Ss_1218-0231(02-22-11)

SUPPORTING STATEMENT FOR
THE INFORMATION COLLECTION REQUIREMENTS OF
THE STANDARD ON MATERIAL HOISTS,
PERSONNEL HOISTS,
AND ELEVATORS (29 CFR 1926.552) 1
(OFFICE OF MANAGEMENT AND BUDGET)
(OMB) CONTROL NO. 1218-0231))
(February 2011)
A. JUSTIFICATION
1. Explain the circumstances that make the collection of information necessary. Identify any legal or
administrative requirements that necessitate 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 of 1970 (i.e., the Act) is to
“assure as 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 Act authorizes “the development and promulgation of occupational safety and
health standards” (29 U.S.C. 651).
With regard to recordkeeping, the 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). The
Act states further that “[t]he Secretary shall prescribe such rule and regulations as [he/she] may
deem necessary to carry out [he/she] responsibilities under this Act, including rule and
regulations dealing with the inspection of an employer’s establishment” (29 U.S.C. 657).
Under the Authority granted by the OSH Act, the Occupational Safety and Health
Administration (OSHA or the “Agency”) published the Material Hoists, Personnel Hoists, and
Elevators Standard (29 CFR 1926.552) (the “Standard”) to protect workers who operate and
work around personnel hoists. Items 2 and 12 below list and describe the specific information
collection requirement 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.

Posting Requirements
Paragraph (a)(2) requires that the rated load capacities, recommended operating speeds, and
special hazard warnings or instructions be posted on cars and platforms.

1

The purpose of this supporting statement is to analyze and describe the burden hour and cost associated with
provisions of this standard that contain paperwork requirements; this Supporting Statement does not provide
information or guidance on how to comply with, or how to enforce, these provisions.

Paragraph (b)(1)(i) requires that operating rules for material hoists be established and posted at
the operator’s station of the hoist. These rules shall include signal system and allowable line
speed for various loads.
Paragraph (c)(10) requires that cars be provided with a capacity and data plate secured in a
conspicuous place on the car or crosshead.
These posting requirements are used by the operator and crew of the material and personnel
hoists to determine how to use the specific machine and how much it will be able to lift as
assembled in one or a number of particular configurations. If not properly used, the machine
would be subject to failures, endangering the employees in the immediate vicinity.
Test and Inspection and Certification Records
Paragraph (c)(15) requires that a test and inspection of all functions and safety devices be made
following assembly and erection of hoists. The test and inspection are to be conducted under
the supervision of a competent person. A similar inspection and test is required following major
alteration of an existing installation. All hoists shall be inspected and tested at three month
intervals. A certification record (the most recent) of the test and inspection is required to be
kept on file, including the date the test and inspection was completed, the identification of the
equipment and the signature of the person who performed the test and inspection. This
certification ensures that the equipment has been tested and is in safe operating condition.
Disclosure of Test and Inspection Certification Records
The most recent certification record will be disclosed to a CSHO during an OSHA inspection.
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 automated, electronic, mechanical, or other technological informationcollection techniques, or other forms of information technology (e.g., electronic submission of
responses) when establishing and maintaining the required records. The agency wrote
paperwork requirements of the Standard in performance-oriented language (i.e., in terms of
what data to collect, not how to record 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 A.2 above.

The requirements to collect and maintain information are specific to each employer and worker
involved, and no other source or agency duplicates these requirements 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, describe any methods
used to minimize burden.

2

The information collection requirements specified by the Standard do not have a significant
impact on a substantial number of 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.

The Agency believes that the information-collection frequencies required by the Standard are the
minimum frequencies necessary to fulfill its mandate “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” as specified in the OSH Act at 29 U.S.C. 651. Accordingly, if employers do not
perform the information collection required by §1926.552 or delay in providing this information,
workers are at risk of serious injuries or death.
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-inaid, 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 using the procedures
specified by this Item. The requirements are within the guidelines set forth in 5 CFR 1320.5
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.

3

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, 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 three 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.

As required by the Paperwork Reduction Act of 1995 (44 U.S.C. 3506(c)(2)(A)), OSHA
published a notice in the Federal Register on December 3, 2010 (75 FR 75500, Docket No.
OSHA-2010-0052) requesting public comments on its proposal to extend the Office of
Management and Budget’s (OMB) approval of the information collection requirements specified
in its standard on Material Hoists, Personnel Hoists, and Elevators (29 CFR 1926.552). This
notice was part of a preclearance consultation program designed to provide the general public
and government agencies with an opportunity to comment on OSHA’s request for an extension
by OMB of a previous approval of the information collection requirements found in the
Standard. The Agency received no comments in response to this notice.
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 requirements specified by the Standard do not involve 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.

None of the provisions in the standard require 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

●

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

4

Estimated Burden Hours and Costs
(A) Posting Requirements--1926.552(a)(2), (b)(1)(i), (c)(10)
Based upon information gathered for the final economic analysis for the new cranes and derricks
rule (75 FR 47906, August 9, 2010), OSHA estimates that there are 122,091 cranes and derricks
in the construction industry. OSHA estimates that 80% (97,673) of these are crawler, truck or
locomotive cranes. It is further estimated that the remaining 20% (24,418) are construction
personnel and material hoists. It has been determined that half of these hoists are factory-built
and half are site-built.
All factory manufactured equipment has the required documentation attached or included when
the equipment is delivered. If, for some reason, the manufacturer’s specifications are
unavailable, or if they have been lost or damaged, the employer must obtain a replacement set of
specifications from the manufacturer. In the event the equipment manufacturer is not available
or cannot provide the information, the equipment must be evaluated and tested by a qualified
engineer to obtain the required information.
Factory-Built Hoists and Elevators
In a factory-built hoist, manufacturers establish the rated load capacity, recommended operating
speeds, special hazards warning, allowable line speed for various loads and other required
information stated in these provisions. This information is permanently affixed to the hoist when
delivered. The only time an employer would incur a burden for this information collection
activity would be when, and if, the information would need to be re-posted due to damage caused
by wear and tear. The Agency estimates that .1% of factory-built hoists will need the
information re-posted each year due to damage. OSHA estimates that it would take a nonsupervisory construction worker 30 minutes (.5 hour) to obtain and post the necessary
information.
In a previous supporting statement, OSHA estimated that there were 13,274 hoists/elevators
affected by this Standard. That same year, the 2006 FW Dodge report calculated that there were
243,000 active construction worksites (excluding single-family houses). In order to estimate the
number of hoists/elevators for this supporting statement, OSHA divided the number of active
construction worksites (excluding single-family houses) in the 2009 FW Dodge report (168,199)
by the 2006 FW Dodge report number of active construction worksites (excluding single-family
houses) to calculate a ratio of .692 worksites between the total worksites in 2006 and 2009 (i.e.,
168,199/243,000). OSHA then multiplied the prior estimate of 13,274 hoists/elevators by .692 to
estimate that 9,186 hoists/elevators are affected by this Standard.
The Agency uses average hourly earnings, including benefits, to represent the cost of employee
time. For the relevant occupational categories, mean hourly earnings from the July 2009
National Compensation Survey by the Bureau of Labor Statistics have been adjusted to reflect
the fact that fringe benefits comprise about 29.4% of total compensation in the private sector.
Since wages are the remaining 70.6% of employee compensation wages ($21.13/hour) are
multiplied by 1.42 (1/0.706) to estimate full employee hourly compensation. The costs of labor

5

used in this analysis are therefore estimates of total hourly compensation. The hourly wage rate
for a non-supervisory construction worker is $30.00.
Burden hours: 9,186 x .001 reposted/yr x .5 hr. = 5 hours
Costs: 5 hours x $30.00 = $150.00
Site-Built Hoists
When a hoist is built on site, it is necessary to determine the weight and rated-load capacity of
the hoist along with recommended operating speeds, special hazards warnings, and allowable
line speeds for various loads. The hoists would typically be designed by an engineer. The
information needed to comply with this requirement is readily known from engineering plans.
For hoists that are site-built, posting this information would be required in all instances. Since
these hoists are required to be designed by a qualified engineer or a qualified person competent
in structural design, the only burden is the time to post the information developed by the
engineer on a plate or to permanently mark the hoist. Previously, OSHA estimated the burden of
posting this information by using the wages/hour of a construction supervisor. OSHA has
revisited this decision and is now using the wages of a non-supervisory construction worker to
calculate this burden. OSHA made this change because the Agency believes that a nonsupervisory construction worker is capable of adequately performing the duty to post, based on
information developed by a qualified engineer. Although the non-supervisory construction
worker is generally not capable of designing the hoists, he/she is capable of posting the
information provided by a qualified engineer.
In a previous supporting statement, OSHA estimated that there were 13,274 hoists/elevators
affected by this standard. That same year, the 2006 FW Dodge report calculated that there were
243,000 active construction worksites (excluding single-family houses). In order to estimate the
number of hoists/elevators for this supporting statement, OSHA divided the number of active
construction worksites (excluding single-family houses) in the 2009 FW Dodge report (168,199)
by the 2006 FW Dodge report number of active construction worksites (excluding single-family
houses) to calculate a ratio of .692 worksites from the two years (i.e., 168,199/243,000). OSHA
then multiplied the prior estimate of 13,274 hoists/elevators by .692 to estimate that 9,186
hoists/elevators are affected by this standard.
The Agency determined average wage rates for a non-supervisor construction worker using
average hourly earnings. For the relevant occupational categories, OSHA adjusted the mean
hourly earnings from the July 2009 National Compensation Survey by the Bureau of Labor
Statistics to allow for fringe benefits, which comprise about 29.4% of total compensation in the
private sector. With wages comprising 70.6% of employee compensation, the Agency multiplied
non-supervisory construction employee wages ($21.13/hour) by 1.42 (1/0.706) to derive total
hourly employee compensation. Therefore, the costs of labor used in this analysis are estimates
of total hourly compensation. These estimates are $30.00 for a non-supervisory construction
employee. OSHA estimates it takes a non-supervisor construction worker 5 minutes (.08 hour)
to post the necessary information.

6

Burden hours: 9,186 hoists x .08 hour to post information = 735 hours.
Costs: 735 hours x $30.00 = $22,050
(B) Test and Inspection and Certification Records1926.552(c)(15)
The frequency of the inspection is quarterly (4 times a year). Additionally, OSHA estimates that
10% of the personnel hoists will require a second inspection each quarter due to repair work.
The Agency estimates that it takes a non-supervisory construction worker approximately 15
minutes (.25 hour) to conduct the test and inspection, and to generate and maintain the
certification record of the most recent test and inspection. To calculate the total number of
hoists, the Agency added the number of factory-built hoists and the number of site-built hoists.
The Agency determined average wage rates for a non-supervisor construction worker using
average hourly earnings. For the relevant occupational categories, OSHA adjusted the mean
hourly earnings from the July 2009 National Compensation Survey by the Bureau of Labor
Statistics to allow for fringe benefits, which comprise about 29.4% of total compensation in the
private sector. With wages comprising 70.6% of employee compensation, the Agency multiplied
non-supervisory construction employee wages ($21.13/hour) by 1.42 (1/0.706) to derive totalhourly employee compensation. Therefore, the costs of labor used in this analysis are estimates
of total hourly compensation. These estimates are $30.00 for a non-supervisory construction
employee.
Burden hours: 18,372 x 4 inspections annually x .25 hour = 18,372
hours
18,372 hoists x 10% requiring 2nd inspection x 4 inspections
annually x .25 hour = 1,837 hours
Costs: (18,372 hours + 1,837 hours) = 20,209 hours x $30.00 =
$606,270
(C) Disclosure of Test and Inspection Certification Records--1926.552(c)(15)
OSHA estimates that approximately 257 hoists covered by the Standard will be subject to an
OSHA inspection where the employer will be required to disclose certification records annually
(see Item 14 below). This is estimated to take a supervisor 2 minutes (.03 hour).
The Agency determined average wage rates for a first-line supervisor of construction using
average hourly earnings. For the relevant occupational categories, OSHA adjusted the mean
hourly earnings from the July 2009 National Compensation Survey by the Bureau of Labor
Statistics to allow for fringe benefits, which comprise about 29.4% of total compensation in the
private sector. With wages comprising 70.6% of employee compensation, the Agency multiplied
first-line construction supervisor wages ($29.94/hour) by 1.42 (1/0.706) to derive total hourly
employee compensation. Therefore, the costs of labor used in this analysis are estimates of total
hourly compensation. These estimates are $42.51 for a first-line supervisor of construction.

7

Burden hours:
Cost:

257 inspections x .03 hour = 8 hours
8 burden hours x $42.51 = $340

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 service 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 respondent (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 above provides the total cost of the information collection requirements specified by the
Standard.
14. Provide estimates of 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
in a single table.

OSHA estimates that a compliance officer (GS-12, step 5), with an hourly wage rate of $37.37 2
spends about 5 minutes (.08 hour) during an inspection reviewing the document required by the
Standard. The Agency determines that its compliance officers will inspect 257 personnel hoists
which are regulated by this Standard during each year covered by this ICR 3 . OSHA considers
other expenses, such as equipment, overhead and support staff salaries to be normal operating
expenses that would occur without the paperwork requirements specified by the Standard.
2

SOURCE: U.S. Office of Personnel Management, General Schedule and Locality Tables, Salary Table 2010RUS, http://www.opm.gov/oca/10tables/pdf/rus_h.pdf.
3

OSHA estimated the number of inspections by multiplying OSHA’s inspection rate (1.4%) by the number of
hoists covered by this ICR (i.e., 18,374 hoists x 1.4% = 257).

8

Therefore, the total cost of this paperwork requirement to the Federal government is:
Cost: 257 inspections x .08 hour x $37.37 = $768
15. Explain the reasons for any program changes or adjustments reporting in Items 13 or 14.

The Agency is requesting a decrease in burden hours from 30,282 to 20,957 (a total decrease of
9,325 burden hours) (see Table 1 below). This decrease is a result of a drop in the number of
construction worksites from 2.43 million to 725,199.
16. For collections of information whose results will be published, outline plans for tabulation, 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 information, completion of report,
publication dates, and other actions.

OSHA will not publish the information collected under the 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 appropriate.

No forms are available for the Agency to display the expiration date.
18. Explain each exception to the certification statement in ROCIS.

OSHA is not seeking an exception to the certification statement in ROCIS.
B. COLLECTION OF INFORMATION EMPLOYING STATISITICAL METHODS
This Supporting Statement does not contain any collection of information requirements that
employ statistical methods.

9

Table 1
Summary of Burden Hours and Costs
Information Collection Requirements

A) Posting Requirements
i) Factory Built Hoist and Elevator
ii) Site Built Hoists
B) Test and Inspection Certification Records
C) Disclosure of Tests and Inspection
Certification Records
Totals

Current
Burden
Hours

Requested
Burden
Hours

Adjustments

Cost
(Item 12)

Responses

7

5

-2

$150

9

1,062
29,202

735
20,209

-327
-8,993

$22,050
$606,270

9,186
80,837

11

8

-3

$340

257

30,282

20,957

- 9,325

$628,810

90,289