(OMB Control No. 1218-0216 (October 2004))

black bullet Federal Register [10/22/2003] # 68:60417-60418
Aerial Lifts (29 CFR 1926.453); Extension of the Office of Management and Budget's (OMB) Approval of Information-Collection (Paperwork) Requirements


1. Explain the circumstances that make the collection of information necessary. Identify any legal or administrative requirements that require the collection. Attach a copy of the appropriate section of each statute and regulation mandating or authorizing the collection of information.

The main objective of the Occupational Safety and Health Act (OSH Act) is to "assure so far as possible every working man and woman in the Nation safe and healthful working conditions and to preserve our human resources." (29 U.S.C. 651.) To achieve this objective, the OSH Act specifically authorizes "the development and promulgation of occupational safety and health standards." (29 U.S.C. 651.) In addition, the OSH Act specifies that "[e]ach employer shall make, keep and preserve, and make available to the Secretary . . . such records . . . as the Secretary . . . may prescribe by regulation as necessary or appropriate for the enforcement of this Act . . . ." (29 U.S.C. 657.)

Under the authority granted by the OSH Act, the Occupational Safety and Health Administration (OSHA) published the Aerial Lifts Standard at 29 CFR 1926.453 to protect employees who operate, or work near, aerial lifts. Items 2 and 12 below list and describe the specific information-collection requirements of this standard.

2. Indicate how, by whom, and for what purpose the information is to be used. Except for a new collection, indicate the actual use the Agency has made of the information received from the current collection.

The only information-collection requirement in the Aerial Lifts Standard is a certification provision, paragraph (a)(2). This provision requires an employer who modifies an aerial lift for a use not documented by the lift manufacturer to obtain from that manufacturer, or an equivalent entity (such as a nationally-recognized laboratory), a written certificate stating that: The modification conforms to the applicable provisions of ANSI A92.2-1969 and the Aerial Lifts Standard; and the modified aerial lift is at least as safe as it was before modification.

Employers use the certification requirement specified in paragraph (a)(2) of the standard to demonstrate to interested parties (e.g., OSHA compliance officers, insurance agents) that they modified aerial lifts in such a manner that the lifts are at least as safe for employees as the original equipment. Additionally, the certification provides the only means by which an OSHA compliance officer can determine that the manufacturer or an equally-qualified entity assessed a modified aerial lift and found that it: Was safe for use by, or near, employees; and would provide employees with a level of protection at least equivalent to the protection afforded by the lift prior to modification. Finally, employees may review the information on the certificate; such a review will provide them with information that they can use to determine the safety of the modified lifts.

3. Describe whether, and to what extent, the collection of information involves the use of automated, electronic, mechanical, or other technological collection techniques or other forms of information technology, e.g., permitting electronic submission of responses, and the basis for the decision for adopting this means of collection. Also describe any consideration of using information technology to reduce burden.

Employers may use improved information technology when establishing and maintaining the required certification record. OSHA wrote the paperwork requirements of the standard in performance-oriented language, i.e., in terms of what data to collect, not how to collect the data.

4. Describe efforts to identify duplication. Show specifically why any similar information already available cannot be used or modified for use for the purposes described in Item 2 above.

The requirement to collect and maintain information is specific to each employer and employee involved, and no other source or agency duplicates the requirement or can make the required information available to OSHA (i.e., the required information is available only from employers).

5. If the collection of information impacts small businesses or other small entities (Item 5 of OMB Form 83-I), describe any methods used to minimize burden.

The information-collection requirement of this standard does not have a significant impact on a substantial number of small entities.

6. Describe the consequence to Federal program or policy activities if the collection is not conducted or is conducted less frequently, as well as any technical or legal obstacles to reducing burden.

Employers must have the manufacturer or an equally-qualified entity certify modifications made to aerial lifts only once. OSHA believes that this frequency is necessary to ensure that these lifts remain is at least as safe as they were before modification.

7. Explain any special circumstances that would cause an information collection to be conducted in a manner:

  • Requiring respondents to report information to the agency more often than quarterly;

  • Requiring respondents to prepare a written response to a collection of information in fewer than 30 days after receipt of it;

  • Requiring respondents to submit more than an original and two copies of any document;

  • Requiring respondents to retain records, other than health, medical, government contract, grant-in-aid, or tax records for more than three years;

  • In connection with a statistical survey, that is not designed to produce valid and reliable results that can be generalized to the universe of study;

  • Requiring the use of a statistical data classification that has not been reviewed and approved by OMB;

  • That includes a pledge of confidentiality that is not supported by authority established in statute or regulation, that is not supported by disclosure and data security policies that are consistent with the pledge, or which unnecessarily impedes sharing of data with other agencies for compatible confidential use; or

  • Requiring respondents to submit proprietary trade secret, or other confidential information unless the agency can demonstrate that it has instituted procedures to protect the information's confidentiality to the extent permitted by law.

No special circumstances exist that require employers to collect information in the manner, or using the procedures, described in this item.

8. If applicable, provide a copy and identify the date and page number of publication in the Federal Register of the agency's notice, required by 5 CFR 1320.8(d), soliciting comments on the information collection prior to submission to OMB. Summarize public comments received in response to that notice and describe actions taken by the agency in response to these comments. Specifically address comments received on cost and hour burden.

Describe efforts to consult with persons outside the agency to obtain their views on the availability of data, frequency of collection, the clarity of instructions and recordkeeping, disclosure, or reporting format (if any), and on the data elements to be recorded, disclosed, or reported.

Consultation with representatives of those from whom information is to be obtained or those who must compile records should occur at least once every 3 years, even if the collection-of-information activity is the same as in prior periods. There may be circumstances that may preclude consultation in a specific situation. These circumstances should be explained.

As required by the Paperwork Reduction Act of 1995 (U.S.C. 3506(c)(2)(A)), the Agency will publish a notice in the Federal Register requesting public comment on the proposed extension of, the information-collection requirements contained in this provision. OSHA will then review and address the comments received in response to this notice before obtaining OMB approval of the paperwork requirement.

9. Explain any decision to provide any payment or gift to respondents, other than reenumeration of contractors or grantees.

The Agency will not provide payments or gifts to the respondents.

10. Describe any assurance of confidentiality provided to respondents and the basis for the assurance in statute, regulation, or agency policy.

The paperwork requirement specified in this standard does not require the collection of confidential information.

11. Provide additional justification for any questions of a sensitive nature, such as sexual behavior and attitudes, religious beliefs, and other matters that are commonly considered private. This justification should include the reason why the agency considers the questions necessary, the specific uses to be made of the information, the explanation to be given to persons from whom the information is requested, and any steps to be taken to obtain their consent.

The paperwork requirement specified in this standard does not require the collection of sensitive information.

12. Provide estimates of the hour burden of the collection of information. The statement should:

  • Indicate the number of respondents, frequency of response, annual hour burden, and an explanation of how the burden was estimated. Unless directed to do so, agencies should not conduct special surveys to obtain information on which to base hour burden estimates. Consultation with a sample (fewer than 10) of potential respondents is desirable. If the hour burden on respondents is expected to vary widely because of differences in activity, size, or complexity, show the range of estimated hour burden, and explain the reasons for the variance. Generally, estimates should not include burden hours for customary and usual business practices.

  • If this request for approval covers more than one form, provide separate hour burden estimates for each form and aggregate the hour burdens in Item 13 of OMB Form 83 I.

  • Provide estimates of annualized cost to respondents for the hour burdens for collections of information, identifying and using appropriate wage-rate categories.

Burden-Hour and Cost Determinations

The Agency estimates that: Employers in the construction industry operate about 50,000 aerial lifts(2); and employers modify about 2% (or 1,000)(3) of these lifts each year for uses not documented by the lift manufacturer where the lift manufacturer, or an equally-qualified entity, must certify these modifications as required by 29 CFR 1926.453. OSHA believes that compiling and maintaining the equipment-modification certificates is a usual and customary business practice performed by employers for insurance and liability purposes. Therefore, while this certification requirement does not impose an additional regulatory burden on employers regarding the compilation and maintenance of certification records, the requirement to disclose the certificates to OSHA compliance officers does result in a regulatory burden. Compliance officers will inspect about 30% (or 300)(4) of these modified lifts annually, based on previous years estimates. The agency estimates that a construction worker earning an hourly wage rate of $34.15(5), spends about 3 minutes (.05 hour) to retrieve each certificate during an OSHA inspection, which results in a total annual regulatory burden to employers of:

Burden hours: 300 lifts x .05 hour = 15 hours
Cost: 15 hour x $34.15 = $512.

13. Provide an estimate of the total annual cost burden to respondents or recordkeepers resulting from the collection of information. (Do not include the cost of any hour burden shown in item 12 and 14.)

  • The cost estimate should be split into two components: (a) A total capital and start up cost component (annualized over its expected useful life); and (b) a total operation and maintenance and purchase of services component. The estimates should take into account costs associated with generating, maintaining, and disclosing or providing the information. Include descriptions of methods used to estimate major cost factors including system and technology acquisition, expected useful life of capital equipment, the discount rate(s), and the time period over which costs will be incurred. Capital and start up costs include, among other items, preparations for collecting information such as purchasing computers and software; monitoring, sampling, drilling and testing equipment; and record storage facilities.

    If cost estimates are expected to vary widely, agencies should present ranges of cost burdens and explain the reasons for the variance. The cost of purchasing or contracting out information collection services should be a part of this cost burden estimate. In developing cost burden estimates, agencies may consult with a sample of respondents (fewer than 10), utilize the 60 day pre OMB submission public comment process and use existing economic or regulatory impact analysis associated with the rulemaking containing the information collection, as appropriate.

  • Generally, estimates should not include purchases of equipment or services, or portions thereof, made: (1) Prior to October 1, 1995; (2) to achieve regulatory compliance with requirements not associated with the information collection; (3) for reasons other than to provide information or keep records for the government; or (4) as part of customary and usual business or private practices.

Item 12 lists the total cost to employers of complying with the certification requirement specified in this standard.

14. Provide estimates of the annualized cost to the Federal Government. Also provide a description of the method used to estimate cost, which should include quantification of hours, operational expenses (such as equipment, overhead, printing and support staff), and any other expense that would not have been incurred without this collection of information. Agencies also may aggregate cost estimates from Items 12, 13, and 14 into single table.

The Agency estimates that a compliance officer (GS-12/5), at an hourly wage rate of $31.53, spends 5 minutes (.08 hour) during each inspection reviewing records maintained by employers covered by the standard. OSHA will inspect about 30% (or 300) of these modified lifts annually. The Agency considers other expenses, such as equipment, overhead, and support staff salaries, as normal operating expenses that would occur without the collection-of-information requirement specified in the standard.

Cost: 300 inspections x 0.08 hour x $31.53 = $756.72

15. Explain the reasons for any program changes or adjustments reported in Items 13 or 14 of the OMB Form 83-I.

The Agency is requesting an increase of 12 hours, from 3 hours to 15 hours. The increase is a result increasing the number of aerial lifts which increased the number being inspected from 60 lifts to 300 lifts.

16. For collections of information whose results will be published, outline plans for tabulations and publication. Address any complex analytical techniques that will be used. Provide the time schedule for the entire project, including beginning and ending dates of the collection of information, completion of the report, publication dates, and other actions.

OSHA will not publish the information collected under this standard.

17. If seeking approval to not display the expiration date for OMB approval of the information collection, explain the reasons that display would be inappropriate.

No forms are available for the Agency to display the expiration date.

18. Explain each exception to the certification statement identified in Item 19, "Certification for Paperwork Reduction Act Submissions," of OMB Form 83-I.

OSHA is not seeking an exception to the certification statement in item 19, of the OMB 83-I

Footnote (1) The purpose of this supporting statement is to analyze and describe the burden hours and cost associated with provision of the Aerial Lift Standard that contain a paperwork requirement, and does not provide information or guidance on how to comply with or enforce this standard. (Back to Text)

Footnote (2) 50,000 lifts x 2%= 1,000 lifts. (Back to Text)

Footnote (3) Based on discussions with a lift manufacturer. (Back to Text)

Footnote (4) 1,000 lifts x 30% = 300 lifts. (Back to Text)

Footnote (5) The average hourly rate for a construction worker, including benefits; from the National Compensation Survey: Occupational Wages in the United States, June 2003, Bureau of Labor Statistics. (Back to Text)