by Subpart CC is
operating the equipment during a training period in
accord with § 1926.1427(f), or qualified or certified to
operate the equipment in accordance with §§
1926.1427(a)(1) through (4).

Note that § 1926.1427(a)(2) and § 1926.1427(f) do not

apply until November 10, 2014. Until then,
§ 1926.1427(k) provides training requirements for
operators when § 1926.1427(a)(1) does not apply. See
the Operator Qualification and Certification section in
this directive for additional guidance on citations under
§ 1926.1427(a).

155
 Provision(s) Training Requirements
§ 1926.1427(f)(1) Operator trainee/apprentice: Section 1926.1427(j)
provides minimum operator qualification and
§ 1926.1427(j) certification criteria.

§ 1926.1430(c)(1) Under § 1926.1427(f)(1), before operator trainees may

operate equipment, the employer must provide them
training sufficient to operate equipment safely within
the § 1926.1427 trainee limitations. The limitations,
including continuous monitoring, allow trainees to
engage in practical learning without having mastered
all areas in § 1926.1427(j). While §
1926.1427(f)(1) provides minimum requirements for
trainees to begin practicing on equipment, §
1926.1430(c)(1) refers to minimum operator
qualification/certification requirements.

Under § 1926.1430(c)(1), operator trainees must

receive training in the areas addressed in §
1926.1427(j).

Citation Policy: Consider citing § 1926.1430(c)(1)

instead of § 1926.1427(j) only if the employee is
currently an operator trainee, not if the employee is an
operator who has already completed a certification
program that did not meet minimum criteria in §
1926.1427(j). The AVD should list the areas in §
1926.1427(j) not covered.

See the Operator Qualification and Certification

section in this directive for additional guidance
regarding citations for violations of §§ 1926.1427(f)(1)
and (j).
§ 1926.1427(a)(4) Operator training cost: Under § 1926.1427(a)(4),
employers must provide qualification or certification to
§ 1926.1430(c)(1) operators employed on November 8, 2010 at no cost to
the operators. See the Operator Qualification and
Certification section in this directive for additional
guidance regarding citations of § 1926.1427(a)(4).

Under § 1926.1430(c)(1), employers must provide

retraining for trainees who do not pass a qualification
or certification test.

156
 Provision(s) Training Requirements
§ 1926.1427(k)(2)(ii) Operator training during phase-in period: Under
§ 1926.1427(k)(2)(ii), during the § 1926.1427 phase-in
§ 1926.1430(c)(2) period, an employee assigned to operate the equipment,
who does not have the knowledge or ability to operate
it safely, must be provided with necessary training
before operating the equipment. The employer must
ensure that the operator is evaluated to confirm that he
or she understands the training. This requirement is
effective November 8, 2010 through November 9,
2014.

Under § 1926.1430(c)(2), the employer must train each

operator not yet certified or qualified during the phase-
in period in the areas in § 1926.1427(j).

In the preamble to the final rule, OSHA has described

the requirements of § 1926.1427(j) as those which are
“fundamental to safe crane operation.” Therefore, the
requirement in § 1926.1430(c)(2) to train operators in
the requirements of § 1926.1427(j) significantly
overlaps with the requirement of § 1926.1427(k)(2)(ii)
to ensure that operators are trained in the knowledge
and ability to operate the equipment safely.

Citation Policy: Do not consider citations under

§ 1926.1430(c)(2), because § 1926.1427(k)(2)(ii)
covers the same hazards.

See the Operator Qualification and Certification

section in this directive for additional guidance on
citations of § 1926.1427(j) and (k)(2)(ii).

157
 Provision(s) Training Requirements
§ 1926.1430(c)(3) Operators of equipment excepted from § 1926.1427:
Equipment covered under § 1926.1436 (Derricks),
§ 1926.1436(q) § 1926.1440 (Sideboom cranes) and § 1926.1441
(2,000-pound maximum rated capacity) are exempted
§ 1926.1441(e) from the requirements of § 1926.1427.

Under § 1926.1436(q), the employer must train each

operator of a derrick on the safe operation of
equipment the individual will operate.

Under § 1926.1441(e), the employer must train each

operator of equipment with a rated hoisting/lifting
capacity of 2,000 pounds or less in the safe operation
of the equipment the individual will operate.

Under § 1926.1430(c)(3), the employer must train each

operator of equipment excepted from § 1926.1427 on
the safe operation of the equipment the individual will
operate. This is the provision used to cite employers
for lack of sideboom crane training.

Citation Policy: Consider a citation under §

1926.1436(q) if the employer did not train an operator
of a derrick on the safe operation of the equipment
before the individual operated the equipment. Do not
consider a citation of § 1926.1430(c)(3), because §
1926.1436(q) is the vertical standard, and it prevents
the same hazard.

Consider a citation under § 1926.1441(e) if the

employer did not train an operator of equipment with a
rated hoisting/lifting capacity of 2,000 pounds or less
on the safe operation of the equipment before the
individual operated the equipment. Do not consider a
citation of § 1926.1430(c)(3), because
equipment under § 1926.1441 is exempt from the
requirements of § 1926.1430.

§ 1926.1430(c)(4)(i) Operator training—boom hoist brake test: Operators

must be trained to determine if the boom hoist brake
needs to be adjusted or repaired by first raising the
boom a short distance and testing the brake.

158
 Provision(s) Training Requirements
§ 1926.1430(c)(4)(ii) Operator training—emergency procedures (halting
unintended movement): Where available, operators
must be trained on the manufacturer’s emergency
procedures for halting unintended equipment
movement.
§ 1926.1428(b) Signal person retraining: Under § 1926.1428(b), an
employer must provide retraining for a signal person
§ 1926.1430(b) who does not meet the qualification requirements of
§ 1926.1428(c) before allowing that person to continue
giving signals.

Under § 1926.1430(b), an employer must ensure that a

signal person who does not meet the qualification
requirements of § 1926.1428(c) is trained in the areas
addressed in § 1926.1428(c).

Citation Policy: Consider a citation of § 1926.1428(b)

if a signal person has proof of certification under
§ 1926.1428(a), but does not meet the qualification
requirements of § 1926.1428(c), and is giving signals.
See the Signal Person Qualifications section in this
directive for additional guidance regarding citations of
§§ 1926.1428(a) and (b).

Do not consider citations under § 1926.1430(b).

§ 1926.1430(d) Competent and qualified persons: Competent persons
and qualified persons must be trained in the
requirements of this subpart applicable to their
respective roles.

159
 Provision(s) Training Requirements
§ 1926.1427(j)(2)(iv) Tag-out: Under § 1926.1427(j)(2)(iv), operator
certification must include application of safe shut-
§ 1926.1430(f) down and securing procedures. See the Operator
Certification and Qualification section in this directive
for additional guidance regarding citations of §
1926.1427(j)(2)(iv).

Under § 1926.1430(f), operators and other employees

authorized to start/energize equipment or operate
equipment controls (such as maintenance and repair
workers) must be trained in the tag-out procedures in
§§ 1926.1417(f) and (g).

Citation Policy: Do not consider a citation under

§ 1926.1427(j)(2)(iv) unless the operator does not meet
the qualification and certification requirements of
§ 1926.1427(a). If it is before November 10, 2014,
consider citations for an operator who does not meet
the requirements of § 1926.1427(j) under §
1926.1427(k).
§ 1926.1430(g)(1) Training administration: The employer must evaluate
each employee who is required to be trained to ensure
that he/she understands the information provided in
training.
§ 1926.1430(g)(2) Refresher training (general): Refresher training in
relevant topics shall be provided when the employee’s
conduct or an evaluation of the employee’s knowledge
indicates that retraining is necessary.
§ 1926.1430(g)(3) Payment for training: The employer must provide the
training required by Subpart CC at no cost to the
employee.
§ 1926.1437(c)(2)(ii) Swing radius hazards (floating cranes): Where the
employer protects against swing radius hazards on
floating cranes by using warning signs and high-
visibility markings, the employer must train employees
to understand what the markings signify. See section
covering Floating Cranes/Derricks in this directive for
additional guidance regarding citations of
§ 1926.1437(c)(2)(ii).

160
U. § 1926.1431. Hoisting Personnel.

Except for steel Is the construction Is the construction hoisting

erection work, can the hoisting activity one of operation solely to transfer
Yes
employer demonstrate Yes the exceptions allowed personnel to or from a marine
that it is not feasible under § 1926.1431(b)(2)? worksite? [§ 1926.1431(b)(2)(iii)]
to use other means for [§ 1926.1431(b)(1)]
accessing work
positions? Yes
[§ 1926.1431(a)] No
A marine-hoisted personnel
A personnel platform must transfer device or personnel
be used and the platform can be used if the No
No supplemental requirements of
supplemental requirements
for both the crane/derrick § 1926.1431(r) are also met for
A crane/derrick and personnel platform must the use of the hoisting equipment
cannot be used to also be met. and the crane/derrick.
hoist personnel.

A boatswain’s chair or personnel platform can be used if the supplemental requirements of

§ 1926.1431(o), (p), or (s) are also met for the use of the boatswain’s chair and the
crane/derrick. NOTE: For storage-tank, chimney, and shaft work, it must be infeasible to use a
personnel platform before a boatswain’s chair can be used. [§ 1926.1431(b)(2)(i), (ii), and
(iv)]

1. § 1926.1431(a). General Personnel Hoisting Requirements.

This section specifies supplemental requirements that are applicable to Subpart

CC equipment when used to hoist one or more employees.

The hoisting of personnel is prohibited except when the employer demonstrates

that the erection, use, and dismantling of conventional means of reaching the
work area, such as a personnel hoist, ladder, stairway, aerial lift, elevating work
platform, or scaffold, would be more hazardous, or is not feasible because of the
project’s structural design or worksite conditions. Exception: This paragraph does
not apply to work covered by Subpart R (steel erection) of this part. The
requirements for hoisting personnel to perform steel erection are found in
§ 1926.753.

Infeasibility

The threshold for infeasibility has not changed from similar requirements in the old crane
standard, § 1926.550(c)(2) of Subpart N of 29 CFR Part 1926.

Inspection Guidance

a. Through observation of personnel hoisting activity and interviews, verify:

 the type of hoisting equipment (i.e., personnel platform, boatswain’s

chair, marine-hoisted personnel transfer device, etc.) used to hoist
personnel;
161
  the construction activity for which the personnel are being hoisted to
support (i.e., drilling, pile driving, marine personnel transfer, chimney
work, tank construction, work in a shaft, etc.);

 that power distribution and transmission work is being done when

personnel are hoisted by a crane/derrick closer than 50 feet of a power line
over 350 kV, or 20 feet if the line is 350 kV or less;

 that the equipment was uniformly level and the surface beneath the
equipment was firm and stable;

 that all required safety devices and operational aids are on the equipment
and working properly;

 that a qualified person made determinations regarding the ground support

beneath the crane/derrick and the safety of the operation in bad weather,
and designed the hoisting equipment (i.e., personnel platform, boatswain’s
chair, marine-hoisted personnel transfer device, etc.) and its attachments;

 that a competent person: conducted the duties required for a trial lift, proof
testing, and inspection;

 that pre-lift meetings were conducted and attended by the operator, signal
person, employees to be hoisted, and the person responsible for the task to
be performed;

 the type of fall protection used by personnel when hoisted by the

crane/derrick;

 the conditions of the worksite, such as the project’s proximity to power

lines and heavily traveled roads and sidewalks that could limit where
access equipment and personnel hoists (§ 1926.552) could be used;

 the use of personnel hoists and access equipment (other than cranes) and
where this equipment is being used.

b. Ask the employer to describe why it is not feasible for employees to use other
equipment, such as aerial lifts, stairways, ladders, scaffolds, or personnel
hoists, to access work positions. Document this rationale.

Citation Policy

c. §§ 1926.1431(a) through (n). Unless specified otherwise under this Citation

Policy section, when requirements of §§ 1926.1431(a) through (m) have not
been met, consider citations of the specific requirements. If the citation is for

162
 some requirement for the operator, signal person, or other employee, group
each with § 1926.1400(f).

d. § 1926.1431(d)(5). If personnel hoisting operations began but:

 the required devices were not used, consider citations of specific

requirements of § 1926.1431(d)(5); or

 the required devices were not working properly when the crane/derrick
was operated, consider citations of § 1926.1431(d)(5)(vii); group this
citation with § 1926.1400(f).

3. § 1926.1431(o). Provisions that are Specific to Personnel Hoisting in Drill Shafts.

Inspection Guidance

a. Using the inspection guidance provided above for general requirements of this
section, and through interviews and observation of the hoisting activity, verify
that employees have been hoisted by crane/derrick in or out of drill shafts.

Citation Policy

b. § 1926.1431(o). Unless specified otherwise under this Citation Policy section,

when requirements of § 1926.1431(o) have not be met, consider citations of
the specific requirements.

c. § 1926.1431(o)(2). Section 1926.1431(o)(2) would not be cited when the

employer did not meet all requirements of § 1926.1431(a) through (n) for the
use of a crane/derrick to hoist personnel in a drill shaft using a personnel
platform. Section 1926.1431(o)(2) is only informational and clarifies what
supplemental hoisting requirements of § 1926.1431 are applicable to drill
shaft work when a personnel platform is used. For violations of provisions
referenced by § 1926.1431(o)(2), consider citations of specific requirements
of § 1926.1431(a) through (n).

d. § 1926.1431(o)(3)(i). Section 1926.1431(o)(3)(i) would not be cited when the

employer did not meet all requirements it references for the use of a
crane/derrick to hoist personnel in a drill shaft using a boatswain’s chair.
Section 1926.1431(o)(3)(i) is only informational and clarifies what
supplemental hoisting requirements of § 1926.1431 are applicable to drill
shaft work when a boatswain’s chair is used.

For violations of provisions referenced by § 1926.1431(o)(3)(i), consider

citations of specific requirements of the referenced provisions. The term
“boatswain’s chair” must be used in the AVD in place of “personnel platform”
anywhere it appears in the regulatory text of the provisions violated.

163
4. § 1926.1431 (p). Provisions that are Specific to Personnel Hoisting for Pile
Driving Operations.

Inspection Guidance

a. Using the Inspection Guidance provided above for general requirements of

this section, and through interviews and observation of the hoisting activity,
verify that employees have been hoisted by crane/derrick during the
performance of pile-driving work.

Citation Policy

b. § 1926.1431(p). Unless specified otherwise under this Citation Policy section,

when requirements of § 1926.1431(p) have not be met, consider citations for
violations of the specific requirements.

c. § 1926.1431(p)(3). Section 1926.1431(p)(3) would not be cited when the

employer did not meet all requirements of § 1926.1431(b) through (n) for the
use of a crane/derrick to hoist personnel when performing pile driving work
using a personnel platform. Section 1926.1431(p)(3) is only informational and
clarifies what supplemental hoisting requirements of § 1926.1431 are
applicable to pile-driving work when a personnel platform is used. For
violations of provisions referenced by § 1926.1431(p)(3), consider citations
for violations of specific requirements of §§ 1926.1431(b) through (n).

d. § 1926.1431(p)(4)(i). Section 1926.1431(p)(4)(i) would not be cited when the

employer did not meet all requirements it references for the use of a
crane/derrick to hoist personnel during the performance of pile driving work
using a boatswain’s chair. Section 1926.1431(p)(4)(i) is only informational
and clarifies what supplemental hoisting requirements of § 1926.1431 are
applicable to pile-driving work when a boatswain’s chair is used.

For violations of provisions referenced by § 1926.1431(p)(4)(i), consider

citations for violations of specific requirements of the referenced provisions.
The term “boatswain’s chair” must be used in the AVD in place of “personnel
platform” anywhere it appears in the regulatory text of the provisions violated.

5. § 1926.1431(r). Provisions that are Specific to Hoisting Personnel for Marine

Transfer.

Marine transfer is the transferring of personnel to and from marine

construction sites. [75 FR 48044]

Inspection Guidance

a. Using the Inspection Guidance provided above for general requirements of

164
 this section, and through interviews and observation of the hoisting activity,
verify that employees have been hoisted by crane/derrick during marine
transfer.

Citation Policy

b. § 1926.1431(r). Unless specified otherwise under this Citation Policy section,

when requirements of § 1926.1431(r) have not be met, consider citations of
the specific requirements.

c. § 1926.1431(r)(2). Section 1926.1431(r)(2) would not be cited when the

employer did not meet all requirements of § 1926.1431(a) through (n) for the
use of a crane/derrick to hoist personnel for marine transfer using a personnel
platform. Section 1926.1431(r)(2) is only informational and clarifies what
supplemental hoisting requirements of § 1926.1431 are applicable to marine
transfer when a personnel platform is used. For violations of provisions
referenced by § 1926.1431(r)(2), consider citations of specific requirements of
§§ 1926.1431(a) through (n).

d. § 1926.1431(r)(3)(i). Section 1926.1431(r)(3)(i) would not be cited when the

employer did not meet all requirements it references for the use of a
crane/derrick to hoist personnel during marine transfer using a marine-hoisted
personnel transfer device. Section 1926.1431(r)(3)(i) is only informational and
clarifies what supplemental hoisting requirements of § 1926.1431 are
applicable to marine transfer when a marine-hoisted personnel transfer device
is used.

For violations of provisions referenced by § 1926.1431(r)(3)(i), consider

citations of specific requirements of the referenced provisions. The term
“marine-hoisted personnel transfer device” must be used in the AVD in place
of “personnel platform” anywhere it appears in the regulatory text of the
provisions violated.

6. § 1926.1431(s). Provisions that are Specific to Hoisting Personnel for Storage-

Tank, Shaft, and Chimney Work.

Inspection Guidance

a. Using the Inspection Guidance provided above for general requirements of

this section, and through interviews and observation of the hoisting activity,
verify that employees have been hoisted by crane/derrick during the
performance of storage-tank, shaft, and chimney work.

b. Ask the employer to describe why it believes it is not feasible to use a

personnel platform when employees must be hoisted or lowered by a
crane/derrick to access work positions and whether it considered alternate
protective measures. Document this rationale.
165
 Citation Policy

c. § 1926.1431(s). Unless specified otherwise under this Citation Policy section,

when requirements of § 1926.1431(s) have not be met, consider citations of
the specific requirements.

d. § 1926.1431(s)(2). Section 1926.1431(s)(2) must not be cited when the

employer did not meet all requirements of § 1926.1431(a) through (n) for the
use of a crane/derrick to hoist personnel for marine transfer using a personnel
platform. Section 1926.1431(s)(2) is only informational and clarifies what
supplemental hoisting requirements of § 1926.1431 are applicable to storage
tank, chimney, and shaft work when a personnel platform is used. For
violations of provisions referenced by § 1926.1431(s)(2), consider citations of
specific requirements of §§ 1926.1431(a) through (n).

e. § 1926.1431(s)(3)(i). Section 1926.1431(s)(3)(i) would not be cited when the

employer did not meet all requirements it references for the use of a
crane/derrick to hoist personnel during the performance of shaft, chimney, and
storage tank work using a boatswain’s chair. Section 1926.1431(s)(3)(i) is
only informational and clarifies what supplemental hoisting requirements of
§ 1926.1431 are applicable to shaft, chimney, and storage tank work when a
boatswain’s chair is used.

For violations of provisions referenced by § 1926.1431(s)(3)(i), consider

citations of specific requirements of the referenced provisions. The term
“boatswain’s chair” must be used in the AVD in place of “personnel platform”
anywhere it appears in the regulatory text of the provisions violated.

V. § 1926.1432. Multiple Crane/Derrick Lifts—Supplemental Requirements.

This section describes the requirements for development and implementation of a

plan when more than one crane/derrick supports the load. The most important aspect
of this section is to ensure that qualified persons make determinations regarding the
capacity and safe use of the equipment and that the work practices and employee
protections are effectively communicated to the employees involved in the hoisting
job.

1. § 1926.1432(a). Plan Development.

When more than one crane or derrick will support the load, employers must plan
the operation in accord with the following criteria:

 § 1926.1432(a)(1). A qualified person must develop the plan.

 § 1926.1432(a)(2). The plan design must ensure that the requirements of

Subpart CC are met.
166
 § 1926.1432(a)(3). The employer must ensure that engineering expertise is
provided when the qualified person determines that it is needed for planning
the lift.

Inspection Guidance

a. When a load is observed being hoisted by more than one crane, determine
whether the employer has developed a plan meeting the requirements of
§§ 1926.1432(a)(1-3).

b. The multiple-crane lift plan does not have to be in writing. If the plan is in
writing, examine the plan. If not, interview the employer and lift director to
determine what the plan was and whether the requirements in
§§ 1926.1432(a)(1-3) are met.

c. Confirm that a qualified person developed the lift plan. If possible, interview
the qualified person to assess their qualifications.

d. Through review of the written or described multi-crane lift plan, confirm that
the plan was designed to meet the requirements of Subpart CC. For example,
consider whether the plan addresses hazards such as:

 ground conditions,
 proximity to power lines,
 hazardous weather conditions,
 rigging (any custom rigging),
 work area control, and
 worksite communication.

e. Through interviews, determine if there were problems with the lift plan and if
the qualified person requested engineering expertise from the employer.

Citation Policy

f. § 1926.1432(a). Consider a citation for violation of § 1926.1432(a) if more

than one crane/derrick is supporting the load and the employer has no plan for
a multiple-crane lift.

g. § 1926.1432(a)(1). Consider a citation of § 1926.1432(a)(1) if a qualified

person did not develop the plan.

h. § 1926.1432(a)(2). Consider a citation of § 1926.1432(a)(2) if the employer’s

plan did not address part of Subpart CC related to multiple crane lifts, such as
but not exclusively:

 Ground conditions, § 1926.1402

 Power line safety, §§ 1926.1407 to 1926.1411
167
  Signal requirements, §§ 1926.1419 to 1926.1422
 Work area control, § 1926.1424
 Keeping clear of the load, § 1926.1425
 Free fall and controlled load lowering, § 1926.1426

The above list contains some requirements of the standard that could be
implicated by a multiple crane lift operation. When the crane engaged in a
multiple lift violated some part of Subpart CC, and the lift plan was not
designed to prevent the violation, consider a citation for § 1926.1432(a)(2)
grouped with each applicable requirement of Subpart CC violated.

i. § 1926.1432(a)(3). Consider a citation of § 1926.1432(a)(3) if the qualified

person determined that engineering expertise was required to develop the
plan, but the employer did not provide it.

2. § 1926.1432(b). Plan Implementation.

The lift must be directed by a person (lift director) who satisfies the requirements
of a competent and qualified person or by a competent person assisted by one or
more qualified persons. The lift director must review the plan in a meeting with
all workers who are involved with the lift before the lift takes place. The meeting
must include employees of other companies involved with the lift operation.
Inspection Guidance

a. Interview the lift director, if the employer has one, and other employees
involved in the lift to verify that that a person or persons meeting the
requirements of § 1926.1432(b)(1) directed the lift. If there are indications
that the performance of a multiple-crane lift is unsafe, evaluate whether the
lift director was a qualified person. Obtain information about the level of
experience, knowledge, training and authority of the lift director and gauge
the applicability of this knowledge and experience to the hoisting job being
performed. Interviews may cover subjects such as:
 a description of the multi-crane lift plan;

 how the load was calculated;

 what ground conditions were addressed and how they were addressed;

 who selected and did the rigging;

 any determinations made about hazards identified and how the lift director
addressed these hazards;

 the lift director’s prior experience with similar lifts; and

 the individuals designated to perform required inspections.

168
 b. Interview the lift director, employer, and employees to determine whether a
meeting with all workers involved with the lift took place, and whether
employees were apprised of the plan during the meeting. If the lift director
modified the plan, did he or she hold another meeting to present the modified
plan.

Citation Policy

c. § 1926.1432(b)(1). If the person or persons who directed the lift do not meet
the requirements of this standard, consider a citation for § 1926.1432(b)(1).
Specify in the AVD what deficiencies in the lift director’s or directors’
qualifications were present (e.g., that the lift director was qualified, but not
competent). Also consider citing this standard if no one was assigned to direct
the lift.

d. § 1926.1432(b)(2). If there was no pre-lift meeting or if the meeting did not

cover the multiple crane/derrick lift plan, consider a citation of
§ 1926.1432(b)(2). Group this citation with § 1926.1400(f).

W. § 1926.1433. Design, Construction, and Testing.

Section 1926.1433 applies to equipment with manufacturer-rated hoisting/lifting

capacity of more than 2,000 pounds.

1. §§ 1926.1433(a) through (c), §§ 1926.1433(d)(7) through (d)(13), and

§ 1926.1433(e).

Sections 1926.1433(a) through (b) incorporate by reference minimum

requirements for design, construction, and testing of mobile and locomotive
cranes. Section 1926.1433(a) applies to equipment manufactured before
November 8, 2010; § 1926.1433(b) applies to equipment manufactured on or after
that date.

Section 1926.1433(c) provides requirements for the prototype testing of mobile,

locomotive, and tower cranes manufactured on or after November 8, 2010.
Prototype testing is the functional and safety testing which takes place, most often
at the place of manufacture or specialized laboratories, of a model of a particular
piece of equipment before it is manufactured, mass produced, and/or allowed to
enter the marketplace.

Sections 1926.1433(d)(7)-(d)(13) provide additional requirements for the design

and construction of all equipment covered by § 1926.1433.

Section 1926.1433(e) provides a “safe harbor” for employers who can show
manufacturer documentation indicating that the equipment is in compliance with
§§ 1926.1433(a) through (c) and §§ 1926.1433(d)(7) through (d)(13). This
provision does not apply if the equipment is modified, unless said modifications
are in compliance with § 1926.1434 (Equipment Modifications).
169
Inspection Guidance

a. Inspect the equipment and interview the employer and operator to determine
whether the equipment is manufacturer-designed and built, employer-
modified, or employer-built. If the employer modified the equipment, ensure
compliance with the requirements of § 1926.1434.

b. If a manufacturer designed and constructed the equipment, the employer does

not need to independently determine whether its equipment meets the
requirements of §§ 1926.1433(a)-(c) and §§ 1926.1433(d)(7)-(d)(13). The
employer can rely on documentation from the manufacturer, provided such
documentation exists. The employer is not required to maintain copies of the
manufacturer’s documentation on site.

c. If there are concerns that manufactured equipment does not comply with
§§ 1926.1433(a)-(c) or §§ 1926.1433(d)(7)-(d)(13), contact the equipment
manufacturer to obtain the manufacturer’s documentation.

Citation Policy:

d. §§ 1926.1433(a) through (c) and §§ 1926.1433(d)(7) through (d)(13). If the

equipment is employer-made or otherwise altered in violation of § 1926.1434,
or if the employer is unable to refer to documentation from the equipment
manufacturer, consider citations for violations of the relevant provisions of
§§ 1926.1433(a) through (c) and §§ 1926.1433(d)(7) through (d)(13). Do not
consider citations under § 1926.1433(e). When appropriate, citations for
violations of § 1926.1434 may be grouped with each citation under this
section.

If the manufacturer’s documentation reveals that the equipment does not meet
these requirements, advise the employer that it must either bring the
equipment into compliance or stop using it. The employer may be subject to
future citations under §§ 1926.1433(a)-(c) or §§ 1926.1433(d)(7) through
(d)(13) once this notice is provided. Similarly, if the employer is otherwise on
notice that manufactured equipment is out of compliance with requirements
under §§ 1926.1433(a) through (c) and §§ 1926.1433(d)(7) through (d)(13),
for example, if OSHA publishes a statement about a particular piece of
equipment that generally does not comply with §§ 1926.1433(a) through (c)
and §§ 1926.1433(d)(7) through (d)(13), or if the employer’s RPE has given
the employer notice that the equipment is out of compliance with
§§ 1926.1433(a) through (c) and §§ 1926.1433(d)(7) through (d)(13), the
employer may be subject to citations under these provisions.

e. § 1926.1433(e). This is not a citable requirement. Under § 1926.1433(e), if the

employer has not changed the equipment (except in accord with § 1926.1434
(Equipment modifications)) and the employer can refer to manufacturer
documentation demonstrating that the equipment meets the requirements of
170
 these sections, then it satisfies its obligations under §§ 1926.1433(a) through
(c) and §§ 1926.1433(d)(7) through (d)(13). See the Equipment Modifications
section in this directive for additional guidance regarding citations of
§ 1926.1434.

Note: OSHA anticipates that in most cases, the manufacturer will provide
documentation consistent with the requirements of this section. Noncompliance
with §§ 1926.1433(a) through (c) and §§ 1926.1433(d)(7) through (d)(13) is thus
most likely where the equipment is designed or built by the employer or another
non-manufacturer entity.

2. §§ 1926.1433(d)(1) through (d)(6). Sections 1926.1433(d)(1) through (d)(6)

contain requirements that apply to all equipment covered by subpart CC with a
manufacturer-rated hoisting/lifting capacity of more than 2,000 pounds.

Inspection Guidance:

a. Inspect the equipment and interview the employer and operator to confirm
compliance with §§ 1926.1433(d)(1) through (d)(6). The requirements under
§§ 1926.1433(d)(1) through (d)(6) may be used as a checklist.

b. Ask the operator or other personnel to see the rated capacity and related
information that must be available in the cab under § 1926.1433(d)(1).
Review the information for the minimum required information listed in
§ 1926.1433(d)(1)(i) through (xvi).

c. Inspect the equipment and interview the employer and operator to confirm
that load hooks, ball assemblies and load blocks meet the requirements of
§§ 1926.1433(d)(2) through (d)(3).

d. Ensure that all hooks are equipped with latches meeting the design
requirements of § 1926.1433(d)(4)(iii), unless (A) a qualified person
determined that it was safer to hoist and place the load without latches or with
the latches removed/tied back; and (B) the route for the load was pre-planned
to ensure that no employee (except employees necessary for hooking or
unhooking the load) was in the fall zone.

e. If latches are not used, interview the employer and operator to identify the
person who made safety determinations under § 1926.1433(d)(4)(ii)(A), and
verify that the person was qualified. Observe the operation of the equipment
to determine whether non-essential personnel were in the fall zone in violation
of § 1926.1433(d)(4)(ii)(B).

f. Confirm that all posted warnings are maintained in a legible condition

consistent with § 1926.1433(d)(5).

g. Ask the operator or other personnel to see the fire extinguisher and verify that
it is located on the equipment in accord with § 1926.1433(d)(6).
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 Citation Policy

h. §§ 1926.1433(d)(1) through (6). If the employer has not satisfied one of the
requirements listed in §§ 1926.1433(d)(1) through (d)(6), consider a citation
for violation of that provision. The citation should reference the most specific
provision(s) applicable. If the employer violates multiple requirements listed
in §§ 1926.1433(d)(1) through (d)(6), consider separate citations for each
violation. Citations may be grouped for penalty purposes.

X. § 1926.1434. Equipment Modifications.

1. § 1926.1434(a). Manufacturer’s Approval of the Modification Proposal.

Section 1926.1434(a) provides that modifications or additions that affect the

capacity or safe operation of the equipment are prohibited except where one of the
five options listed in §§ 1926.1434(a)(1) through (5) is met.

Modifications/additions must be approved by the manufacturer; or, if a

manufacturer is unavailable or unwilling to provide approval, an employer may
obtain approval from a registered professional engineer (RPE) who is a qualified
person with respect to equipment.

This section uses the term modification/addition to clarify that an addition to the
equipment is a type of modification. For example, the addition of a generator to
the back of the cab of a crane may be an addition that affects the capacity or safe
operation of the equipment because it alters backward stability.

§ 1926.1434(a)(1) permits modification/additions affecting the capacity or safe

operation of the equipment with manufacturer review and written approval. Load
charts, procedures, manuals and plates/tags/decals must all be updated to reflect
the modification.

§§ 1926.1434(a)(2) through (4) provides three situations in which the employer

can make modifications/additions affecting the capacity or safe operation of the
equipment without manufacturer review and written approval. These situations
are: the manufacturer refuses to review the request, the manufacturer is
unavailable, or the employer requests review, but the manufacturer does not
complete it within 120 days.

§ 1926.1434(a)(5) permits modifications without manufacturer review and written

approval and without the employer attempting to obtain approval, if the
equipment is used for marine work sites and contains major structural components
from more than one manufacturer.

Inspection Guidance

a. Determine by observation and interview whether modifications or additions

affecting the capacity or safe operation of the equipment have been made.
172
b. If any modifications or additions have been made, ask the employer if it has
obtained written approval from the manufacturer. Ask to see any written
approval to ensure that it conforms to the modifications or additions made.

c. If the employer does not have written approval from the manufacturer, ask
whether the employer requested manufacturer approval and whether any of
the situations in §§ 1926.1434(a)(2) through (4) applied. The employer must
have provided a detailed description of the proposed modification to the
manufacturer and asked the manufacturer to approve the particular
modification/addition.

 Ask the employer for copies of written requests for approval sent to the
manufacturer.

 Ask the employer what response it received after requesting manufacturer

approval. Review any documentation that the employer received from the
manufacturer.

 Did the manufacturer refuse the request to review approval, and if so,
why?

 Was the manufacturer unavailable? Is the manufacturer out of business?

Has no successor company has taken over?

 When did the employer send the request to review to the manufacturer?
Did the manufacturer respond within 30 days to acknowledge the request
or initiate the review?

 Did the manufacturer agree to review the request? If so, when? Have 120
or more days elapsed since the manufacturer agreed? Does the employer
have documentation to show that the manufacturer agreed to review the
request?

 Is the equipment designed for use on marine work sites (construction

worksites located in, on or above the water), with major structural
components from more than one manufacturer?

d. If the employer obtained written approval from the manufacturer, or if one of

the circumstances in §§1926.1434(a)(2) through (5) exempts the employer
from obtaining manufacturer approval, inspect load charts, procedures,
manuals and plates/tags/decals for updates that reflect changes as a result of
the modification/addition and confirm that the safety factor of equipment was
not reduced.

e. If the employer did not obtain written approval from the manufacturer, but
one of the circumstances in §§ 1926.1434(a)(2) through (5) applies, the
employer must satisfy the requirements of §§ 1926.1434(a)(2)(i) through (ii).
This section allows an employer to make modifications or additions that do
173
 not reduce the original safety factor of the equipment by using a qualified
RPE. The RPE must also update load charts, procedures, manuals and
plates/tags/decals to reflect the modification.

 If modifications were made without manufacturer approval, ask to see the

written approval from the RPE for those modifications. Sections
1926.1434(a)(2)(i) through (ii) do not expressly require the RPE approval
to be in writing, but the RPE must formally approve the change and
specify the equipment configurations.

 Interview the employer to determine the RPE’s experience, qualifications,

and familiarity with the type of equipment and modification. The RPE
must be a qualified person with respect to the equipment involved. This
means that the RPE must have specialized knowledge beyond that of a
general RPE to assess the particular modified equipment.

 Review the modification documentation and interview the

employer/operator to ensure that the modification conformed to the RPE’s
approval. An example of an approval that satisfies this requirement would
be: “This is an approval to add an additional boom section of the above-
described design for a brand K lattice boom crane, model 1. This approval
applies only when the crane is configured without a jib.”

Citation Policy

f. § 1926.1434(a). If the employer has not obtained the manufacturer’s written

approval under § 1926.1434(a)(1) and none of the circumstances under
§§ 1926.1434(a)(2) through (5) applies, consider a citation of § 1926.1434(a).

g. §§ 1926.1434(a)(1) through (5). If an employer has obtained the

manufacturer’s written approval under § 1926.1434(a)(1) or an exception
under §§ 1926.1434(a)(2) through (5) applies, but the employer failed to meet
one of the specific requirements under this section, consider a citation for
violation of the most specific applicable provision. For example, if the
employer obtained written approval from the manufacturer, but the safety
factor of the equipment was reduced, consider a citation for violation of
§ 1926.1434(a)(1)(iii). Likewise, if the employer requested manufacturer
approval, but the manufacturer refused to review the request and the RPE who
reviewed the modification was not qualified, consider a citation of
§ 1926.1434(a)(2)(i).

h. When considering citations under §§ 1926.1434(a)(3) through (5), if the

employer failed to meet one of the specific requirements from
§§ 1926.1434(a)(2)(i) through (ii) that are incorporated by reference into those
standards, the citation should group the applicable provision under
§§ 1926.1434(a)(3) through (5) that incorporates §§ 1926.1434(a)(2)(i)
through (ii) with the specific provision in §§ 1926.1434(a)(2)(i) through (ii)
174
 that was not satisfied. For example, if the employer has equipment that meets
the requirements of § 1926.1434(a)(3) because the manufacturer was
unavailable, but the RPE was not qualified, consider a citation of
§ 1926.1434(a)(3) grouped with § 1926.1434(a)(2)(i).

2. § 1926.1434(b). Manufacturer’s Rejection of the Proposed Modification.

If the manufacturer rejects the proposed modifications and provides reasons for
the rejection in writing, the employer may not make modifications or additions to
the equipment.

Inspection Guidance

a. Determine by observation and interview whether modifications or additions

affecting the capacity or safe operation of the equipment have been made.

b. If any modifications or additions have been made, ask the employer if it

obtained written approval from the manufacturer.

c. If the employer does not have written approval from the manufacturer,
interview the employer to determine whether the employer requested
manufacturer approval and whether the employer received a response.

d. If the employer received a written response from the manufacturer rejecting

the proposed modification, interview the employer to determine why the
employer proceeded with the modification. Ask to review the manufacturer’s
response and read it to determine whether it contains reasons for the rejection.

e. If the manufacturer rejects the proposed modifications, but does not do so in

writing, or does not explain the rejection in writing, the employer should
follow § 1926.1434(a)(2). Refer to guidance for enforcement of
§ 1926.1434(a)(2), above.

Citation Policy

f. §§ 1926.1434(a)(2)(i) through (ii). Consider a citation for violation of

§§ 1926.1434(a)(2)(i) through (ii) if the manufacturer rejects the proposal for
modification without explaining the rejection in writing and the modification
failed to meet one or more of the requirements listed in §§ 1926.1434(a)(2)(i)
through (ii). For example, if the manufacturer rejects proposed modifications
in writing without explaining the rejection and the RPE required under
§ 1926.1434(a)(2)(i) is not qualified, but the employer proceeds with the
modification, consider a citation of § 1926.1434(a)(2)(i).

Do not group the citation with § 1926.1434(b) because the employer has
satisfied the requirements in § 1926.1434(b), and the manufacturer’s
inadequate rejection notice is the equivalent of a refusal to review the request
in § 1926.1434(a)(2).
175
 g. § 1926.1434(b). Consider a citation of § 1926.1434(b) if the employer
modifies/adds to equipment after the manufacturer has rejected the proposed
modification/addition in writing and explained the rejection.

Y. § 1926.1435—Tower Cranes—Supplemental Requirements.

1. § 1926.1435(a). Section 1926.1435 addresses the supplemental requirements for

tower cranes, as they are defined in § 1926.1401. All sections in Subpart CC
apply to tower cranes unless stated otherwise.

Tower Crane: a type of lifting structure which utilizes a vertical mast or tower to
support a working boom (jib) in an elevated position. Loads are suspended from the
working boom. While the working boom may be of the fixed type (horizontal or angled)
or have luffing capacity, it can always rotate to swing loads, either by rotating on the top
of the tower (top slewing) or by rotation of the tower (bottom slewing). The tower base
may be fixed in one location or ballasted and moveable between locations. Mobile
cranes that are configured with luffing jib and/or tower attachments are not considered
tower cranes under this section.

Citation Policy

a. § 1926.1435(a). This provision should not be cited because it is only

informational.

2. § 1926.1435(b)(1). Assembly/Disassembly Process.

Sections 1926.1403 (Assembly/Disassembly—selection of manufacturer or

employer procedures), 1926.1404 (Assembly/Disassembly—general requirements
(applies to all assembly and disassembly operations)), 1926.1405 (Disassembly—
additional requirements for dismantling of booms and jibs (applies to both the use
of manufacturer procedures and employer procedures) and 1926.1406

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 Assembly/disassembly (A/D): the assembly and/or disassembly of equipment covered under
this standard. With regard to tower cranes, “erecting and climbing” replaces “assembly” and
“dismantling” replaces “disassembly.” Regardless of whether the crane is initially erected to its
full height or is climbed or jumped in stages, the process of increasing the height of the crane is
an erection process.

All assembly and disassembly operations must comply with either the procedures specified by
the manufacturer or procedures developed by the employer that meet the criteria listed in §
1406. Under either alternative, they must comply with all manufacturer prohibitions.

Climbing and/or jumping qualify as assembly.

Climbing or Jumping: these two terms, which have the same meaning, refer to the process in
which a tower crane is raised to a new working height. In many cases, a tower crane is first
erected and used at one height, and then as the height of the structure being built increases, the
height of the tower crane is increased in stages to keep pace with it, either by adding additional
tower sections to the top of the crane (top climbing), or by a system in which the entire crane is
raised inside the structure (inside climbing). (The term “jumping” is also used in reference to
derricks, but it has a different meaning.)

Inspection Guidance

a. Inspect the rigging used for erecting and dismantling. Conduct this inspection
even if no erecting or dismantling is underway.

b. Verify if the manufacturer’s procedures call for specific rigging fixtures for
hoisting the sections.

 Are the fixtures in proper condition?

 If rigging does not match the manufacturer’s procedures, are there

employer procedures for the gear used?

Citation Policy:

c. §§ 1926.1435(b)(1) and 1926.1403-.1406. When considering a citation for

violation of a requirement listed under §§ 1926.1403 through 1926.1406, cite
to the provision or provisions within those standards containing the most
specific applicable requirements. Because § 1926.1435(b)(1) amends
§§ 1926.1403-.1406 to address hazards specific to cranes, each citation under
§§ 1926.1403-.1406 involving tower cranes should be grouped with §
1926.1435(b)(1).

3. § 1926.1435(b)(2). Dangerous Areas. (Self-erecting Tower Cranes).

A self-erecting tower crane is a tower crane that erects while controlled from ground
level without the assistance of another crane.

177
During erection, climbing and dismantling, no one is permitted to be in or under
the tower, jib or rotating portion of the crane until a competent person indicates it
is safe and the crane is secured in a locked position unless (1) the manufacturer’s
instructions direct them to be there, and (2) the personnel under the tower, jib or
rotating portions of the crane are necessary personnel.

Other personnel may enter the area in or under the tower, jib or rotating portion of
the crane only after the competent person in charge indicates it is safe and the
crane is secured in a locked position.

Inspection Guidance

a. If the crane is being erected, climbed or dismantled, determine by observation

and interview whether personnel are or were in the area in or under the tower,
jib or rotating portion of the crane, and if so, how many personnel were in that
area.

b. If personnel are or were in this area during erection, climbing or dismantling,

interview the employer or operator to determine whether this was after the
competent person in charge indicated that it was safe, and after the crane was
secured in a locked position.

 Ask the operator or employer who the competent person was, and, if
possible, interview that person to verify that person is competent. Ask the
competent person how he or she knew that it was safe to enter these areas.

 Verify by observation and interview that the crane is secured in a locked

position.

c. If the crane was not secure or a competent person did not indicate it was safe
to be in or under the tower, jib or rotating portion of the crane:

 Review the manufacturer’s instructions to determine whether erection,

climbing or dismantling had tasks that required employees to be in this
area of the crane.

 Determine by interview of the employer, operator, competent person

and/or other employees what each person under the tower, jib or rotating
portion of the crane was doing and whether it was a task required by the
manufacturer’s instructions.

 Determine who decided the number of personnel and which personnel

would be in the area under the tower, jib or rotating portion of the crane
before it was secured. Interview that person to assess how he or she made
that determination.

 An employer has discretion in determining which or how many personnel

are necessary to complete the manufacturer’s instruction, but the work
178
 being done by personnel under the tower, jib or rotating portion of the
crane must correspond with the manufacturer’s instructions.

Citation Policy:

d. § 1926.1435(b)(2). Consider a citation for violation of this standard if a self-

erecting tower crane is not secured in a locked position or a competent person
did not determine it was safe to enter the area under the tower, jib, or rotating
portion of the crane, and one of the following two circumstances is present:

 if there were personnel in the area under the tower, jib, or rotating portion
of the crane before it was secured, and the manufacturer’s instructions do
not require personnel to be in this area in order to erect, climb, or
dismantle the crane, or

 if there were personnel in the area under the tower before it was secured,
but they were not determined to be necessary personnel by the employer,
operator or other competent person involved in the erecting, climbing, or
dismantling of the crane, or they are not performing tasks required by the
manufacturer’s instructions.

 Specify in the AVD which circumstance gave rise to the citation.

3. § 1926.1435(b)(3). Foundation and Structural Supports.

Foundation and structural supports must be designed by the manufacturer or a

registered professional engineer (RPE). Structural supports include the portions of
the structure used for support of the tower and the means of attachment.

Inspection Guidance

a. Determine through interview of the employer, operator and/or other

personnel, whether the foundation and structural supports of the tower crane
were designed by the manufacturer or an RPE.

 Request and inspect any documentation that shows who designed the
foundation and structural support of the crane. (The building department’s
approval documentation may be evidence.) Note that the employer is not
required to have such documentation on site.

 Examine any documentation and/or ask the employer to describe how the
crane’s foundation was built. Look at the foundation and supports. Is there
evidence that it was built according to the engineer’s plans and
specifications?

 If an RPE designed the foundation and structural supports, verify the

RPE’s credentials, if possible.

179
  If there are doubts that the foundation or structural support were designed
by the manufacturer or an RPE, or that they comply with that design,
request that the employer obtain records of the foundation and structural
support design from the manufacturer or RPE and make those available
for inspection.

 Some structural support work may be considered steel erection if it meets

the scope of the standard as described in § 1926.750(b).

Citation Policy:

b. § 1926.1435(b)(3). If the foundation and structural supports were not designed

by manufacturer or RPE, consider a citation of this standard.

4. § 1926.1435(b)(4). Hazards Specific to Tower Cranes that must be addressed by

the A/D Director.

This section incorporates the requirements for specific hazards from

§§ 1926.1404(h)(1) through (h)(9) and adds additional requirements in
§§ 1926.1435(b)(4)(i) through (iii) for the A/D director. See section on
Assembly/Disassembly in this directive for additional inspection guidance
regarding citations for violations of the requirements of §§ 1926.1404(h)(1)
through (h)(9).

Inspection Guidance

a. When inspecting or investigating the erection process for tower cranes,

consider asking the following questions to obtain information regarding the
erection operation and the qualifications of the A/D director:

 Who is the A/D director? Is he or she present on site?

 Whose procedures are being used for the climb/jump—the manufacturer’s
or the employer’s?
 Can the A/D director explain the procedures?
 Were the procedures for climbing/jumping reviewed by the A/D director?
 How many tower crane climbs/jumps has the A/D director
performed/directed?
 Has the A/D ever directed climbs/jumps before and was he or she the only
one directing?
 If the A/D director did not direct the climb/jump, who did?
 What kind of training or education does the A/D director have to qualify
him or her for climbing/jumping cranes?
 What type of slings does the A/D director use?
 How does the A/D director inspect slings before jumping?
 Has the crew been trained on the hazards of the erection for their
respective roles?

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  Who trained the A/D director?

Citation Policy:

b. §§ 1926.1404(h)(1) through (h)(9) and 1926.1435(b)(1). If the A/D director

failed to address specific hazards listed in §§ 1926.1404(h)(1) through (h)(9),
consider citations under the specific provision or provisions of
§§ 1926.1404(h)(1) through (h)(9) that were violated, and group each with a
citation of § 1926.1435(b)(1), as discussed above. Citations under
§§ 1926.1404(h)(1) through (h)(9) should not be issued under
§ 1926.1435(b)(4).

c. §§1926.1435(b)(4)(i) through (iii). If the A/D director failed to address one of

the supplemental hazards in this section, consider a citation for violation of
the specific provision which the A/D director failed to address. If multiple
provisions were not addressed, consider separate citations for each violation.
Multiple citations under §§ 1926.1435(b)(4)(i) through (b)(4)(iii) may be
grouped for penalty purposes.

5. § 1926.1435(b)(5). Towers must meet manufacturer’s plumb tolerance, or where

not specified, a minimum plumb tolerance of 1:500. A qualified person must
verify plumb tolerance.

Inspection Guidance

a. Determine how plumb tolerance was verified. If possible, interview the

employee(s) involved in determining plumb tolerance, and whether the
employee was qualified in accord with the definition of qualified person in
§ 1926.1401, and what plumb tolerance was used.

Citation Policy:

b. § 1926.1435(b)(5). Consider a citation for violation of this standard if (1) the

manufacturer’s plumb tolerance was specified but not met, or (2) the
manufacturer’s plumb tolerance was not specified and a minimum tolerance of
1:500 was not used, or (3) a non-qualified person verified plumb tolerance.

6. § 1926.1435(b)(6). Where there is more than one fixed jib (hammerhead) tower
crane, cranes must not be able to come in contact with one another. Cranes may
pass over one another without violating the standard.

Inspection Guidance

a. If there are multiple cranes, determine if they may be able to contact one
another. If so, address this during employer and operator interviews.

Citation Policy

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 b. § 1926.1435(b)(6). If there are multiple fixed jib tower cranes that could
potentially come in contact with one another, consider a citation of this
standard.

7. § 1926.1435(b)(7). This paragraph contains requirements for climbing procedures

in §§ 1926.1435(b)(7)(i) through (b)(7)(ii). Employers must comply with
manufacturer prohibitions and have an RPE verify that the host structure can
sustain imposed forces to prevent collapse hazards. Examples of typical host
structures include a building, parking garage, bridge or pier.

Climbing: the process in which a tower crane is raised to a new working height, either by
adding additional tower sections to the top of the crane (top climbing), or by a system in
which the entire crane is raised inside the structure (inside climbing).

Inspection Guidance

a. Determine if the manufacturer’s procedures or the employer’s procedures are

being used for climbing. Request to review the instructions used.

b. Determine by interview who verified the structural stability. Request any

available documentation which verifies the RPE’s credentials and/or if the
RPE is available on site; interview to verify credentials. Note that the
employer is not required to maintain a record of the RPE or that person’s
credentials on site.

Citation Policy:

c. § 1926.1435(b)(7)(i). Consider a citation of this standard if the employer did

not comply with the manufacturer’s climbing requirements.

d. § 1926.1435(b)(7)(ii). Consider a citation of this standard if the employer did

not have an RPE verify the structure’s ability to sustain imposed forces prior
to a climb.

8. § 1926.1435(b)(8). This paragraph contains requirements for the counterweight

and/or ballast on a tower crane. Equipment must not be erected, dismantled or
operated without the amount and position of counterweight/ballast specified by
the manufacturer or RPE in place. The maximum weight may not be exceeded.

Inspection Guidance

a. Find out if the manufacturer’s procedures or RPE specifications for amount

and position of counterweight/ballast are being used. Does the amount and
position of counterweight/ballast conform to these specifications?

Citation Policy

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 b. § 1926.1435(b)(8)(i). Consider a citation of this standard if the employer did
not meet the manufacturer’s or RPE specifications for the amount and position
of counterweight/ballast being used.

c. § 1926.1435(b)(8)(ii). Consider a citation of this standard if the employer

exceeded the maximum counterweight/ballast permitted by the manufacturer
or RPE.

9. § 1926.1435(c). Signs, banners, or similar items on tower cranes must be in

accord with the manufacturer’s specifications, or if unavailable, an RPE must
approve their size and location in writing.

Inspection Guidance

a. Verify the location of signs and interview the employer to determine whether
the manufacturer’s specifications or RPE specifications were used.

b. Request to review the manufacturer’s instructions, if available, to determine

whether placement and size are correct.

c. If RPE provided size and location requirements for signs, ask to review
written specifications.

Citation Policy

d. § 1926.1435(c). Consider a citation of this standard (1) if the location or size

of signs/banners is inconsistent with the manufacturer’s instructions, or (2) if
the manufacturer’s instructions are unavailable and RPE has not provided
written size and location specifications, or (3) if signs/banners do not conform
with RPE specifications. Specify in the AVD which of these circumstances
gave rise to the citation.

10. § 1926.1435(d). The safety devices requirements of § 1926.1415 does not apply
to tower cranes (see § 1926.1435(d)(1)). Instead, Section 1926.1435(d) contains
the requirements for safety devices that are applicable to tower cranes:

 § 1926.1435(d)(2). The safety devices in §§ 1926.1435(d)(2)(i) through

(d)(2)(x) are mandatory on tower cranes.

 § 1926.1435(d)(3). Operations must not begin unless devices in

§§ 1926.1435(d)(2)(i) through (d)(2)(x) are in proper working order. If a
device stops working, the operator must safely stop operations. Equipment
must be taken out of service until the device is working properly.

 Section 1926.1417(f) contains requirements for proper tag-out procedures

which must be followed when the employer takes equipment or a function of
the equipment out of service, such as, for example, when a safety device in
§§ 1926.1435(d)(2)(i) through (d)(2)(x) is not functioning. Under
183
 § 1926.1417(f)(1), a tag must be placed in the cab stating that the equipment is
out of service and not to be used, or if only a specific function is out of
service, the tag must be located conspicuously and identify the function that is
out of service. Under § 1926.1417(f)(2), the operator must not start the
equipment or use the function until the sign has been removed by an
authorized person or the equipment otherwise meets the requirements of this
section. See section on Operation and Authority to Stop in this directive for
additional guidance regarding citations for violations of the requirements of
§ 1926.1417.

Inspection Guidance

a. Verify through operator interview that safety devices are present on the
equipment and that they are functioning properly. The devices listed in
§ 1926.1435(d)(2) can be used as a checklist. Ask the operator to point out the
devices listed.

b. If a device listed in §§ 1926.1435(d)(2)(i) through (d)(2)(x) is missing or not

functioning, check:

 whether the equipment is being operated, and if not, when the equipment
was last operated;

 whether a proper tag-out procedure under § 1926.1417 has been followed;

 when the safety device was removed/when the safety device ceased to
function;

 when repair is scheduled to occur, or when replacement was ordered and

is scheduled to arrive.

c. If a device malfunction is observed, note whether the operator ceases

operations and how they are stopped.

d. For the application of this provision, “safely stop operations” gives notice to
the employer that the operator is not necessarily expected to stop the
equipment immediately if doing so would create a hazardous situation. Under
this provision, the operator must rely on her or his knowledge and skills to
determine when stopping the hoisting operation would create a greater hazard.
Operations may not resume until such time as the aid or device has been
repaired or replaced.

 For example, when stopping the hoisting operations immediately would

suspend the load over people and the equipment could be safely operated
longer to allow the load to be landed or swung and suspended in/over a
location that would not be a hazard.

 Another example could be when stopping the hoisting operation

184
 immediately would not allow a structural member of a building to be
supported or moved so that the member could be secured.

Citation Policy

e. §§ 1926.1435(d)(2)(i) through (d)(2)(x). If a safety device required by this

section is missing, consider a citation for the provision which requires the
specific device. For example, § 1926.1435(d)(2)(ix) requires an emergency
stop switch at the operator’s station. If there is no such switch, consider a
citation under § 1926.1435(d)(2)(ix). If multiple safety devices listed in
§§ 1926.1435(d)(2)(i) through (d)(2)(x) are missing, consider issuing a
separate citation for each of the missing safety devices.

f. § 1926.1435(d)(3). Consider a citation for violation of this standard under the

following circumstances:

 if a device or devices listed in §§ 1926.1435(d)(2)(i) through (d)(2)(x) is

not functioning and the equipment is being operated;

 if a device ceases to function, and the operator does not stop operations;
group this citation with § 1926.1400(f);

 if a device ceases to function, the operator stops operations in a safe

manner, but then the employer does not take equipment out of service and
resumes operations before the device is working properly;

 if a device ceases to function and the operator stops operations in an

unsafe manner.

- Generally, when operations have been stopped and it is determined

that doing so created a hazardous condition, this provision would not
be cited by itself because it is more likely that another applicable
provision of 29 CFR Part 1926 was violated. Therefore, a grouped
citation could be considered. For example, a provision under
§ 1926.1424, Working Area Control, could have been violated.
Consider grouping citations for violations of §§ 1926.1435(d)(3) and
the applicable requirement of § 1926.1424.

The AVD of the citation should list the specific safety device(s) in
§§ 1926.1435(d)(2)(i) through (d)(2)(x) not functioning.

Even if multiple devices on one piece of equipment are not functioning

properly in violation of this standard, only one citation under
§ 1926.1435(d)(3) may be issued.

g. § 1926.1417(f). Consider citing § 1926.1417(f) if proper tag-out procedures

are not followed when a safety device is missing or is not functioning
properly.
185
11. § 1926.1435(e). The operational aids requirement of § 1926.1416 does not apply
to tower cranes. Section 1926.1435(e) contains the requirements for operational
aids that are applicable to tower cranes:

 § 1926.1435(e)(2). The operational aids in §§ 1926.1435(e)(5) through (e)(6)

are mandatory on tower cranes.

 § 1926.1435(e)(3). Operations must not begin unless devices in this section

are in proper working order or a temporary alternative measure is used. More
protective alternatives recommended by the manufacturer must be followed.

 § 1926.1435(e)(4). If a device stops working, the operator must safely stop

operations until temporary alternative measures are implemented or the device
is working properly.

 §§ 1926.1435(e)(5) through (e)(6). When devices listed in

§§ 1926.1435(e)(5)(i) through (e)(5)(viii) are not working properly and a
temporary alternative measure has been implemented, the faulty device must
be repaired no later than 7 calendar days after they stop working. When
devices listed in §§ 1926.1435(e)(6)(i) through (e)(6)(vi) are not working
properly they must be repaired no later than 30 calendar days after they stop
working. Exception to the requirements of §§ 1926.1435(e)(5) through (e)(6):
if necessary parts were ordered within 7 calendar days of a deficiency and the
replacement is not received in time, repair must be completed within 7 days of
receiving the part.

 § 1926.1435(e)(5)(vi). When citing the employer for failure to implement the

temporary alternative measure, group with § 1926.1400(f).

 § 1926.1417(j). This section contains requirements for when equipment

adjustments or repairs are needed, including when operational aids in
§§ 1926.1435(e)(5) through (e)(6) are missing. Under § 1926.1417(j)(1), the
operator must inform each person designated to receive notice of necessary
repairs, including the next operator, in writing, of the needed repair. Under
§ 1926.1417(j)(2), the employer must also notify affected employees. See
section on Operation and the Authority to Stop in this directive for additional
guidance regarding citations for violations of the requirements of §
1926.1417.

Inspection Guidance

a. Verify that operational aids are present on the equipment and functional. The
equipment listed in §§ 1926.1435(e)(5) through (e)(6) can be used as a
checklist. Ask the operator to point out the devices listed.

Note that three of the operational aids are only required on equipment
manufactured after November 8, 2011 (hoist drum lower limiting device

186
 under § 1926.1435(e)(5)(iv), hook radius indicators on hammerhead tower
cranes under § 1926.1435(e)(6)(i)(B), and load indicating devices under
§ 1926.1435(e)(6)(vi)).

If an operational aid is missing or not functioning, determine if a proper

temporary alternative measure is in use.

b. Observe and note whether the tower crane is operated without the operational
aid or temporary alternative measure.

c. If a tower crane is being operated with a temporary alternative measure, ask

the employer about the date that the operational aid ceased to function
properly, the temporary alternative measure that was put in place, and when
replacement parts were ordered. (such as an order confirmation)

 Verify that the temporary alternative measure in place meets the

applicable requirements in §§ 1926.1435(e)(5) through (e)(6), or those of
the manufacturer, if the manufacturer’s requirements are more protective.

 Verify that the procedures in § 1926.1417(j) are also followed.

d. If the tower crane is not observed in operation, but an operational aid listed in
§§ 1926.1435(e)(5) through (e)(6) is missing and no temporary alternative
measure is properly in place, determine:

 when the equipment was last operated;

 whether inspections required by § 1926.1412 were conducted;

 whether proper tag-out procedure under § 1926.1417(f) has been followed;

 when the operational aid was removed;

 the deadline for replacement pursuant to the 7-day calendar requirements

of § 1926.1435(e)(5) or the 30-day calendar requirements of
§ 1926.1435(e)(6) and whether that deadline has passed; and

 when repair is scheduled to occur, or when replacement aid was ordered

and is scheduled to arrive; if a replacement part is not available, the
substitution of a device that performs the same function would not be
subject to § 1926.1434 manufacturer or RPE approval.

e. If a device malfunction is observed, note whether the operator ceases

operations and how they are stopped. See guidance concerning whether the
operator “safely stopped operations” as discussed in this directive under
§ 1926.1435(d), Safety Devices.

187
f. If a wind speed device is not used, ask the employer and operator who
determined that wind was not a factor. Verify that the individual who made
the determination meets the definition of a competent person for that task and
if possible, ask for a description of how the determination was made.

Citation Policy:

g. § 1926.1435(e)(2). If an operational aid listed in §§ 1926.1435(e)(5) through

(e)(6) is missing and no temporary alternative measure is properly in place,
consider a citation for violation of § 1926.1435(e)(2). For example, if there is
not an anti two-blocking device and no temporary alternative measure is in
place, consider a citation of § 1926.1435(e)(2).

h. § 1926.1435(e)(3). If a device listed in §§ 1926.1435(e)(5) through (e)(6) is

not functioning, no temporary alternative measure is properly in place and the
equipment is being operated, consider a citation of § 1926.1435(e)(3). If the
device stops working and the operator does not safely stop, group this citation
with § 1926.1400(f).

i. §§ 1926.1435(e)(2) through (3). For citations under both of these standards:

 The AVD of the citation should list the specific missing or nonfunctioning
operational aid(s) noted in §§ 1926.1435(e)(5) through (e)(6).

 In addition, if a temporary alternative measure has been established, but

not successfully implemented, the AVD should list the specific temporary
alternative measure that the employer attempted to use and explain why it
was inadequate.

 Even if multiple aids on one piece of equipment are not present or not
functioning on a particular tower crane, only one citation under
§ 1926.1435(e)(2) and one citation under § 1926.1435(e)(3) or may be
issued.

j. § 1926.1435(e)(4). Consider a citation of this standard if: (1) a device ceases

to function, and the operator does not stop operations; (2) the operator ceases
operations in an unsafe manner; or (3) the operator safely ceases operations,
but resumes them without implementing a temporary alternative measure.
Group this citation with § 1926.1400(f).

Generally, when operations have been stopped and it is determined that doing
so created a hazardous condition, this provision would not be cited by itself
because it is more likely that another applicable provision of 29 CFR Part
1926 was violated. Therefore, a grouped citation could be considered. For
example, a provision under § 1926.1424, Working Area Control, could have
been violated if the load is left suspended over employees. Consider grouping
citations for violations of § 1926.1435(e)(4) and the applicable requirement of

188
 § 1926.1424.

Where the inspection reveals the operator halted operations upon discovery of
the deficiency, but then resumed operations, then this provision may be
grouped along with § 1926.1435(e)(3).

k. §§ 1926.1435(e)(2) or (e)(3) and §§ 1926.1435(e)(5) or (e)(6). If the employer

is operating equipment with a temporary alternative measure properly in
place, but the applicable time limit established by §§ 1926.1435(e)(5) or (e)(6)
has lapsed, consider a citation for violation of the time limit.

 The citation should group § 1926.1435(e)(2) for missing operational aids

or § 1926.1435(e)(3) for nonfunctioning operational aids with
§§ 1926.1435(e)(5) or (e)(6), depending on the operational aid that is
missing or not functioning.

 The AVD should list the specific provision in §§ 1926.1435(e)(5)(i)

through (e)(5)(viii) or §§ 1926.1435(e)(6)(i) through (e)(6)(vi) requiring
the missing or non-functioning operational aid and the corresponding
temporary alternative measure used.

 If there are multiple operational aids in disrepair for more than 7 days,
only one citation should be issued.

l. § 1926.1417(f). If proper tag-out procedures are not followed, consider a

citation for § 1926.1417(f).

m. § 1926.1417(j). If proper notification procedures are not followed when an

operational aid under § 1926.1435(d)(2) is missing or is not functioning
properly, consider a citation for violation of this standard.

12. § 1926.1435(f)(1). The inspection requirements of sections 1926.1412 and

1926.1413 apply to tower cranes, except that “assembly” is replaced by
“erection.” See the Inspections and Wire Rope Inspections sections in this
directive for additional guidance regarding citations for violations of requirements
of §§ 1926.1412 and 1926.1413.

Citation Policy

a. §§ 1926.1435(f)(1) and 1926.1412. When considering a citation for violation

of a requirement listed under § 1926.1412, cite the provision or provisions
within those standards containing the most specific applicable requirements.
Because § 1926.1435(f)(1) amends § 1926.1412, each citation under
§ 1926.1412 involving tower cranes should be grouped with
§ 1926.1435(f)(1).

189
13. § 1926.1435(f)(2). Components are often damaged during shipping to a jobsite.
This paragraph establishes the following requirements for a pre-erection
inspection:

 Under § 1926.1435(f)(2)(i), before each crane component is erected, it must

be examined by a qualified person to determine whether components are
damaged or worn.
 Under § 1926.1435(f)(2)(ii), if the qualified person determines that a
component is damaged/worn enough to create a safety hazard, the component
must not be erected until it is repaired or replaced and re-inspected by a
qualified person.
 Under § 1926.1435(f)(2)(iii), if the qualified person determines that the
component should be monitored, it must be checked at monthly inspections
and documented.
Inspection Guidance

a. In the opening conference, ask the employer if a pre-erection inspection was

done.

b. Ask who conducted the inspection and verify if that person is qualified.

c. If, during pre-erection inspection, the qualified person determined that

something should be monitored, ask to see records of the monthly review of
this issue.

Citation Policy

d. § 1926.1435(f)(2)(i). If no pre-erection inspection was conducted, or the pre-

erection inspection was not conducted by a qualified person, consider a
citation of this standard.

e. § 1926.1435(f)(2)(ii). If a qualified person determined that damage presented

a safety hazard and the component was erected without repair or without re-
inspection, consider a citation of this standard.

f. § 1926.1435(f)(2)(iii). If a qualified person determined that a component

should be monitored during the pre-erection inspection, and the employer is
not checking this during monthly inspections, consider a citation of this
standard.

14. §§ 1926.1435(f)(3) through (f)(5). This section specifies supplemental

requirements for the post-erection inspection, the monthly inspection and the
annual inspection.

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 Inspection Guidance

a. Ask for monthly and annual inspection reports for crane and wire rope. Shift
inspection reports are not required to be written, but check if they are
available.

b. Ask who conducted the required inspections and verify if that person is
competent/qualified.

c. If the person who conducted the inspection is on site, verify that the specific
items listed were checked during the inspection. If there is a deficiency in one
of the items listed for inspection, ask whether or not that item was checked
during the appropriate inspection.

Citation Policy

Climbing Tower Cranes

Only climb tower cranes after having received the Area Director’s approval, proper
training, and equipment.

d. §§ 1926.1435(f)(3) through (f)(5). If an item which should have been

included in the inspection was not inspected, consider a citation for violation
of the specific provision. If multiple items were not addressed, consider
separate citations for each violation. Multiple citations under §
1926.1435(f)(3), (f)(4) or (f)(5) may be grouped for penalty purposes. For
example, if the post-erection inspection was not conducted in accord with the
manufacturer’s instructions as required by § 1926.1435(f)(3)(ii), consider a
citation of that specific requirement. If, however, in addition to this violation,
the load test did not use properly certified weights in violation of §
1926.1435(f)(3)(i), citations of both provisions may be issued separately or
grouped.

AA. § 1926.1441. Derricks, Supplemental Requirements

Introduction. Section 1926.1436 addresses the supplemental requirements for

derricks, both temporarily and permanently mounted. Most requirements of this
section apply to all derricks; however, some are only applicable to a particular type of
derrick. In this section of the directive, the Inspection Guidance and Citation Policies
for those general requirements are discussed.

191
 Derrick: powered equipment consisting of a mast or equivalent member that is held at or near
the end by guys or braces (with or without a boom) and its hoisting mechanism. The mast or
load is moved by the hoisting mechanism and operating ropes.

- Derricks include A-frame, basket, breast, Chicago boom, gin pole (except when used for
erection of communication towers), guy, shearleg, and stiffleg derricks, as well as variations of
such equipment.

- Gin poles used to erect communication towers are not covered by subpart CC
(1926.1400(c)(12)).

1. § 1926.1436(a). All sections in Subpart CC apply to derricks unless stated

otherwise.

Citation Policy

a. §§ 1926.1436(a). When requirements in other sections of Subpart CC are not

met that are applicable to derricks, consider citations of those applicable
provisions. Section 1926.1436(a) must not be cited because it merely notifies
the employer of the scope of Subpart CC requirements that are applicable to
derricks.

2. General Requirements that Apply to All Derricks.

All sections of Subpart CC (other than 1926.1436) apply to derricks unless

specified otherwise.

Under section 1926.1436 the following general requirements apply to all derricks
as well:

 § 1926.1436(b). Operation-procedures information on load chart contents and

its location on the worksite.

 § 1926.1436(c)(1). General derrick strength and welding requirements.

 §§ 1926.1436(d)(1). Load anchoring data developed by the manufacturer or

by a qualified person.

 §§ 1926.1436(e) through (q).

Inspection Guidance

a. Determine through interviews whether the derrick has been taken out of
service. If, so verify that the boom has been secured in accord with one of the
methods specified under § 1926.1436(m)(2).

b. Observe the operation of the derrick, ask the employer, and use information
obtained from interviews, to verify:
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  the type of derrick used at the jobsite.

 the manufacturing date of the derrick and its capacity. For equipment
manufactured after November 8, 2011, ask the operator whether the
equipment has a load weight/capacity device listed in § 1926.1436(f)(3)(i),
and verify whether the device is functional. Ask the operator locate the
device on the derrick.

 the derrick is being used safely.

 the qualifications of the operator.

 that operation procedures from the manufacturer or employer are available

to the operator .

Enforcement of § 1926.1417(b) with Derricks

Section 1926.1417(a) requires that the employer comply with all manufacturer procedures for
operations. Section 1926.1417(b)(2) provides that, if these procedures are unavailable, a qualified
person may develop procedures, and under § 1926.1417(b)(3), procedures related to capacity must
be developed and signed by an RPE who is familiar with the equipment.

In operations using derricks, the qualified person may or may not be employed by the employer.
Because many derricks are custom-built, it is essential for derrick operators, inspectors,
maintenance personnel and hoisting crew to be able to access information developed by a
qualified person to assure safe use of the derrick.

 where the load charts are located.

 that the information specified in § 1926.1436(b)(2) are on the load chart.

 that anchoring data developed by the manufacturer or a qualified person

was used.

 that the operational aids listed in § 1926.1416(d) (except as modified by

§ 1926.1436(f)(1)) and §§ 1926.1436(f)(2) and (f)(3) are present on the
equipment and that they are functioning properly. Ask the operator to
locate the aides on the derrick.

 derrick anchorages (including the structure to which the derrick is

attached) were approved by a qualified person.

 that a qualified person determined if any special testing was needed of any
rock or hairpin anchorages that were used.

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Hairpin anchor: a hairpin-shaped, guy-supporting anchor that is placed in footings or walls
before concrete is poured and is held in place by the cured concrete.

Rock anchor: an anchoring device inserted in a hole drilled into rock or concrete. The device is
secured in the hole to withstand a predetermined load.

 if the derrick has had any repairs or modifications that would affect its
capacity or safe use.

 that guys, if used, have been inspected for proper tensioning.

 that the operator and employees have been trained in their duties regarding
the safe use of the derrick.

c. Ask for and review the monthly and annual inspection documentation to
verify that the required inspections have been completed by a person meeting
the requirements of either a competent or qualified person as required to
conduct the inspection.

d. If the derrick is newly-installed, reinstalled, needed special testing of rock or

hairpin anchors, or has undergone repairs or modifications that affect the
capacity or safety of the derrick, ask for and review available documentation
of any required load testing to verify that the tests were conducted and the
derrick’s safety was evaluated by a qualified person.

e. During interviews, identify the individual who ensured that the derrick was
designed and constructed in accord with § 1926.1436(c)(1)(i). If possible,
verify the qualifications of that person.

f. Inspect the guy derrick and verify through interview that anchoring data was
developed by the manufacturer or a qualified person and that information was
used in accord with § 1926.1436(d).

g. If there are observed deficiencies in the welds of the derrick’s load sustaining
members, refer to ANSI/AWS D14.3-94 and AWS D1.1M:2002 and any other
applicable guidance to verify that the employer ensured the safety of those
welds in accord with section 1926.1436.

h. Determine by inspection of the derrick and interviews of the employer and

operator whether swingers and hoists are suitable for the derrick used and
properly anchored.

i. If a base mounted drum hoist is used, inspect the derrick to verify the drum
hoist’s compliance with incorporated provisions of ASME B30.7-2001.

194
j. If power failure of the derrick is observed or has occurred, determine by
observation and interview of the operator whether the requirements of
§§ 1926.1436(j)(1)-(j)(2) were met. Verify:

 when operations stopped and under what conditions. (See discussion in

this compliance directive of “safely stop” in Citation Policy for
§§ 1926.1415 and 1926.1416.);

 that the brakes and locking devices were set; and

 that the clutch and power controls were moved to the off position.

Citation Policy

k. §§ 1926.1436(b) through (q). Unless otherwise specified under the citation

policies of this and other sections that follow, when requirements of
§§ 1926.1436(b) through (q) have not been met, consider citations of the
specific provisions.

l. § 1926.1436(b)(1). This provision must not be cited because it merely notifies

the employer of the scope of § 1926.1417, Operations, requirements that are
applicable to derricks.

m. § 1926.1436(e)(2). When a base-mounted drum hoist does not meet the

requirements of ASME B30.7-2001 as referenced in this provision, consider a
citation of § 1926.1436(e)(2). The AVD must describe the provisions of
ASME B30.7-2001 that were not met.

n. § 1926.1436(f)(1). This provision must not be cited because it merely notifies

the employer of the scope of § 1926.1416, Operational Aids, requirements
that are applicable to derricks. If requirements of § 1926.1416 were not met,
consider citations of those specific provisions.

o. § 1926.1436(f)(2). In operations involving derricks, if there is no functioning

boom angle indicator and neither § 1926.1436(f)(2)(i) nor
§ 1926.1436(f)(2)(ii) is satisfied, consider a citation of § 1926.1436(f)(2).

p. § 1926.1436(f)(3)(i). For derricks manufactured after November 10, 2011,

consider a citation of § 1926.1436(f )(3)(i) if there is no load weight/capacity
device, or the device is not functioning and no temporary alternative measure
is in place.

q. § 1926.1436(f)(3)(ii). For equipment manufactured after November 10, 2011,

consider a citation for violation of § 1926.1436(f)(3)(ii) if the load
weight/capacity device is not working properly, more than 30 days has
elapsed since the device was missing or dysfunctional, and the 7-day
195
 allowance for ordered parts has passed.

r. §§ 1926.1436(f)(3)(i) and (ii). If a load weight/capacity device is not

functioning, no temporary alternative measure is in place and the 30-day
requirement of § 1926.1436(f)(3)(ii) has lapsed, consider a citation grouping
both provisions rather than citing each provision separately.

s. § 1926.1436(j). Consider a citation of this standard if the derrick’s power fails

but the operator does not stop operations. Group this citation with
§ 1926.1400(f).

3. Requirements of § 1926.1436 that only apply to guy derricks.

 § 1926.1436(c)(2), Construction of guy derricks

 §§ 1926.1436(d)(2), Anchoring and guying

 § 1926.1436(m)(2)(iii), Securing the boom to the mast

Inspection Guidance

a. Determine through interviews whether the derrick has been taken out of
service. If, so verify that the boom has been secured in accord with one of the
methods specified under § 1926.1436(m)(2).

b. Use the inspection guidance provided in bullets 1 and 2, above, for general
requirements that are applicable to guy derricks.

c. Inspect the guy derrick and verify that: the mast base is anchored and guys are
secured to the ground or firm anchorage in accord with the requirements of
§ 1926.1436(d); and the derrick is supported by at least 6 guys.

d. If there are less than 6 guys or the guys are unequal, ask the employer or
operator who made the determination the guys were sufficient to support the
derrick and, if possible, document how that determination was made.

e. When there are questions regarding the construction of the guy derrick, ask
for and review any information that the employer has from the manufacturer
or a qualified person regarding specifications of the derrick. Verify that the
employer has the information required by § 1926.1436(c)(2)(ii).

Citation Policy

f. §§ 1926.1436(c)(2) through (d)(2). When requirements of §§ 1926.1436(c)(2)

or (d)(2) have not been met, consider citations for violations of the specific
provisions.

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 g. § 1926.1436(m)(2)(iii). Even though this provision is specific to guy derricks,
compliance with § 1926.1436(m)(2)(iii) is but 1 of 4 options for securing the
boom of a guy derrick when taken out of service for 30 days or more, consider
a citation of § 1926.1436(m)(2) when none of the options have been met.

4. Requirements of § 1926.1436 that only apply to Stiffleg Derricks.

 § 1926.1436(c)(3). Construction of Stiffleg Derricks

 § 1926.1436(d)(3). Anchoring and guying

 § 1926.1436(m)(2)(iv). Securing the boom to a stiffleg

Inspection Guidance

a. Use the inspection guidance provided in bullets 1 and 2, above, for general
requirements that are applicable to stiffleg derricks.

b. Inspect the stiffleg derrick to verify that: the derrick is supported by at least
two stifflegs and a base as required by § 1926.1436(c)(3); and the mast
base/stifflegs are anchored and designed in accord with the requirements of
§ 1926.1436(d)(3).

Citation Policy

c. §§ 1926.1436(c)(3) through (d)(3). When requirements of §§ 1926.1436(c)(3)

or (d)(3) have not been met, consider citations for violations of the specific
provisions.

d. § 1926.1436(m)(2)(iv). Even though this provision is specific to stiffleg

derricks, compliance with § 1926.1436(m)(2)(iv) is but 1 of 4 options for
securing the boom of a stiffleg derrick when taken out of service for 30 days
or more, consider a citation of § 1926.1436(m)(2) when none of the options
have been met.

5. Requirements of § 1926.1436 that only apply to Gin Pole Derricks.

 § 1926.1436(c)(4), Construction of Gin Pole Derricks

Inspection Guidance

a. Inspect the gin pole derrick, observe its operation, and through interviews,
verify whether the derrick was used in an unstable position and that the gin
pole and its anchorage meets the requirements of § 1926.1436(c)(4)(ii) and
(c)(4)(iii).

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 Citation Policy

b. § 1926.1436(c)(4). When requirements of §§ 1926.1436(c)(4) have not been

met, consider citations for violations of its specific provisions.

6. Requirements of § 1926.1436 that only apply to Chicago Boom Derricks.

 § 1926.1436(c)(5). Construction of Chicago Boom Derricks

Inspection Guidance

a. Through observation of the derrick’s operation or based on information

obtained from interviews, verify that the fittings on the boom and support
structure allows the boom to lift, lower and swing left and right the load
without the boom or the fittings becoming unattached or unseated. When there
are questions regarding the safety of the design of the derrick, ask the
employer or operator to describe how compliance with the requirements of
§ 1926.1436(c)(5) was verified and who made that determination.

Citation Policy

b. § 1926.1436(c)(5). When requirements of § 1926.1436(c)(5) have not been

met, consider citations of its specific provisions.

BB. § 1926.1437. Floating Cranes/Derricks and Land Cranes/Derricks on Barges

Supplemental Requirements

The requirements of this section primarily address the safety of the methods of
flotation that are used to support a crane. The other sections of Subpart CC cover the
crane and where referenced in this section may be replaced or supplemented by the
requirements of § 1926.1437. This section does not apply to barges when the jacks
are deployed to the sea, lake, or river bed and the barge is fully supported.

198
 Jacks and Spuds

Jacks are long steel members that hold a floating vessel rigidly to a specific location
relative to the sea bed.

Spuds are long steel members that prevent a floating vessel from moving in a specific
direction. Unlike a vessel on jacks, one restrained by studs remains floating on the
water.

Barge with cranes held aloft on jacks.

Photo credit: Wikipedia commons, Author: Dbrouse.

http://en.wikipedia.org/wiki/File:NewCarissa_dismantled_by_KarlissaA_and_B_July_2008_panorama_merge.jpg

Section 1926.1437 is divided into three parts.

 Paragraphs (a) through (k) of § 1926.1437 apply to both cranes and derricks
unless otherwise specified.

 Paragraph (m) of § 1926.1437 applies only to floating cranes/derricks.

 Paragraph (n) of § 1926.1437 applies only to land cranes/derricks on barges,

pontoons, vessels, or other means of flotation.

1. General Requirements that Apply to both Cranes on Barges and Floating Cranes.

Inspection Guidance

a. By observation, through interviews, and/or a review of its operations

procedures/related documents, determine whether the crane is a floating
crane/derrick or a land crane/derrick used on a barge. Making this distinction
is necessary because there are requirements of § 1926.1437 that are specific to
only floating crane/derrick or to only land crane/derrick on a barge, pontoon,
vessel or other means of flotation.

199
Waterway Jurisdiction

OSHA’s jurisdiction over work activities performed over water depends on several factors,
including the location of the vessel/barge. For further guidance regarding jurisdictional issues,
consult the Construction Coordinator in the Regional Office. For additional information, consult
OSHA Authority Over Vessels and Facilities on or Adjacent to U.S. Navigable Waters and the
Outer Continental Shelf (OCS). OSHA Directive CPL 02-01-047, (2010, February 22).

b. When possible, observe the hoisting operation, documenting and taking

video/pictures of the instances and conditions when there are any indications
that the safety of the operation may be compromised due to the lack of
buoyancy and instability of the means of flotation. For example, when it is
evident during the hoisting operation that equipment may be overloaded or the
means of flotation appears to be taking on water, listing badly, or sitting
hazardously low in the water.

c. When there are concerns about the safety of the means of flotation or the
hoisting operation being performed, ask for and review (with the assistance of
a Regional Maritime Coordinator, if needed) any information available from
the employer regarding any hazardous condition observed. Interview the
employer, operator, and lift director (if any) to confirm that required
equipment specifications were developed by the manufacturer or a qualified
person and have been made available by the employer. If necessary and
possible, contact the manufacturer or the qualified individual to discuss any
concerns about the observed conditions.

A qualified person (floating cranes/derricks) is a qualified person whose expertise

is with the respect to vessel/floatation devices.

d. Inspect the area on the barge/means of flotation for hazardous areas in which a
person can be struck, pinched, or crushed when the equipment is operated and
are demarcated by one of the methods allowed under § 1926.1437(c), Work
Area Control. If one of the options allowed for work area control has been
implemented, verify and document which option the employer selected.

Note: Due to the limited space available for equipment on the decks of barges
and other means of flotation, the requirements of § 1926.1425, Keeping Clear
of the Load, do not apply to hoisting jobs performed with equipment covered
by § 1926.1437.

e. Through interviews and observation of hoisting activities performed by

employees, verify that employees were trained to understand the struck-by,
crush/pinch-by hazards and the methods used to demarcate those areas.

f. Ask for and review any required documentation of inspections to verify that
the inspections were conducted and documented in accord with
200
 § 1926.1437(h).

Purpose of § 1926.1437(h)

Inspections required by § 1926.1437(h) ensure the safety of the means of attachment and
flotation for floating cranes/derricks or land cranes/derricks on barges or other means of flotation.
The inspection requirements of § 1926.1437(h) are supplemental to those of § 1926.1412, which
ensure the safety of the crane/derrick and the hoisting activity performed. Mating a crane to a
new method of flotation does not automatically trigger the need for a new four year inspection of
the flotation device.

g. Every four years, the internal portion of the barge, pontoons, vessels, or other
means of flotation must be surveyed for deficiencies by a:

 marine engineer;

 marine architect;

 licensed surveyor; or

 other qualified persons who has expertise with respect to vessels/flotation

devices.

Through interviews and review of the inspection records, verify the

qualifications of the individual who conducted the required four-year
inspection.

Four-Year Inspection Start Dates

One four year inspection must be conducted before November 10, 2014 unless the floating
crane/derrick or land crane on a barge or other means of flotation was first put into service after
November, 8, 2010. Under such circumstances, at least one four year inspection of that
equipment must be conducted four years from the date the equipment was put into service after.

h. During inspection record reviews, look for descriptions in the required

documents of any apparent deficiencies monitored during annual inspections
or observed during the four-year inspection. Verify via the document review
and interviews that the safety of the apparent deficiencies was evaluated by
the surveyor or other qualified persons specified in § 1926.1437(h)(5)(i).

i. If a deficiency is observed in one of the requirements listed in

§ 1926.1437(h)(2), and the vessel is still in service, interview the employer,
operator, maintenance personnel, or inspector (if available) to determine if a
competent person considered the safety implications of the deficiency.

If a competent person has made a determination, confirm the identity of the

competent person and obtain and document a description of the reasons why

201
 the deficiency was not a safety hazard.

This information only has to be documented by the employer when the

competent person has determined that the deficiency must be tracked on the
monthly inspection records. If the employer has documented this information,
obtain a copy of it and review it to confirm the employer’s compliance with
§ 1926.1437(h)(3).

j. Through interviews, visual inspection of the crane/derrick, review of

inspection records, and observation of hoisting activities:

 verify that required safety devices are on the equipment and function
properly. If necessary, ask the operator to show where the devices are
located on the equipment.

 verify that required operational aids are on the equipment and function
properly. If necessary, ask the operator to show where the aids are located
on the equipment, noting that:

- Load weighing devices are not required when dragline, clamshell

(grapple), magnet, drop ball, container handling, concrete bucket, and
pile-driving work is performed with this equipment.

- Anti two-blocking devices are only required when personnel are

hoisted or loads are hoisted over an occupied cofferdam or shaft.
Document when personnel are hoisted or when loads are hoisted over
a cofferdam or shaft.

k. Observe the jobsite and worksite activities to determine whether the work
performed is likely to require the use of a diver and crane/derrick. If so,
interview the employer and operator to confirm whether or not a diver has or
is being used to perform the job. If a diver is being used at the time of the
compliance inspection, observe operations to verify the employer’s
compliance with the requirements of § 1926.1437(j). For example, note and
document:

 when the diver is in the water;

 where the operator is and what he or she is doing when the diver is in the
water;

 whether the operator has a clear line of sight to the diver, and whether a
tender was used;

 any other jobs performed by the crane/derrick when working with a diver;

 who is giving the operator signals and how those signals are being
202
 communicated; and

 how much the crane/derrick is allowed to move around on its means of

flotation.

Note: the diving requirements of § 1926.1437(j) are in addition to those found

in Subpart Y of 29 CFR Part 1926, Commercial Diving Operations.

l. Determine if the crane/derrick has a cab and verify that the procedures for
operation of the equipment, including operating speed, load charts, etc., have
been made accessible to the operator in accord with § 1926.1417 (with a cab)
or § 1926.1437(g) (without a cab). If necessary, have the operator or employer
show you where the procedures are located.

Citation Policy

m. §§ 1926.1437(c) through (l). Unless specified otherwise under this Citation

Policy section, when requirements of § 1926.1437(b) through (l) have not
been met, consider citations of the specific requirements.

n. § 1926.1437(a). This paragraph should not be cited as it is only informational

and clarifies the scope of Subpart CC’s requirements as they pertain to
floating crane/derricks or land cranes/derricks on barges or other means of
flotation.

o. § 1926.1437(b). Paragraph (b) of § 1926.1437 should not be cited because it is

only informational and clarifies that §§ 1926.1437(c) through (k) apply to
both floating crane/derricks or land cranes/derricks on barges or other means
of flotation.

p. § 1926.1437(c). When the employer :

 did not meet the requirements of § 1926.1424, Work Area Control,

consider citations of applicable requirements of § 1926.1424. Section
1926.1437(c)(1) only references the requirements of § 1926.1424.
Therefore, § 1926.1437(c)(1) should not be cited for these violations.

 has not met the requirements of one of the two options for work area
control specified by § 1926.1437(c)(2), consider a citation of
§ 1926.1437(c)(2). (i.e., used control lines, warning lines, barriers, or a
combination of warning signs and markings)

The AVD should specify how the employer’s implementation of the

applicable provisions of paragraph § 1926.1437(c)(2) were deficient.

203
q. § 1926.1437(d). Paragraph (d) of § 1926.1437 should not be cited as it only
informs the employer that § 1926.1425 does not apply to floating
crane/derricks or land cranes/derricks on barges or other means of flotation.

r. § 1926.1437(e). If a device (or devices) required by § 1926.1437(e) was:

 missing from the equipment, consider citations for violations of applicable

provisions of §§ 1926.1437(e)(1) through (e)(3).

 not working properly, consider a citation of § 1926.1415(b).

s. § 1926.1437(f). When the equipment was operated without:

 operational aids required by §§ 1926.1437(f)(1) and (f)(2), consider a

citation of § 1926.1416(a).

 an operational aid required by § 1926.1437(f) that was not functioning and

no temporary alternative measure was implemented, consider a citation of
§ 1926.1416(b).

Note: For citations of §§ 1926.1416(a) and (b), refer to § 1926.1416,

Operational Aids, in this directive for additional guidance.

 The AVD of the citation should list the specific missing or nonfunctioning
operational aid(s) noted in paragraphs (f) of § 1926.1437.

 If a temporary alternative measure has been established, but not

implemented correctly, the AVD should describe the temporary alternative
measure that the employer attempted to use and explain why it was
inadequate.

Even if multiple operational aids on one piece of equipment are not on the
equipment or are not functioning, only one citation should be issued for
§ 1926.1416(a).

t. § 1926.1437(g). When the equipment:

 has a cab and the operating procedures and load charts are not readily
available in the cab at all times , consider a citation of § 1926.1417(c).
Section 1926.1437(g) shall not be cited when the crane/derrick has a cab.

 has no cab, and the operating procedures are not readily available on board
the vessel or the load charts are not posted at the operator’s station, or on
the equipment if the operator’s station is moveable, consider citations of
applicable provisions of § 1926.1437(g).

u. § 1926.1437(h). When required inspections of means of flotation and

204
 crane/derrick attachment:

 have not been conducted or were not conducted by a competent or

qualified person as specified by 1926.1412, consider citations of specific
provisions of § 1926.1412.

 have been conducted but apparent deficiencies exist in the items that must
be inspected in accord with § 1926.1412, consider citations of specific
inspection provisions of § 1926.1412.

 have been conducted but apparent deficiencies exist in the supplemental

items regarding the means of flotation and crane/derrick attachment that
must be inspected, consider citations of specific inspection provisions of
§ 1926.1437.

 have not been documented or made available in accord with applicable

inspection provisions of § 1926.1412, consider citations of § 1926.1437,
and the AVD of the citation should describe the provisions of § 1926.1412
that were violated.

v. § 1926.1437(j)(2). When the operator does not remain at the controls while
working with a diver, consider a citation for § 1926.1437(j)(2) grouped with
§ 1926.1400(f).

w. § 1926.1437(k). When a means of flotation is used

 within the manufacturer’s specifications and limitations to support

equipment covered by Subpart CC and the means of flotation cannot
withstand environmental, operational, and transit loads at worksite
consider a citation for § 1926.1437(k)(1).

 to support equipment covered by Subpart CC and the manufacturer’s

specifications or limitations are exceeded for environmental, operational,
and in-transit loads, consider a citation for § 1926.1437(k)(2).

 to support equipment covered by Subpart CC, the specifications or

limitations (unavailable from the manufacturer but developed by a
qualified person) are exceeded for environmental, operational, and in-
transit loads, consider a citation for § 1926.1437(k)(3).

2. § 1926.1437(m). Requirements that are Specific to Floating Cranes and Derricks.

The requirements of § 1926.1437(m) are applicable to the use of equipment

designed by the manufacturer or employer for marine use only by permanent
attachment to its means of flotation.

Inspection Guidance
205
 a. Through interviews, visual inspections of the floating equipment, and review
of any available information from the manufacturer or employer, determine
whether the crane/derrick is permanently attached to its means of flotation.

b. Ask to see the manufacturer’s load chart to verify the availability of the
information and that the chart includes considerations for minimum wind
speeds.

c. If the equipment is employer made, obtain the documents required by

§ 1926.1437(m)(4) (i.e., load charts, maximum allowable list and trim, and
equipment stability verification) that ensures compliance with paragraphs
(m)(1) through (m)(3) of § 1926.1437. Verify that the documentation was
signed by a registered professional engineer with respect to the design of that
type of floating equipment.

d. When the observed design and structural integrity of the means of flotation are
questionable, ask the employer to provide any information available to verify
compliance with the requirements of § 1926.1437(m)(5) such as any available
equipment design or relevant maintenance manuals. If necessary, the
manufacturer or Regional Maritime Coordinator may need to be consulted.

Citation Policy

e. § 1926.1437(m). When equipment covered by Subpart CC is designed to be

permanently attached to its means of flotation by the manufacturer or
employer and the employer did not meet the requirements of § 1926.1437(m),
consider citations of the applicable provisions of § 1926.1437(m).

3. § 1926.1437(n). Requirements that are Specific to Land Cranes/Derricks Used on

Barges, Pontoons, Vessels, or Other Means of Flotation.

The requirements of § 1926.1437(n) are applicable to the use of land

cranes/derricks used on a means of flotation. This section:

 requires the modification of load charts to account for maritime conditions

and reduction in the lifting capacity of the equipment;

 specifies limits for the leveling of the land crane/derrick and its means of
flotation; and

 specifies four options for securing/attaching the land crane/derrick to its

means of flotation.

Inspection Guidance

a. Through interviews, visual inspection of the floating equipment, and review of

any available information from the manufacturer or employer:

206
  determine if the floating equipment is a mobile auxiliary crane or a land
crane/derrick that is not permanently attached to its means of flotation.
Confirm this determination during interviews with individuals such as the
employer, operator, maintenance personnel, or equipment inspectors (if
available).

 verify that the rated capacity was modified by a qualified person to

address the maritime factors specified in §§ 1926.1437(n)(1) and (n)(2)
and its availability on the equipment.

 verify that the employer meets the list/trim and buoyancy requirements
specified in §§ 1926.1437(n)(3) and (4).

 verify the employer’s compliance with § 1926,1437(n)(5). For example,

ask the employer or operator to describe how the land crane is physically
attached to its means of flotation and use the documentation and
interviews to verify this information. If necessary, when the means of
attachment are in question, contact the Regional Maritime Coordinator.

 verify that the employer has documented an alternate attachment plan and
can demonstrate that the means of physically attaching an auxiliary crane
to its means of flotation meets the requirements of § 1926.1437(n)(6).
Only under those circumstances are the requirements of
§ 1926.1437(n)(4), Physical attachment, not required for the use of an
auxiliary crane on a means of flotation.

 verify that the means of attachment allowed by §§ 1926.1437(n)(5) and

(n)(6) were designed by a marine engineer, a registered professional
engineer, or qualified person familiar with the floating equipment’s
design.

b. When there are concerns about the structural sufficiency of the means of
flotation due to an incident that is observed or reported, or if an apparent
deficiency is observed, it may be necessary to contact the Regional Maritime
Coordinator for assistance, or (if possible) the marine engineer/registered
professional engineer who designed the attachment system.

Citation Policy

c. § 1926.1437(n). Unless otherwise specified in the citation policy of this

section, when requirements of § 1926.1437(n) are not met, consider citations
of the specific requirements of § 1926.1437(n).

d. § 1926.1437(n)(1)(iii). When a land crane/derrick is used on a means of

flotation and the employer did not meet the requirements of
§§ 1926.1437(n)(3) through (n)(4), consider a citation for §
1926.1437(n)(1)(iii) Describe in the AVD the provisions of § 1926.1437(n)(3)
207
 and (n)(4) that were not met.

e. § 1926.1437(n)(5). Consider a citation of § 1926.1437(n)(5) when the railing,

cabling, corralling, or attachment system used to secure a land crane/derrick
on its means of flotation does not meet the requirements of one of the options
described in § 1926.1437(n)(5)(i) through (n)(5)(iv) or the exception provided
under § 1926.1437(n)(6), for floating auxiliary cranes.

If the employer attempted to use one of the options or the exception allowed
under § 1926.1437(n)(5) but there was some deficiency in its implementation,
the AVD of the citation must describe the option implemented and how it was
deficient.

f. § 1926.1437(n)(5)(v). When the employer attempted to use one of the options

or the exception allowed under § 1926.1437(n)(5), and there was some
deficiency in its implementation, or the option was not developed by a marine
engineer/registered professional engineer, consider citing § 1926.1437(n)(5).

g. § 1926.1437(n)(6). When an auxiliary crane is used on the deck of a floating

crane/derrick and the employer cannot demonstrate implementation of a plan
and procedures that meet the requirements of § 1926.1437(n)(6), consider a
citation for § 1926.1437(n)(5).

If an employer made efforts to meet the requirements of § 1926.1437(n)(6)

but there was some deficiency in its implementation, the AVD for the
violation of § 1926.1437(n)(5) must describe the provisions under
§ 1926.1437(n)(6) that the employer failed to satisfy.

CC. § 1926.1438. Overhead and Gantry Cranes.

This section clarifies what standards apply to overhead and gantry cranes used in
construction. Overhead and gantry cranes have requirements based on the type of
installation.

Overhead and gantry cranes: This term includes overhead/bridge cranes, semigantry,
cantilever gantry, wall cranes, storage bridge cranes, launching gantry cranes, and
similar equipment, irrespective of whether it travels on tracks, wheels or other means.

1. § 1926.1438(a). Permanently Installed Overhead and Gantry Cranes.

Subpart CC does not apply to permanently installed overhead and gantry cranes
used in construction. Instead, the substantive requirements of § 1910.179
(Overhead and gantry cranes) apply, except for § 1910.179(b)(1) (the
general industry scope section was excluded in the rulemaking to prevent
confusion).

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 Inspection Guidance

a. First, determine whether an overhead or gantry crane is permanently installed

as part of the facility. Permanently installed overhead and gantry cranes are
considered an irremovable part of the property and are primarily used in
general industry but may, in rare situations, be used for construction activities.
They are generally not easy to assemble or disassemble and are usually
physically fastened to a building.

On the other hand, most overhead and gantry cranes used for construction
activities are not permanently installed. They tend to be easier to assemble or
disassemble. For example, if an employer merely attaches the base of a
gantry crane to a concrete slab for use in constructing the building, it is not
permanently installed.

When the overhead or gantry crane is permanently installed, refer to

§ 1910.179 and the interpretative materials on that standard for guidance and
citation policy.

Citation Policy

b. §§ 1910.179 and 1926.1438(a). If an employer fails to satisfy the requirements

of § 1910.179 in a construction operation involving a permanently installed
overhead or gantry crane, consider a citation under the applicable provision(s)
of that standard. Group each applicable citation for a violation of 1910.179
with a citation for § 1926.1438(a).

2. § 1926.1438(b). Overhead and Gantry Cranes That Are Not Permanently Installed
in a Facility.

For overhead and gantry cranes used in construction not permanently installed in
a facility, § 1926.1438(b) lists the applicable requirements from subpart CC,
§ 1910.179, and ASME standards incorporated by reference.

 § 1926.1438(b)(2)(i). All sections of Subpart CC apply, except: § 1926.1415

(Safety devices), § 1926.1416 (Operational aids), § 1926.1426 (a) through(c)
(Free fall and controlled load lowering), § 1926.1435 (Tower cranes),
§ 1926.1436 (Derricks), and § 1926.1440 (Sideboom cranes).

 § 1926.1438(b)(2)(ii). This section specifies the portions of § 1910.179

applicable to non-permanently installed overhead and gantry cranes (see
§ 1926.1438(b)(2)(ii) for a list of applicable sections), and modifies some of
those requirements. Section 1910.179(b)(2), which incorporates by reference
design and construction requirements for overhead and gantry cranes from
ANSI B30.2.0-1967, applies only to equipment manufactured before
September 19, 2001.

209
  § 1926.1438(b)(2)(iii). Several sections of ASME B30.2-2005 apply to
equipment manufactured on or after September 19, 2001 (see
§ 1926.1438(b)(2)(iii) for a list of applicable sections). These ASME sections
discuss foundations and anchorages, crane runways, welded construction of
cranes, service platforms, bumpers, rail sweeps, hoist control braking, lifting
magnets, drums, ropes, hooks, and warning devices.

Inspection Guidance

a. If the employer is using a non-permanently installed overhead or gantry crane,

verify the equipment’s date of manufacture to determine whether
§ 1910.179(b)(2) or the ASME provisions listed in § 1926.1438(b)(2)(iii)
applies. Ask to examine any documentation the employer has that includes the
equipment’s date of manufacture.

b. Refer to the applicable sections in this directive, § 1910.179 and available

guidance, and if applicable, incorporated ASME provisions for guidance on
whether the standards applicable to non-permanently installed overhead and
gantry cranes have been met.

Citation Policy

c. Subpart CC. If the employer violates a Subpart CC standard applicable to non-

permanently installed overhead and gantry cranes, consider a citation under
the applicable provision of that standard.

d. §§ 1910.179 and 1926.1438(b)(2)(ii)(A). If the employer violates § 1910.179

as incorporated by § 1926.1438(b)(2)(ii)(A) in a construction operation,
consider a citation under the applicable provision of § 1910.179. Group each
applicable citation for a violation of 1910.179 with a citation for
§ 1926.1438(b)(2)(ii)(A).

e. §§ 1910.179(b)(2) and 1926.1438(b)(2)(ii)(C). If the employer violates the

ANSI B30.2.0-1967 requirements incorporated by reference in
§ 1910.179(b)(2) in a construction operation involving a non-permanently
installed overhead or gantry crane manufactured before September 19, 2001,
consider a citation under § 1910.179(b)(2). Group each applicable citation for
a violation of 1910.179 with a citation for § 1926.1438(b)(2)(ii)(C). List the
applicable ANSI provision(s) violated in the AVD.

f. § 1926.1438(b)(2)(iii). Consider a citation under § 1926.1438(b)(2)(iii) if the

employer has violated one of the ASME standards incorporated by reference in
this standard. List the specific ASME provision(s) violated in the AVD.

DD. § 1926.1439. Dedicated pile drivers—Supplemental Requirements.

Dedicated pile drivers are included in the list of specific equipment covered by
Subpart CC in § 1926.1400(a), even though pile drivers are not always traditional
210
cranes. Pile drivers were included in Subpart CC due to certain mechanical
similarities that present hazards similar to those associated with traditional cranes. In
addition to the requirements of Subpart CC, pile-driving equipment continues to be
covered by § 1926.603 (Pile driving equipment) in cases where the equipment in
question is not designed to function exclusively as a pile driver. Note that vibratory
pile drivers are not dedicated as they can be used to extract piles.

Dedicated pile driver: a machine that is designed to function exclusively as a pile driver.
These machines typically have the ability to both hoist the material that will be pile-driven
and to pile drive that material. Dedicated pile drivers include, but are not limited to,
hydraulic and diesel hammers, post pounders, and other similar equipment. § 1926.1401.

1. § 1926.1439(a). Section 1926.1439 addresses the supplemental requirements for

dedicated pile drivers, as defined in § 1926.1401. All sections in Subpart CC
apply to dedicated pile drivers except those exempted in §§ 1926.1439(b) through
(d).

Inspection Guidance

a. Request documentation such as the manufacturer’s specifications or operating

manual to determine whether the equipment is designed to function
exclusively as a pile driver. If the equipment is a dedicated pile driver, only
consider citations for violations under the applicable provisions of Subpart
CC. If the equipment has other uses, including, but not limited to continuous
flight augering or drilling, then only violations of the applicable provisions of
Subpart O, § 1926.600, should be considered.
Citation Policy

b. Where there is a failure to meet requirements under Subpart CC in operations

involving a dedicated pile driver, consider citations under the specific section
or sections violated, but do not cite to § 1926.1439(a).

2. § 1926.1439(b). This section exempts requirements under § 1926.1416(d)(3)

(Anti two-blocking device).

Citation Policy:

a. § 1926.1416. In operations involving a dedicated pile driver, if there is a

failure to meet requirements under § 1926.1416 other than § 1926.1416(d)(3),
cite to the specific section or sections violated, but not § 1926.1439(b), except
as provided below in the citation policy for § 1926.1439(c).

3. § 1926.1439(c). This section limits requirements under § 1926.1416(e)(4) (load

weighing and similar devices) to dedicated pile drivers manufactured after
November 8, 2011.

211
Section 1926.1416 contains the requirements for operational aids which are
required on equipment covered by Subpart CC. Section 1926.1416(e)(4) contains
requirements for load weighing and similar devices for equipment manufactured
after March 29, 2003 with a rated capacity over 6,000 pounds, and for articulating
cranes manufactured after November 8, 2011. The requirements of
§ 1926.1416(e)(4) are therefore only applicable to dedicated pile drivers with a
rated capacity over 6,000 pounds manufactured after November 8, 2011. See the
Safety Devices and Operational Aids sections in this directive for additional
guidance regarding citations of § 1926.1416(e)(4).)

Inspection Guidance

a. If the employer is using a dedicated pile driver, verify the date of manufacture
for the equipment and the rated capacity. Ask the employer for any
documentation which includes this information.

b. For dedicated pile drivers manufactured after November 8, 2011 with a rated
capacity over 6,000 pounds, determine whether the equipment has at least one
of the devices required by § 1926.1416(e)(4) (load weighing device, load
moment (or rated capacity) indicator, or load moment (or rated capacity)
limiter), or whether a temporary alternative measure is properly in place
consistent with §§ 1926.1416(b) and (e).

Citation Policy

c. § 1926.1439(c). For dedicated pile drivers manufactured on or before

November 8, 2011, citations should not be issued for failure to meet the
requirements under § 1926.1416 related to the equipment required in
§ 1926.1416(e)(4). For dedicated pile drivers manufactured after November 8,
2011, consider a citation grouping § 1926.1439(c ) with:

 § 1926.1416(a) for failure to have the operational aid required in

§ 1926.1416(e)(4);

 § 1926.1416(b) for operating the equipment when the equipment required

in § 1926.1416(e)(4) is not functioning properly and a temporary
alternative measure is not in place; or

 §§ 1926.1416(a) or (b) and § 1926.1416(e) for failing to replace non-

functioning or missing equipment in § 1926.1416(e)(4) as required by
§ 1926.1416(e) within the 30 calendar day time frame.

When grouping citations, consider the most specific applicable provision or

provisions in § 1926.1416 with § 1926.1439(c ). Review and apply the citation
policy provided in the Safety Devices and Operational Aids sections in this
directive for additional guidance regarding citations for the requirements of
§ 1926.1416.

212
 4. § 1926.1439(d). This section exempts requirements under § 1926.1433 (design,
construction, and testing), except §§ 1926.1433(d) and (e).

Citation Policy

a. §§ 1926.1433(d) and (e). In operations involving a dedicated pile driver, when

considering a citation for failure to meet requirements under §§ 1926.1433(d)
and (e), cite to the specific section or sections violated, but not to
§ 1926.1439(d). Citations should not be issued for operations involving a
dedicated pile driver for non-compliance with other requirements in
§ 1926.1433.

EE. § 1926.1440. Sideboom Cranes—Supplemental Requirements.

1. § 1926.1440(a). Section 1926.1440 addresses the supplemental requirements for

sideboom cranes, as defined in § 1926.1401. All sections in Subpart CC apply to
sideboom cranes except for § 1926.1402 (Ground conditions), § 1926.1415
(Safety devices), § 1926.1416 (Operational aids), and § 1926.1427 (Operator
qualification and certification).

Sideboom Crane: a track-type or wheel-type tractor having a boom mounted on the side
of the tractor, used for lifting, lowering or transporting a load suspended on the load
hook. The boom or hook can be lifted or lowered in a vertical direction only.

The limited requirements for sideboom cranes in subpart CC, compared to the
requirements for other types of cranes, reflects the specific construction and limited
functions of a sideboom crane. Sideboom cranes are limited in capacity and require
relatively simple operation.

Inspection Guidance

a. Although operators do not have to be certified under § 1926.1427, they must

be trained in accordance with § 1926.1430(c), and operator qualification
requirements under ASME B30.14-2004, section 14-3.1.2 incorporated by §
1926.1440(c)(10). If there are doubts about the operator’s qualifications,
verify that the operator satisfies the requirements of B30.14-2004 § 14-3.1.2.

Citation Policy

b. When considering a citation for failure to meet requirements under Subpart

CC in operations involving a sideboom crane, consider citations under the
specific section or sections violated, but not under § 1926.1440(a).

2. § 1926.1440(b). Section 1926.1426 (Free fall and controlled load lowering)

applies to sideboom cranes, except that the requirements of § 1926.1426(a)(2)(i)
are excluded, and sideboom cranes in which the boom is designed to free fall (i.e.,
live booms) are only permitted if they were manufactured before November 8,
2010. The prohibition in § 1926.1426(a)(2)(i) applies to equipment manufactured
213
 on or after October 31, 1984. See the Free Fall of the Boom and Controlled Load
Lowering section in this directive for additional inspection guidance regarding
citations for requirements under § 1926.1426.

Inspection Guidance

a. If the employer is using a sideboom crane with a boom that is designed to free
fall, verify the date of manufacture for the equipment. Ask the employer to
examine any documentation which includes this information.

Citation Policy

b. §§ 1926.1426(b) and § 1926.1440(b). If the employer is using a sideboom

crane that is designed to free fall that is manufactured after November 8,
2010, and the employer has not satisfied one or more of the requirements
listed in §§ 1926.1426(b)(1) through (4), consider a citation. Because
§ 1926.1440(b) replaces the requirements of § 1926.1426(a)(2)(i),
§ 1926.1440(b) and the requirement in §§ 1926.1426(b)(1) through (4) that
was violated should be grouped. Cite to the most specific applicable provision
in §§ 1926.1426(b)(1) through (4).

If an employer is using a sideboom crane manufactured prior to November 8,

2010 and none of the circumstances described in § 1926.1426(a)(1) are
present, do not cite §§ 1926.1426(b)(1) through (4).

Review and apply the citation policy provided in the Free Fall of the Boom
and Controlled Load Lowering section in this directive for additional
inspection guidance regarding citations for requirements under § 1926.1426.

3. § 1926.1440(c). Sideboom cranes mounted on wheel or crawler tractors must also

meet the requirements of ASME B30.14-2004 listed at § 1926.1440(c).

Inspection Guidance

a. To evaluate compliance with this provision, consult ASME B30.14-2004

standards and applicable guidance materials.

Citation Policy

b. § 1926.1440(c). Consider a citation for violation of this section if the

employer has not complied with one of the applicable ASME requirements
incorporated in this standard. When considering a citation, cite to the
provision or provisions in §§ 1926.1440(c)(1) through (12) containing the
most specific applicable requirements. For example, for a violation of an
incorporated ASME standard in ASME 14-1.7.6, General Requirements—
Clutch and Brake Protection, which is incorporated at § 1926.1440(c)(8), cite
the employer for a violation of § 1926.1440(c)(8). List the specific ASME
provision or provisions violated in the AVD.
214
 Each provision in §§ 1926.1440(c)(1) through (12) incorporates a section or
portion of a section of ASME provisions. It is possible that the employer may
have violated multiple provisions within one of these incorporated ASME
sections. If so, consider only one citation, under the provision of
§§ 1926.1440(c)(1) through (12) which incorporates the violated ASME
section, but list each ASME provision that the employer violated in the AVD.

If the employer has violated ASME provisions under different ASME sections
that are incorporated into §§ 1926.1440(c)(1) through (12) under different
standards, consider citations for each standard. For example, for a violation of
ASME standard 14-1.7.6, General Requirements—Clutch and Brake
Protection which is incorporated at § 1926.1440(c)(8), and a violation of
ASME standard 14-3.1.3, Operator Qualifications, which is incorporated at
§ 1926.1440(c)(10), consider citations of § 1926.1440(c)(8) and
§ 1926.1440(c)(10).

FF. § 1926.1441. Equipment With a Rated Hoisting/Lifting Capacity of 2,000 Pounds

or Less.

This section specifies the requirements for employers using equipment with a
maximum rated hoisting/lifting capacity of 2,000 pounds or less. These provisions
cover equipment that is designed and built by the employer, as well as manufactured
equipment.

1. § 1926.1441(a). Section 1926.1441(a) lists the other sections in Subpart CC

which apply to this equipment. All sections of Subpart CC apply, except:

 § 1926.1404 (Assembly/Disassembly – General requirements)

 § 1926.1405 (Assembly/Disassembly – Additional requirements for
dismantling of booms and jibs)
 § 1926.1412 (Inspections)- The employer must only comply with (c): post
assembly inspection.
 § 1926.1415 (Safety devices)
 § 1926.1416 (Operational aids)
 § 1926.1417 (Operation)
 § 1926.1424 (Work area control)
 § 1926.1425(c)(3) (Qualified rigger)
 § 1926.1427 (Operator qualification and certification)
 § 1926.1428 (Signal person qualifications)
 § 1926.1429 (Qualification of maintenance and repair employees)
 § 1926.1430 (Training)
 § 1926.1431 (Hoisting personnel)
 § 1926.1433 (Design, construction and testing)
 § 1926.1439 (Dedicated pile drivers)
 § 1926.1440 (Sideboom cranes)

Inspection Guidance
215
 a. Before proceeding with an inspection related to these provisions, determine
the rated capacity of the crane/derrick. Request documentation, such as a
manufacturer’s manual, to verify the capacity. Ensure that any load charts are
consistent with this capacity. If the crane or derrick has a rated capacity of
2,000 pounds or less, the requirements of § 1926.1441 apply, as well as the
sections of Subpart CC listed in § 1926.1441(a).

b. Refer to the applicable sections in this directive for guidance on whether the
standards applicable to this equipment, listed in § 1926.1441(a), have been
met.

Citation Policy

c. Subpart CC. For the Subpart CC provisions listed in § 1926.1441(a) that are
applicable to equipment with a maximum rated hoisting/lifting capacity of
2,000 pounds or less, when the provisions are not met, consider citations
under the provision within that standard containing the most specific
applicable requirement.

2. § 1926.1441(b). This section contains requirements for assembly and disassembly

of equipment with a maximum rated hoisting/lifting capacity of 2,000 pounds or
less. Under § 1926.1441(b)(1), employers must comply with the requirements of
§ 1926.1441(b)(2) through (3) in addition to the requirements of § 1926.1403,
Assembly/disassembly— selection of manufacturer or employer procedures and
§ 1926.1406, Assembly/ disassembly—employer procedures. See the applicable
sections of this directive for additional guidance regarding citations for violations
of requirements of § 1926.1403 and § 1926.1406. Under § 1926.1441(b)(2),
election of components and configuration of equipment which affect the capacity
or safe operation of the equipment must comply with one of the following:

 manufacturer’s instructions, recommendations, limitations and specifications;

 if the manufacturer’s instructions are unavailable, the written approval of an

RPE who is familiar with the type of equipment; or

 the equipment modification requirements of § 1926.1434. See Inspection

Guidance and Citation Policy provided in the Modifications section in this
directive for additional guidance regarding violations of requirements of §
1926.1434.

 In addition, a post-assembly inspection must be completed after an assembly

in accordance with the requirements of § 1926.1412(c)
(§ 1926.1441(b)(2)(ii)). See inspection guidance and citation policy for
§ 1926.1412(c) in this directive for additional guidance regarding citations
under § 1926.1412(c).
216
Finally, under § 1926.1441(b)(3), the employer must also comply with any
manufacturer prohibitions during assembly and disassembly.

Inspection Guidance

a. Determine what instructions or approval processes were followed during

assembly in the selection of components and the configuration of the
equipment.

b. Request manufacturer instructions and other written material from the

manufacturer. Determine whether the employer complied with the instructions
and prohibitions listed in these documents.

c. Verify by interview with the employer, operator, and other personnel that
manufacturer prohibitions were complied with during the assembly or
disassembly.

d. If an RPE gave written approval for the selection of components or

configuration of the equipment, interview personnel to determine whether
manufacturer instructions were available. This can include physical written
instructions or instructions accessible electronically through use of an on-site
computer. If the instructions were unavailable, ask why.

e. When the manufacturer’s instructions, recommendations, limitations, and

specifications are unavailable:

 Request to review the written RPE approval and examine the

documentation for consistency with the components and/or configuration.

 If possible, verify the RPE’s credentials. Interview the employer,

operator, or if possible, the RPE to verify whether the RPE was familiar
with the equipment.

f. If the employer followed the modification requirements of § 1926.1434,

determine whether those requirements were followed.

 Ensure that written approval was obtained from the manufacturer or an

RPE who is a qualified person with respect to the equipment involved,
consistent with § 1926.1434.

 Ensure that load chart procedures, instruction manuals, and instruction

plates/tags/decals are revised as necessary in accord with any
modification.

217
g. Determine whether a post-assembly inspection was conducted and whether
the inspection requirements of § 1926.1412(c) for a post-assembly inspection
have been met. Request documentation of the inspection.

 If it appears that the manufacturer’s or RPE’s instructions under

§ 1926.1434(b)(2)(i) have not been complied with, ask the employer
whether those aspects were inspected, and if so, why they were not
followed.

 Refer to§ 1926.1412, Inspections, in this directive for guidance related to

the requirements of § 1926.1412(c).

Citation Policy

h. § 1926.1403 and § 1926.1406. When considering a citation under § 1926.1403

or § 1926.1406 for equipment with a maximum rated hoisting/lifting capacity
of 2,000 pounds or less, consider citations under the provision or provisions
within that standard containing the most specific applicable requirements. Do
not cite § 1926.1441(b)(1). Noncompliance under § 1926.1441(b)(2) through
(3) should be cited under those standards as discussed below.

i. § 1926.1441(b)(2)(i). Consider a citation for violation of § 1926.1441(b)(2)(i)

if the selection of components or configuration of equipment violates both
§ 1926.1441(b)(2)(i)(A) and § 1926.1441(b)(2)(i)(B).

 If this is a modification which did not satisfy the requirements of

§ 1926.1434 (Modifications) incorporated by § 1926.1441(b)(2)(i)(B),
consider a citation which groups the violation under § 1926.1434 with
§ 1926.1441(b)(2)(i).

j. § 1926.1412(c) and § 1926.1441(b)(2)(ii). Consider a citation grouping

§ 1926.1412(c) (Post-assembly inspection) and § 1926.1441(b)(2)(ii) if the
employer failed to complete a post-assembly inspection at all or failed during
that inspection to ensure compliance with § 1926.1434(b)(2)(i).

k. § 1926.1412(c). If the employer completed a post-assembly inspection that

ensured compliance with § 1926.1434(b)(2)(i), but that inspection did not
satisfy specific inspection requirements under § 1926.1412(c), consider a
citation of the provision within § 1926.1412(c) containing the most specific
requirements that the employer failed to satisfy. Do not consider a citation
under § 1926.1441(b)(2)(ii) in this situation.

l. § 1926.1441(b)(3). Consider a citation of this standard if the employer failed

to comply with applicable manufacturer prohibitions. List the prohibitions
which the employer failed to comply with in the AVD.

218
3. § 1926.1441(c)(1-2). Section 1926.1441(c) contains requirements for operation of
equipment with a maximum capacity of 2,000 pounds or less. Under
§ 1926.1441(c)(1), the employer must comply with all manufacturer procedures,
including procedures for use with attachments. If the manufacturer’s procedures
are not available, the employer must develop procedures in accord with the
requirements in § 1926.1441(c)(2)(i) through (iii):

 The employer must develop and ensure compliance with all procedures
necessary for safe operation.

 The procedures must be developed by a qualified person.

 Employer-developed capacity procedures must be signed by an RPE familiar

with the equipment.

Inspection Guidance

a. Determine what operating procedures, if any, the employer is following. If the

operating procedures are employer-developed, determine why the employer
did not use manufacturer’s operating procedures or whether these were
unavailable.

b. Read the procedures and determine by observation and interview whether

operations appear consistent with these procedures. If procedures are not in
writing, ask the employer and/or operator to explain what the operating
procedures are.

c. Verify that the operator understands the procedures to be followed and that the
employer is enforcing these procedures.

d. If the operating procedures were developed by the employer, rather than the
manufacturer, determine:

 who was responsible for developing the operating procedures;

 who was responsible for developing the procedures for operational

controls;

 what were that person’s qualifications, experience, and authority;

 whether that person meets the definition of a qualified person;

 whether procedures related to capacity are in writing and signed by an

RPE; and

219
  whether the RPE was familiar with the equipment and what the RPE’s
experience was. If possible, verify the RPE’s credentials.

Citation Policy

e. § 1926.1441(c)(1). Consider a citation of this standard if the employer is not

following the manufacturer’s operating procedures. This includes
circumstances in which the employer is following employer-developed
operating procedures, even though the manufacturer’s operating procedures
are available.

f. § 1926.1441(c)(2). If the manufacturer’s operating procedures are unavailable

and:

 § 1926.1441(c)(2)(i), if the employer has not developed or ensured

compliance with all procedures necessary for the safe operation of the
equipment or attachments, consider a citation of this provision;

 § 1926.1441(c)(2)(ii), if the procedures for operational controls were not

developed by a qualified person, consider a citation of this provision; or

 § 1926.1441(c)(2)(iii), if the capacity procedures were not developed and

signed by an RPE who was familiar with the equipment, consider a
citation of this provision.

Consider grouping multiple citations under § 1926.1441(c)(2)(i-iii) for penalty

purposes, where appropriate.

4. § 1926.1441(c)(3). The employer must ensure that the load chart is available
at the control station, and that procedure documents listed in
§ 1926.1441(c)(3)(ii) are readily available for the operator’s use. If rated
capacities are only available electronically, and they become unavailable due to
electronic failure, the operator must immediately cease operations or follow safe
shut-down procedures until this information is restored.

Inspection Guidance

a. Verify that the load chart is located at the control station.

b. Verify that the documentation listed in § 1926.1441(c)(3)(ii) is readily

available to the operator. Use § 1926.1441(c)(3)(ii) as a checklist, and ask the
operator to point out the location of each of the items.

c. Determine whether rated capacities are available electronically. If electronic

failure occurred, determine by observation and interview whether operations
were ceased in accord with § 1926.1441(c)(3)(iii).

220
 Citation Policy

d. § 1926.1441(c)(3)(i). Consider a citation of this provision if the load chart is

unavailable or not located at the control station.

e. § 1926.1441(c)(3)(ii). Consider a citation of this provision if any of the

documentation listed is unavailable or is not readily available to the operator.
Consider only one citation under this standard, even if multiple items listed
are unavailable or not readily available. Note the specific deficiency in the
AVD.

f. § 1926.1441(c)(3)(iii). Consider a citation of this provision if rated capacities

are only electronically available, they become unavailable because of
electronic failure, and the employer fails to cease operations immediately or
with safe shut-down procedures, or resumes operations before the rated
capacity information is available.

5. § 1926.1441(d). This section contains two requirements for safety devices and
operational aids on equipment with a maximum rated hoisting/lifting capacity of
2,000 pounds or less. These provisions apply in place of the requirements of
§§ 1926.1415 and 1926.1416. Sections 1926.1415 and 1926.1416 specifically
exclude equipment with a capacity of 2,000 pounds or less.

 Under § 1926.1441(d)(1), all safety devices and operational aids that are part
of the original equipment must be maintained in accordance with the
manufacturer’s procedures. Note that this requirement applies to anti two-
block devices if it is part of the original equipment for equipment
manufactured on or before November 8, 2011.

 Equipment manufactured after November 8, 2011 must have an anti two-

block device meeting the requirements of § 1926.1416(d)(3) or must be
designed so that if a two-block situation occurs, no damage or load failure will
occur. See § 1926.1416, Safety Devices and Operational Aids, in this directive
for additional guidance regarding the application of § 1926.1416(d)(3).
Follow the citation policy in this section for anti-two block devices used with
equipment with a maximum rated hoisting/lifting capacity of 2,000 pounds or
less.

Inspection Guidance

a. Review the manufacturer’s procedures and determine safety devices must be

on the equipment, and whether these devices are being maintained in accord
with manufacturer’s procedures.

221
 b. Ask the operator to point out all safety devices that are listed in the
manufacturer’s procedures.

c. Verify the date of manufacture for the equipment to determine whether

§ 1926.1441(d)(2) applies. Ask the employer for any documentation which
includes this information.

d. If the equipment is manufactured after November 8, 2011, ask the operator or

employer to point out the anti-two block device or to explain what measures
are in place to mitigate a two-block situation. Ask for manufacturer
documentation and confirm that the device meets the requirements of this
section, and, if applicable, § 1926.1416(d)(3).

Citation Policy

e. § 1926.1441(d)(1). Consider a citation of this standard if a safety device or

operational aid that is part of the equipment is not being maintained in accord
with the manufacturer’s procedures. The AVD should specify the device or
devices which are not being properly maintained.

f. § 1926.1441(d)(2). Consider a citation of this standard if equipment with a

maximum capacity of 2,000 pounds or less manufactured after November 8,
2011 has no anti two-block device and is not designed so that if a two-block
situation occurred, no damage or load failure would occur.

g. § 1926.1416(d)(3)(i-iii)) and § 1926.1441(d)(2). Consider a citation grouping

these standards if equipment with a maximum capacity of 2,000 pounds or
less manufactured after November 8, 2011 had an anti two-block device listed
under § 1926.1416(d)(3), but the device was not working, and the proper
temporary alternative measure was not in place, or was in place but it is seven
calendar days after the deficiency occurred and the exception in
§ 1926.1416(d) for ordered parts does not apply. Consider a citation grouping
§ 1926.1441(d)(2) with the provision containing the most specific
requirements in § 1926.1416(d)(3)(i) through (iii).

6. § 1926.1441(e). This section contains training requirements which apply in place

of the requirements of § 1926.1427, Operator Qualification and Certification.
Under § 1926.1441(e), employers must train each operator on the safe operation
of the type of equipment being used.

Inspection Guidance

a. Determine if the operator has been properly trained by the employer.

 Observe operations and interview the operator to see whether the operator
has knowledge and understanding of the equipment. For example, ask the

222
 operator to demonstrate her or his ability to use the operator’s manual,
load chart, and other written materials in the cab. Ask questions about the
equipment and the functions being performed.

 Interview the operator to determine whether he or she was trained and

what the training included.

 Ask the employer for the training program for operators. If there is no
written program, interview the employer to determine whether the
program is adequate to meet the requirements of this section.

Citation Policy

b. § 1926.1441(e). Consider a citation of this standard if the employer did not

train each operator on the safe operation of the equipment being used.

7. § 1926.1441(f). This section contains training requirements which apply in place

of the requirements of § 1926.1428, Signal person qualifications. Under §
1926.1441(f), employers must train each signal person in proper signal use.

Inspection Guidance

a. Determine if there are indications that the signal person may not have been
properly trained by the employer.

 If operations are ongoing, observe whether the signal person appears to

understand how the crane and load will move in response to various
signals that the signal person gives.

 Interview the signal person to determine whether he or she was trained and
what that training involved, including what kinds of signals he or she was
trained to give. Interview the operator to ensure that the operator
understood the signals being given.

b. Ask the employer for the training program for signal persons. If there is no
written program, interview the employer to determine whether the program is
adequate to meet the requirements of this section.

Citation Policy

c. § 1926.1441(f). Consider a citation of this standard if the employer did not

train each signal person in the proper use of signals.

8. § 1926.1441(h). Equipment must be inspected in accord with manufacturer

procedures.

Inspection Guidance
223
 a. Review the manufacturer’s procedures to determine what inspections, if any,
are required. Interview personnel to determine whether inspections are being
conducted and with what frequency. Request all inspection records.

Citation Policy

b. § 1926.1441(h). Consider a citation of this standard if the manufacturer

procedures require certain inspections, and the employer has failed to perform
them.

9. § 1926.1441(j). Equipment with a maximum rated hoisting/lifting capacity of

2,000 pounds or less may not be used to hoist personnel.

Inspection Guidance

a. Determine whether equipment is being used to hoist personnel.

Citation Policy

b. § 1926.1441(j). Consider a citation for violation of this standard if the

equipment covered by this standard is being used to hoist personnel.

10. § 1926.1441(k). The employer must ensure that the equipment is designed by a
qualified engineer. The purpose of this provision is to ensure that if the employer
builds a small crane or derrick, that the design of such cranes is sufficient to
protect employees.

Inspection Guidance

a. Determine by interview and observation whether equipment was designed by

a qualified engineer. Documentation from the manufacturer should provide
evidence that a qualified engineer designed the equipment. If equipment is
designed and built at the jobsite, ask the employer for evidence that a qualified
engineer designed the equipment.

Citation Policy

b. § 1926.1441(k). Consider a citation of this standard if the equipment covered

by this standard was not designed by a qualified engineer.

224
 Appendix A – Reference Documents

The following resources may be helpful to understanding and enforcing the standard.

1. Sling Safety. This document describes the various sling types and includes information
regarding the design of a type and its usage.
www.osha.gov/safe-sling-use

2. OSHA Cranes and Derricks Website.

 Federal Register Notice for Final Rule

 Frequently Asked Questions

 Fact Sheets

 Small Entity Compliance Guide

 Standard Interpretations

www.osha.gov/cranes-derricks-construction

A-1
 Appendix B — Sample Crane Inspection Questionnaire

(Courtesy of OSHA Region VI (revised))

MOBILE CRANE INSPECTION CHECKLIST

Annual Inspection Report (1412(d))  Monthly Inspection Report (1412(e))

Ground Condition Survey (1402(a)) Crane Installation Plan (Cribbing)

Load Chart Available (1417(b))  Load Chart Location:

Qualified Rigger (1404(r)/1425(b)) Name:

Qualified Signalmen (1428)  Name:

Certified/Qualified Operator (1427) Name:

PPE for Rigger: PPE for Signal:

CRANE SET-UP

Overhead Power Lines (1407-11) Voltage: Distance:

Outriggers Extended % Extended:

Boom Length: Boom Angle:

Crane Level (141412(d)) Jib Used:

RIGGING/WIRE ROPE

Wire Rope Inspection (1413)  Rigging Inspection (251(a))



Wire Rope Type (1414): Rigging Used:

Defective/damaged rigging or wire rope used:

How long in use:

Defect/damage occurred when:

B-1
 LOAD INFORMATION

Rigger/Signalmen Crane Operator

# of Lifts: # of Lifts:

Weights lifted: 1) Weights lifted: 1)

2) 2)

3) 3)

4) 4)

5) 5)

Verify weights of lifts from Trucking Manifests, Weights/Specification on equipment, etc.

Check load charts and determine if lifts done in accord with Manufacturer’s specs (include
weight of rigging and all attachments used during lifts)

CRANE EQUIPMENT

Anti Two-block device (1416(d))  Load Weighing Device (1416(e))



Hydraulic Oil Leaks (1412(d)) Damaged components/parts (1412(d))



Description of Safety Devices:

Damaged/defective Devices:

B-2
Devices out of service:

Date of damage/defect:

Sketch of Crane Set-up with Unloading and Landing Area

B-3