SSA_Material Hoists 1218-0231_02-19-2021_ROCIS

MATERIAL HOISTS, PERSONNEL HOISTS, AND ELEVATORS (29 CFR 1926.552)

OMB Control Number 1218-0231

Expiration Date: April 30, 2021

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 2021)

This ICR is requesting the extension of a currently approved data collection.

1. 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 OSH 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 OSH Act specifies that “[e]ach employer shall make, keep and preserve, and make available to the Secretary or the Secretary of Health and Human Services, such records as the [Secretaries] 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 and Secretary of Health and Human Services shall each prescribe such rules and regulations as [they] may deem necessary to carry out [their] responsibilities under this Act, including rules 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 the hoists and elevators.

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, Inspecting, Testing and Records Certification Requirements

Section 1926.552 requirements are largely usual and customary practices being followed by the industry at the time of the Agency’s creation. Section 1926.552 is comprised of four subsections: Subsection (a) is generally applicable requirements. It consolidates posting, inspection and testing requirements for each of the other subsections (b), (c), and (d). The requirements echo those found in ANSI standards A10.4-1963, Safety Requirements for Workmen’s Hoists, ANSI A10.5-1969, Safety Requirements for Material Hoists, and A17.1, Elevators, Dumbwaiters, Escalators and Moving Walks, and A17.2, Practice for the Inspection of Elevators: Inspector’s Manual.

Although §1926.552 expressly requires hoist or elevator information postings and inspections and tests, much of the industry follows these as continuing customary practices from early ANSI standard days. The Agency recognizes them as usual and customary practices for the construction industry and accordingly takes a limited burden hour charge for the §1926.552 requirements.

Posting Requirements

Subsection 1926.552(a)(2) is a general requirement that applies to all material hoists, personnel hoists and elevators. It requires that “[r]ated load capacities, recommended operating speeds, and special hazard warnings or instructions shall be posted on cars and platforms.” Equipment type specific requirements supplement the general requirements.

Subsection 1926.552(b)(1)(i) specifies that “Operating rules shall be established and posted at the operator's station of the [material] hoist. Such rules shall include signal system and allowable line speed for various loads. Rules and notices shall be posted on the car frame or crosshead in a conspicuous location, including the statement "No Riders Allowed."

Subsection 1926.552(c)(10) requires that personnel hoist cars be provided with a capacity and data plate secured in a conspicuous place on the car or crosshead. This requirement more specifically identifies where to post capacity and data information for personnel hoists only.

Subsection 1926.552(d) relies on subsection (a) for requirements.

Operators, passengers as well as inspection, test and maintenance crews use the required postings to determine how to safely use the hoists or elevators. Posted information includes safe material and passenger capacities, as well as safe speeds, warnings or other instructions and signal information. The particular postings depend on each machine’s particular configuration. Proper and accurate postings facilitate correct machine use and help avoid catastrophic failures. Such failures would endanger workers in the immediate vicinity as well as ones using or on the machines themselves.

Inspections, Tests, and Records Certification Requirements

Section 1926.552(c)(15) requires that after assembly and erection, and before being put into service, all personnel hoist functions and safety devices be inspected and tested. Also the section requires that a competent person supervise the inspection and testing. A similar inspection and test is required following major alteration of an existing personnel hoist installation. This section also requires that all personnel hoists be inspected and tested at “not more than 3-month intervals.” Additionally §1926.552(c)(15) requires that a certification record of the most recent inspection and test must be kept on file. The record must include the inspection and test completion date, the hoist identification, and the signature of the person who performed the inspection and test.

Subsection 1926.552(c)(17)(iii) requires that personnel hoists used in bridge tower construction “[… ]be inspected and maintained on a weekly basis [and additionally inspected whenever] exposed to winds exceeding 35 miles per hour.

Subsection 1926.552(d) does not expressly require inspection and testing but relies on subsection 1926.552(a)(2) as discussed above and, mostly on local code inspection requirements.

In sum, the inspections, testing and certification requirements ensure that the hoists or elevators are regularly evaluated and found fit for use on construction sites. The certification ensures that hoists have been inspected, tested and found fit for safe operation. The certified record facilitates the inspection process as well as repair and maintenance activity and in turn improves safety against devastating collapses or failures.

Disclosure of Inspection and Test Certification Records

OSHA Compliance Safety and Health Officers (CSHO) will request inspection/test records during OSHA site inspections to ensure that appropriate care and oversight of hoist and elevator use has taken place and continues to take place. The Agency inspects sites for safety compliance to protect workers from being exposed to hoist or elevator hazards. The Agency has determined that information collected by the Agency during the investigation is not subject to the PRA under 5 CFR 1320.4(a)(2). Therefore, OSHA takes no burden or cost for disclosure of records.

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 information-collection 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). The requirements for much of this information are recognized by the industry as a customary and usual practice, which frequently may be required by state or local authorities. Therefore, OSHA is taking a charge of 10% across the board for cases that are not covered by state or local authorities, nor considered usual and customary.

5. If the collection of information impacts small businesses or other small entities, describe any methods used to minimize burden.

The information collection requirements specified by the Standard do 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.

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-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 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 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.

Pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3506(c)(2)(A)), OSHA published a notice in the Federal Register on November 12, 2020 (85 FR 71947, Docket No. OSHA-2010-0052) soliciting comments from the public and other interested parties on the information collection requirements contained in the Material Hoists, Personnel Hoists, and Elevators Standard (29 CFR 1926.552). The notice is part of a preclearance consultation program that provides interested parties with an opportunity to comment on OSHA’s request for an extension by the Office of Management and Budget (OMB) of a previous approval of the information collection requirements found in the above standard. The Agency did not receive any substantive comments regarding this proposed information collection request.

9. Explain any decision to provide any payment or gift to respondents, other than remuneration 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.

Estimated Burden Hours and Costs

Using the 2013 estimated number of hoists and elevators of 5,868, OSHA estimates that the number of hoists and elevators in operation in 2017 is 6,697. This is derived by using the Dodge Momentum Index for October, 2013 (https://www.construction.com/about-us/press/dodge-momentum-index-slips-in-october.asp) and October, 2017 (https://www.construction.com/news/dodge-momentum-index-strong-november-dec-2017). This publically-available index shows a 14.1 percent increase in initial reports of non-residential construction projects in the US between October 2013 and October 2017. This growth rate of .141 is applied to the 2013 count of hoists and elevators to yield a count of 6,697 estimated to be operating in 2017.

OSHA will use the data marker between October 2017 and December 2019 for this Information Collection Request for the number of hoists and elevators. According to the Dodge Momentum Index Press release, the growth rate during that time was .24. OSHA is applying this to the number of hoists and elevators, indicating an updated estimate of 8,304 hoists and elevators.

The Agency has no cost associated with enforcing this standard. OSHA would only review records in the context of an investigation of a particular employer to determine compliance with the Standard. The Agency takes no burden or cost during an OSHA investigation..

Wage Rate Costs

The Agency determined the wage rate from mean hourly wage earnings to represent the cost of an employee’s time. For the relevant standard occupational classification category, OSHA used the wage rates reported in the Bureau of Labor Statistics, U.S. Department of Labor, Occupational Employment Statistics (OES), May 2019 [date accessed: March 30, 2020].²

To account for fringe benefits, the Agency used the Bureau of Labor Statistics’ (BLS) March 2020 National Compensation Survey. Fringe markup is from the following BLS press release: Employer Costs for Employee Compensation news release text; September 17, 2020, https://www.bls.gov/news.release/archives/ecec_09172020.pdf , BLS reported that for civilian workers, fringe benefits accounted for 30.0 percent of total compensation and wages accounted for the remaining 70.0 percent. To calculate the loaded hourly wage for each occupation, the Agency divided the mean hourly wage by 1 minus the fringe benefits as shown in Table 1.

Table 1 -- WAGE HOUR ESTIMATES
Occupational Title	Standard Occupation Code	Mean Hourly Wage Rate (A)	Fringe Benefits (B)3	Loaded Hourly Wage Rate (C)=(A)/((1-(B))
Non-supervisory construction worker	47-2061	$20.06	.30	$28.66

(A) Posting Requirements--1926.552(a)(2), (b)(1)(i), (c)(10)

All 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.

Hoists and Elevators

Hoist and elevator manufacturers establish the rated load capacities, operating speeds, special hazards warning, allowable line speeds for various loads and other required information stated in these provisions. This information is permanently affixed to the hoist when delivered. However, the manufacturer is unlikely to be the installer, operator, or user of the equipment, which is erected and installed at the construction project.

As required by the standard, employers must also post the information at each landing and operator’s station. Additionally employers incur the burden for this information collection activity when, the information needs to be re-posted. OSHA estimates that on average it would take a non-supervisory construction worker 60 minutes (1.0 hour) to obtain and post the necessary information on landings and at operator stations. The Agency takes an across the board burden for 10% of hoists and elevators needing these postings each year under these circumstances or 830 – rounded hours (8,304 x 0.10 = 830 hours).

Some members of the industry suggest and OSHA staff agrees that hoists and elevators are not used on average below 6 floors or stories. Using a conservative overestimate the Agency calculates that on average the 8,304 hoists and elevators are operating in pairs on buildings that are 50 stories or floors high. Paired machines then require postings at two landings on the 6^th through 50 floors inclusive or 90 landings per building (45 postings per hoist x 8,304 machines = postings). Also each of the operator stations requires posting. The total annual burden is 373,680 postings (373,680 machine postings + 8,304 operator station postings = 381,984 total postings) or 46 postings per machine annually (373,680 ÷ 8,304 = 45).

Additionally the Agency estimates that 1% or 83 crossheads or hoist cars, and elevators need re-posting each year (.01 of 8,304 hoists and elevators = 83 machines (rounded)

Burden hours: (830 + 83) x 1 hour = 913 hours

Cost: 913 hours x $28.66 = $26,166.58

B) Inspections, Tests, and Records Certification Requirements

OSHA does not currently enforce the information collection requirements of the Standard.

Section 1926.552(c)(15) requires that after assembly and erection, and before being put into service all hoist functions and safety devices be inspected and tested. A similar inspection and test is required following major alteration of an existing personnel hoist installation. From discussions with industry members OSHA estimates that usually two machines are used on each project and there are a total of 8,304 machines. One is used for material and the other for personnel or they are both used for both at different times. As mentioned earlier from observation of the industry and discussion with industry members most employers consider hoist and elevator inspection, testing, certification and records’ maintenance usual and customary or required by local building codes.

The Agency takes a 10% across the board burden charge for the instances when the practice is not so universal. The Agency estimates that the 8,304 hoists and elevators undergo inspections, tests or certification at least 4 times a year and additionally that 10% 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 (15/60 hour) to conduct the test and inspection, and to generate and maintain the certification record of the most recent test and inspection.

Burden hours: 8,304 machines x 4 inspections x 15/60 hour = 8,304 hours

8,304 machines x 10% requiring 2^nd inspection = 830 (rounded) x 4 inspections annually x 15/60 hour = 830 hours

Costs: 8,304 hours x $28.66 = $237,992.64

830 hours x $28.66 = $23,787.80

(C) Disclosure of Test and Inspection Certification Records—1926.552(c)(15)

Usually, OSHA requests access to records during an inspection. The Agency has determined that information collected by the Agency during the investigation is not subject to the PRA under 5 CFR 1320.4(a)(2). Therefore, OSHA takes no burden or cost for the disclosure of records.

Table: 2 Estimated Annualized Respondent Burden Hours and Cost

Information Collection Requirement	Total No. of Respondents	No. of Responses per Respondents	Total No. of Responses Response	Times per response (in hrs.)	Total Burden Hours	Avg. Wage Rate	Total Burden Costs
A) Posting Requirements	0	0	0	0	0	$0	$0
Hoists and Elevators	913	1	913	1	913	$28.66	$26,166.58
B) Inspection Test, and Records Certification Requirements	8,304 (8,304 x .10)	4 4	33,216 3,322	15/60 15/60	8,304 830	$28.66 $28.66	$237,992.64 $23787.80
C) Disclosure of Tests and Inspection Certification Records	0	0	0	0	0	$0	$0
TOTAL			37,451		10,047		$287,947.02

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.

There is no cost to the Federal Government.

15. Explain the reasons for any program changes or adjustment reported in Items 13 or 14.

The Agency requests an adjustment increase of 1,943 burden hours (from 8,104 hours to 10,047 burden hours). This adjustment is because of economic growth and measured additional non-residential construction which has resulted in more hoists and elevators in use. See Table 3.

Table 3 – Adjustment of the Current and Requested Burden Hours

Information Collection Requirement	Current Burden Hours	Requested Burden Hours	Adjustment	Explanation of Adjustment
A) Posting Requirements	0	0	0	No change.
Hoists and Elevators	737	913	176	Economic growth.
B) Inspection Test, and Records Certification Requirements	7,367	9,134	1,767	Economic growth.
C) Disclosure of Tests and Inspection Certification Records	0	0	0	No change.
TOTAL	8,104	10,047	1,943

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.

OSHA lists current valid control numbers in §§1910.8, 1915.8, 1917.4, 1918.4, and 1926.5 and publishes the expiration date in the Federal register notice announcing OMB approval of the

Information collection requirement, (see 5 CFR 1320.3(f)(3)). OSHA believes that this is the moist appropriate and accurate mechanism to inform interested parties of these expiration dates.

18. Explain each exception to the certification statement.

OSHA is not seeking an exception to the certification statement.

2. COLLECTION OF INFORMATION EMPLOYING STATISTICAL METHODS.

This supporting statement does not contain any collection of information requirements that employ statistical methods.

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.

2 (OES data is available at https://www.bls.gov/oes/tables.htm. To access a wage rate, select the year, “Occupation Profiles,” and the Standard Occupational Classification (SOC) code.)

3 Source: Employer costs for Employee Compensation Supplementary Table 2. U.S. Department of Labor, Bureau of Labor Statistics, March 2020. https://www.bls.gov/news.release/ecec.nr0.htm https://www.bls.gov/news.release/ecec.nr0.htm .