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29 CFR 1926.550(a)(1),1926.550(a)(4), 1926.550(a)(16)

Federal Register Federal Register [06/19/1998] #63:33713
Construction Crane Rating Chart Limitations Instructions and Hand Signal Illustrations

A. Justification

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 Occupational Safety and Health Act of 1970 authorizes the promulgation of health and safety standards necessary or appropriate to provide safe or healthful employment and places of employment. The statute specifically authorizes information collection by employers as necessary or appropriate for the enforcement of the Act or for developing information regarding the causes and prevention of occupational injuries, illnesses, and accidents.

There have been significant numbers of fatalities and injuries due to improper crane use. The use of appropriately documented capacity charts, machine configuration limitations, and hand signal illustrations are required to ensure the employee a safe place to work during operations involving the use of a crane or derrick. Without the required documentation to guide the user, cranes and derricks would be misused because information necessary for safe use would be unavailable. This documentation is used by employers, engineers, supervisors and equipment operators to determine the machine's capacity to lift and place loads and as a reference for proper hand signals to be used.

1926.550(a)(1) and (a)(2) -- These provisions require that where manufacturer's specifications are not available, the limitations assigned to a crane or derrick be based on the determinations of a qualified engineer and that load charts be posted on all equipment. The capacities of cranes and derricks are limited by the structural capacity of the components and the way those components are assembled, moved, supported and controlled. All factory-manufactured equipment has the required documentation attached or included with the equipment as delivered. If for some reason the manufacturer's specifications are unavailable (if they have been lost or damaged), the employer must obtain a replacement set of specifications from the manufacturer. In the event the crane manufacturer is not available or cannot provide the information, the equipment must be evaluated and tested by a qualified engineer to obtain the information needed.

1926.550(a)(4) -- This provision requires that hand signal illustrations be posted at the job site. Hand signals used during the operation of the crane or derrick are important to the safe operation of the equipment. Improper use of hand signals can lead to unsafe operation of the crane or derrick. Posting of hand signal illustrations is needed for reference at the job site.

1926.550(a)(16) -- This provision requires that when a crane or derrick has been modified, it must be evaluated and tested by a qualified engineer to determine the capacity, operation and maintenance instructions. Occasionally, because of job environment limitations or job specific needs, an employer will assemble components of several manufactured mobile crane machines. Rating charts and limitation guideline documents for unitized machines sold to employers will not provide the information required for these field-modified or field-manufactured machines. The reason is that diverse components that have been substituted for unitized machine components (such as carriers, outriggers, or swing tables) will have differing strengths according to the dimensional variants of the respective components. When these components are changed, the appropriate rating for the newly matched assembly must be ascertained to ensure safe operation of the machine.

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

The rating charts, assignment of limitations, identification of attachment capacities, and hand signal illustrations are read by employer supervisory personnel, crane or derrick operators, and crews. The documentation is used to determine how to use the specific machine, how much it will be able to lift as assembled in one or a number of particular configurations, what rated capacity attachments may be used with the machine in a given configuration, and as reference for proper hand signals to be used for that particular crane or derrick . If not properly used, the machine would be subject to failures, endangering the employees in the immediate vicinity.

If the requirement is not implemented, the Agency would not be able to meet its statutory mission of helping to ensure a safe workplace. By posting this information, an OSHA Compliance Officer would be able to determine if the machine was being used in a safe manner.

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

Employers may utilize improved information technology whenever reporting or maintaining records associated with this collection of information.

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.

OSHA is unaware of any other requirements that duplicate this collection of information.

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

The Agency does not anticipate a significant impact on small businesses. The burden of compliance with the information collection requirements is proportional to the number of cranes or derricks used.

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

OSHA's ability to enforce crane safety requirements would be compromised in the absence of these requirements.

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 statistical data classification that has not been reviewed and approved by OMB;

  • that includes a pledge of confidentially 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 prove that it has instituted procedures to protect the information's confidentially to the extent permitted by law.

The requirements are within the guidelines set forth in 5 CFR 1320.6, therefore, there would not be any special circumstances that would cause an information collection to be conducted in any of the pre-mentioned conditions.

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 before submission to OMB. Summarize public comments received in response to that notice and describe actions taken by the agency in response to those comments. Specifically address comments received on cost and hour burdens.

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 record keeping, disclosure, or reporting format (if any), and on the data elements to be recorded, revealed, 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 mitigate against consultation in a specific situation. These circumstances should be explained.

To date, OSHA is not aware of any problems with the paperwork requirements contained in 29 CFR 1926.550(a) (1) and (a)(2), 1926.550(a)(4), and 1926.550(a)(16). As required in the Paperwork Reduction Act of 1995, the Agency will issue a notice in the Federal Register soliciting comments from the public and other interested parties on OSHA's burden hour estimates. The Agency will then review and address any comments received in response to this notice before obtaining OMB approval of the paperwork requirements.

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

No payments or gifts will be provided to the respondents.

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

No elements of confidentiality are involved with this information collection.

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 reasons 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.

No such information is required to be reported under this rule.

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 burdens, 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 burden 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. The cost of contracting out or paying outside parties for information collection activities should not be included here. Instead, this cost should be included in Item 14.

1926.550(a)(1) and (a)(2) -- All factory-manufactured cranes and derricks have the required documentation permanently attached or included with the equipment when delivered. The manufacturer's specifications are delivered with the equipment and the load charts are permanently attached to the equipment. The only time an employer would incur a burden for this information collection activity would be when and if the information needed to be re-posted or replaced. Of the 117,500 cranes and derricks in use per year, it is estimated that 1% (1175) of them would require the information to be replaced due to lost or damaged specifications. New specifications would usually be obtained from the manufacturer and replaced by the employer. There would be some cases where the manufacturer is unavailable or cannot supply the specifications (approximately 50 cases per year). In that situation, a qualified engineer would be hired (the cost is included in #13) to evaluate the equipment and develop the limitations. The employer would then need to post the new specifications.

(117,500 cranes/derricks) x (1% replaced) x (5 min to post specs) = 98 Hrs.

1926.550(a)(4) -- It is usual and customary for the crane or derrick cab to have a copy of hand signal illustrations attached to the equipment either inside the cab or outside on the equipment itself in the form of a decal. The decals are inspected during the required annual crane inspection and are replaced about 50% of the time during the inspection due to wear. It is common to have extra hand signal decals available to re-apply during the inspection, therefore, OSHA is not assessing a burden for acquiring the information, only to post it.

(117,500 cranes/derricks) x (50% replace decals) x (5 min. to post decal) = 4896 Hrs.

1926.550(a)(16) -- For cranes or derrick that are modified in accordance with paragraph (a)(16), posting of the load charts and specifications would be required in all instances. A cost burden is also taken for the engineer who would be hired to develop the required information (see #13).

(19 modified cranes/yr) x (5 min. to post specifications) = 2 Hrs.

Total Burden Hours = 4996 Hours

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 Items 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), use 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.

1926.550(a)(1) -- There will be a cost burden to respondents to replace manufacturers specifications if lost or damaged and unavailable manufacturer (this will occur in approximately 50 cases per year). The cost will be the time necessary for a qualified engineer to make the determination of the equipment limitations. The evaluation would require two engineers and their own materials and equipment working approximately 65 hours each to provide the respondent with the required information.

(50 cases /yr.) x (65 hours) x (2 engineers) x ($30.13/hr.) = $195,845

1926.550(a)(16) -- There will be a cost burden to respondents to rate modified cranes where there are no specifications or load charts. There are approximately 19 respondents each year.

There are approximately 15 respondents that modify cranes (up to 350 tons rated capacity) for special applications. These field-modified or field-assembled cranes or derricks must be evaluated and tested by qualified engineers to determine the machine's capacity to lift and place loads. A respondent would contract with an engineering firm that specializes in this work. The engineering firms use two engineers and their own materials and equipment to provide the respondent with the required information.

The going rate for labor and materials is $3917.00 for machines up to 350 tons rated capacity. This includes two engineers working approximately 65 hours @ $30.13 per hour. Approximately 15 of these machines are modified each year.

(2 engineers) x (65 hours) x ($30.13/hr.) x (15 machines) = $58,754

There are approximately four respondents in any given year that build special machines for very large industrial lifts ranging from 400 tons to 1200 tons. These mammoth cranes or derricks are field-manufactured or assembled by or for the employer by rigging companies or crane manufacturing and testing representatives for a specific job site. Special engineering firms are hired on a contract basis to develop the information collection required for use in operating these machines.

The going rate for machines 400 to 1200 tons rated capacity is approximately $19,585 per machine. This includes ten engineers working approximately 65 hours @$30.13 per hour. Approximately 4 of these machines are modified each year.

(10 engineers) x (65 hours) x ($30.13/hr.) x (4 machines) = $78,338

Total Cost = $332,937 per year

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 a single table.

The cost to the Federal Government is the OSHA compliance officer's hourly wage rate ($25.56 average for GS-12 employee compliance officer) multiplied by the time it takes to observe the posted materials (5 minutes or 0.08 hour) or $2.05 per document per visit. Other operational expenses, such as equipment, overhead, and support staff expenses, would have occurred without these collection of information requirements and are considered normal OSHA operating expenses.

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

There is an adjustment of 446 burden hours (from 4550 to 4996) associated with this information collection request. The increase is a result of a more careful review and analysis of the information collection requirements in the crane and derrick standard. The Agency has determined that hour burdens previously taken for 1926.550(a)(1) are actually cost burdens to the employer. Additionally, the original submission only addressed 1926.550(a)(1) and (a)(2). The Agency has identified additional collections in 1926.550(a)(4), and 1926.550(a)(16). The hour and cost burdens for these collections are discussed in #12 and #13 above.

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 report, publication dates, and other actions.

This question is not applicable as this information will not be published for statistical use.

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.

OSHA is not seeking such approval.

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 any exceptions to the certification statement in Item 19.


The agency should be prepared to justify its decision not to use statistical methods in any case where such methods might reduce burden or improve accuracy of results. When Item 17 on the Form OMB 83-I is checked "Yes", the following documentation should be included in the Supporting Statement to the extent that it applies to the methods proposed:

1. Describe (including a numerical estimate) the potential respondent universe and any sampling or other respondent selection methods to be used. Data on the number of entities (e.g., establishments, State and local government units, households, or persons) in the universe covered by the collection and in the corresponding sample are to be provided in tabular form for the universe as a whole and for each of the strata in the proposed sample. Indicate expected response rates for the collection as a whole. If the collection had been conducted previously, include the actual response rate achieved during the last collection.

2. Describe the procedures for the collection of information including:
  • Statistical methodology for stratification and sample selection,

  • Estimation procedure,

  • Degree of accuracy needed for the purpose described in the justification,

  • Unusual problems requiring specialized sampling procedures, and

  • Any use of periodic (less frequently than annual) data collection cycles to reduce burden.

3. Describe methods to maximize response rates and to deal with issues of non-response. The accuracy and reliability of information collected must be shown to be adequate for intended uses. For collections based on sampling, a special justification must be provided for any collection that will not yield "reliable" data that can be generalized to the universe studied.

4. Describe any tests of procedures or methods to be undertaken. Testing is encouraged as an effective means of refining collections of information to minimize burden and improve utility. Tests must be approved if they call for answers to identical questions from 10 or more respondents. A proposed test or set of tests may be submitted for approval separately or in combination with the main collection of information.

5. Provide the name and telephone number of individuals consulted on statistical aspects of the design and the name of the agency unit, contractor(s), grantee(s), or other person(s) who will actually collect and/or analyze the information for the agency.

This is not applicable since there is no requirement for the collection of information employing statistical methods.