DATE OF PRESENTATION

1. CRANE OPERATIONS IN CONSTRUCTION: REGULATIONS, STANDARDS, AND LIABILITY Presented by: David A. Johnson SmithAmundsen LLC 1 DATE OF PRESENTATION

2. David Johnson David is a partner in SmithAmundsen’s Chicago office. For over twenty years, he has focused his practice on construction law issues, representing commercial and residential owners, developers, architects, construction managers, general contractors, and specialty subcontractors. David has extensive experience in defending property damage, personal injury, and construction defect claims in mediation, arbitration and litigation. He has prosecuted and defended mechanics lien claims. David focuses a segment of his practice on crane accidents involving personal injury, property damage, and product liability. He has extensive training in crane and rigging safety and inspection and is a CIC Certified Rigging/Signalperson. He has presented webinars and seminars on OSHA’s new crane regulations and the ASME B.30.5-2007 mobile crane standards with respect to compliance and responsibilities. David is admitted to practice in the State of Illinois, and the United States District Courts for the Northern District of Illinois, the Eastern District of Wisconsin, and the Eastern District of New York. He is a member of the Federal Trial Bar. 2 2

3. Facts Crane accidents: -are relatively more serious than other construction equipment accidents. -are the most costly in terms of insurance claims and lawsuits. -result in more construction fatalities than any other single cause.

4. Construction Fatalities One out of every five construction deaths is crane-related! 20% !!

5. Causes of Mobile Crane Fatalities Rigging15% Load Handling 14% Electrocution44% OperatorError 7% Overload 7% Dismantling Boom 5% Wire Rope Failure 3% Miscellaneous 3% Struck by Crane 3%

6. Main Causes ofMobile Crane Accidents High Wind1.6% Support Failure31.5% Machinery &Structural Failure11.2% Failure to UseOutriggers22.6% Operator Error33.1%

7. Codes and Standards

8. What is a code? A code is a standard that has been adopted by one or more governmental bodies and has the force of law. OSHA is a standard adopted by the United States Department of Labor. OSHA 1926.1400 is a standard that pertains to cranes in construction and became effective November 8, 2010.

9. What is a standard? Standards are written by experts in the field and represent the most current thinking or custom and practice in an industry. Standards are voluntary and do not have the force of law unless adopted by a governmental body. ASME B30.5-2007 is a standard that pertains to mobile cranes, and was promulgated by the American Society of Mechanical Engineers.

10. RESPONSIBILITIES UNDER OSHA 1926.1400 AND ASME B30.5-2007

11. Looking Back… In 1970 the Occupational Safety and Health Act (OSHA) was promulgated by the federal government requiring employers to provide a safe workplace. In construction it is titled CFR 1926 Construction Industry Standards. At that time, the government found it effective and timely to incorporate into the regulations certain industry developed consensus standards.

12. Looking Back… One of the many standards adopted by reference in CFR 1926 was the ASME B30.5 1968 standard for Crawler, Locomotive, and Truck Cranes. By incorporating ASME B30.5-1968 into CFR 1926, it became law and could be enforced and cited by compliance officials.

13. Looking Back… The first B30 committee was organized on November 4, 1924. Due to changing technology, and the interests of labor and industry in safety, the B30.5 sub-committee was formed in January of 1962. On May 14, 1968, the first B30.5 standard was published.

14. Looking Back… • B30.5-1968, Chapter 5-3 Operation, Section 5-3.1.3(d) provided: “The operator shall be responsible for those operations under his direct control. Whenever there is any doubt as to safety, the operator shall have the authority to stop and refuse to handle loads until safety has been assured.”

15. Looking Back… • In 1989, Section 5-3.1.3(d) of B30.5 was changed to read: “Each operator shall be held responsible for those operations under the operator’s direct control. When there is any doubt as to safety, the operator shall consult with the supervisor before handling the loads.”

16. Looking Back… Beginning in the early 80s, experts in the crane industry, began assigning responsibilities for crane operations on construction sites. The impetus for this was an increase in the number of crane accidents, the perceived need for better trained operators, and changes in technology.

17. Donald E. Dickie: Mobile Crane Manual In 1982, Donald E. Dickie wrote the Mobile Crane Manual. Dickie worked for the influential Construction Safety Association of Ontario that was instrumental in the development of training programs for of crane operators. Crane experts retained in litigation still rely on Dickie for his opinions on responsibilities. Reprinted from Mobile Crane Manual by permission of Infrastructure Health and Safety Association, Ontario, Canada.

18. Dickie: Responsibilities in General Because of the complexity of most crane operations and because they can differ so much from one job to the next, no single set of guidelines can ever cover all the parameters involved but the following listing can be applied to most situations. The really important thing to remember is that it is crucial that all responsibilities be spelled out to everyone involved in the operation before it begins.

19. Dickie: Controlling and Directing Entities Partial List of Responsibilities of Controlling or Directing Entities for Pre-Lift Site Preparations: The company controlling or directing the crane operation must, through their project engineer, superintendent or foreman, provide a well prepared working area for the crane. They must ensure that:

20. Dickie: Controlling and Directing Entities -Operating locations are far enough away from shoring, excavations, trenches, buried utilities, foundations, etc. to eliminate risk of collapse. -Whenever possible, operating locations are graded, level and compacted. -Operating locations are chosen so that the minimum clearances from power lines are maintained. If not, the power lines must be either shut down or relocated by the utility so that contact cannot be made. -Competent signalmen are available on site to assist in each lift. -Rigging crews are competent and know the weight of all lifts to be made.

21. Dickie: Crane Owner’s Responsibilities Partial List of Crane Owner’s Responsibilities: The crane owner (including all management and supervisory personnel employed by the owner) is responsible for the identification and assignment of specific responsibilities to the operating crews including:

22. Dickie: Crane Owner’s Responsibilities Ensuring that the operator is competent. Ensuring that all personnel involved in maintaining, repairing, transporting, preparing, assembling and operating the equipment are competent. Ensuring that a thorough crane maintenance and inspection program is established and maintained.

23. Dickie: Crane Operator’s Responsibilities Partial List of Crane Operator’s Responsibilities: The operator is generally responsible for the safety of the crane operation as soon as the load is lifted clear of the ground. Because of this responsibility, whenever there is a reasonable cause to believe that the lift might be dangerous or unsafe, the operator must refuse to lift until the concern has been reported to the supervisor, any hazards rectified, and safe conditions assured.

24. Dickie: Crane Operator’s Responsibilities The crane operator is also generally responsible for: Being familiar with the information contained in the crane's operating manual. Being familiar with the crane's load chart. Being aware of any site conditions that could affect the crane operation, e.g., power lines. Knowing basic load rigging procedures. Maintaining communication with signalpersons.

25. Dickie: Site Supervision’s Responsibilities Partial List of Site Supervision’s Responsibilities: The site supervision (foreman, rigger foreman or lead hand of the trade group involved) has overall responsibility for the lift, and therefore must plan all phases of the operation. This includes all factors of site preparation.

26. Dickie: Site Supervision’s Responsibilities: Ensuring that the load is properly rigged. Ensuring that the signalpersons are competent and capable of directing the crane and load. Designating signalpersons and identifying them to the operator. Ensuring that all required safety precautions are taken when the lift is in the vicinity of power lines.

27. Dickie: Site Supervision’s Responsibilities Site supervision is also generally responsible for: Overall responsibility for the lift and all phases of the operation. Supervising all work involving the crane. Supervising the rigging crew. Ensuring that the rigging crew is experienced and competent.

28. Howard I. Shapiro: Cranes and Derricks In 1991, Howard I. Shapiro wrote Cranes and Derricks. Reprinted from Cranes and Derricks, by permission of Lawrence K. Shapiro. All rights reserved.

29. Shapiro: Responsibilities in General There may be a number of independent parties taking part in one lifting operation. Parties will vary depending on the nature and complexity of the operations. No single set of guidelines can cover all situations.

30. Shapiro: Responsibilities in General The parties that may be involved in lifting operations are: Project Management—the party controlling the overall operations which may include activities other than lifting work; the project owner is included. Lift Director—the person directing the lifts and the personnel involved in the lifts.

31. Shapiro: Responsibilities in General Crane Owner/Supplier—the party furnishing the crane, who may not have involvement in the use of the equipment at the site. Site Supervision—the party supervising the people at the site which may include people not involved with the lifting work; this party may also be the lift director. Crane Operator—the person at the controls of the crane.

32. Shapiro: Project Management”s Responsibilities Partial List of Project Management’s Responsibilities: Arrange for site conditions necessary for proper lifting operations, in conjunction with Site Supervision. Cooperate with Site Supervision in measures concerning electrical hazards when there are power lines present on the site. Advise Site Supervision of the presence of underground utilities and sub-surface construction.

33. Shapiro: Crane Owner’s/Supplier’s Responsibilities Partial List of Crane Owner’s/Supplier’s Responsibilities: Furnish a crane or derrick in proper condition and properly maintained. Furnish a crane to satisfy the capacity requirements given by Site Supervision. Have maintenance and repair records available in needed.

34. Shapiro: Crane Owner’s/Supplier’s Responsibilities Furnish a crane complete with applicable load charts, operator's manual, etc. Furnish competent personnel to assist in assembly and disassembly.

35. Shapiro: Site Supervision’s Responsibilities: Partial List of Site Supervision’s Responsibilities: Visit the site to obtain first hand knowledge of conditions; particularly note power lines, obstructions, and limitations on access and operating areas. Brief the Lift Director on selection of the lifting equipment, and potential hazards and their remedies, particularly for operations in the vicinity of power lines and the lifting of personnel.

36. Shapiro: Site Supervision’s Responsibilities Check with Project Management for the existence of underground utilities and sub-surface construction. Monitor the Lift Director concerning training and competence of personnel and for adherence to safety laws, rules, and standards.

37. Shapiro: Site Supervision’s Responsibilities Verify that the crane operating area is suitable with respect to levelness, surface condition (compaction), proximity to slopes, power lines, underground utilities, sub-surface construction, and obstructions to crane operation. For operations in the vicinity of power lines, verify that all concerned parties are instructed in OSHA and ASME/ANSI B30.5 requirements for operational safety.

38. Shapiro: Lift Director’s Responsibilities Partial List of Lift Director’s Responsibilities: Locate and identify site hazards such as electric power lines and piping (above and below ground) together with Site Supervision. Review operations with the crane operator and lift crew; discuss limitations of the equipment, potential hazards and measures that are to be taken to minimize risk. Verify that the riggers are experienced in slinging loads and in selecting suitable slings and fittings, when appropriate. When operations will be in the vicinity of power lines, see to it that all concerned parties are instructed in OSHA and ASME/ ANSI B30.5 requirements for operational safety.

39. Shapiro: Lift Director’s Responsibilities Establish proper communications between the operator, crew and signal person, such as the use of hand signals, radios, etc. If needed, assign competent signal person(s), experienced in crane operations and in hand signals, and verifying that they are positioned where most effective. Check that proper slings, fittings, and lift accessories are at hand and that they are in acceptable condition. Supervise the installation of the rigging on the load and hook. Verify that the crane is level and blocked, if appropriate, and positioned in the proper location.

40. Shapiro: Crane Operator’s Responsibilities Partial List of Crane Operator’s Responsibilities: Understand the crane’s operating manual. Know how to use crane’s load chart, and verify that the crane has sufficient net capacity for the lift. Be aware of any site condition that could affect the crane operation, e.g., the presence of power lines.

41. Shapiro: Crane Operator’s Responsibilities Inspect the crane or derrick and perform routine maintenance regularly. Review the planned operation and requirements with the Lift Director. Check the load chart to verify that the crane has sufficient net capacity for the lift. Understand basic load rigging procedures.

42. ASCE: CRANE SAFETY ON CONSTRUCTION SITES In 1998, the American Society of Civil Engineers wrote Report No. 93 on Crane Safety on Construction Sites. The impetus for the report resulted from the collapse of a tower crane in San Francisco on November 28, 1989. Five people were killed and twenty-two insured in that accident. Reprinted from Crane Safety on Construction Sites by permission of ASCE. All rights reserved.

43. ZONES OF RESPONSIBILITY

44. The Present-ASME B30.5-2007 In May of 2007 ASME published the first B30 volume that defined responsibilities and delineated the roles of parties engaged in the crane industry. It was a culmination of work with a tedious process that that took about 10 years to complete. ASME B30.5 was revised in 2007, issued on March 7,2008, and became effective March 7, 2009. Reprinted from ASME B30.5-2007, by permission of The American Society of Mechanical Engineers. All rights reserved.

45. Chapter 5.3-Responsibilities in General 5-3.1.3 Responsibilities: While the organizational structure of various projects may differ, the following roles are described here for purposes of delineating responsibilities. All responsibilities listed below shall be assigned in the work site organization. (A single individual may perform one or more of these roles)

46. Chapter 5-3-Responsibilities in General CRANE OWNER: Has custodial control of a crane by virtue of lease or ownership. CRANE USER: Arranges the crane’s presence on a worksite and controls its use there. SITE SUPERVISOR: Exercises supervisory control over the work site on which a crane is being used and over the work which is being performed on that site. LIFT DIRECTOR: Directly oversees the work being performed by a crane and the associated rigging crew. CRANE OPERATOR: Directly controls the crane’s functions.

47. Chapter 5.3-Crane Owner’s Responsibilities Partial List ofCrane Owner’s Responsibilities: Providing a crane and all necessary components, specified by the manufacturer, that meets the Crane User's requested configuration and capacity. Providing all applicable load/capacity chart(s) and diagrams. Providing additional technical information pertaining to the crane, necessary for crane operation, when requested by the Crane User.

48. Chapter 5.3-Crane Owner’s Responsibilities Providing field assembly, disassembly, operation, maintenance information, warning decals and placards installed as prescribed by the crane manufacturer. Establishing an inspection, testing, and maintenance program. Using personnel that meet the requirements for a designated person for the purposes of maintenance, repair, transport, assembly and disassembly. Using personnel that meet the requirements for a qualified or designated person for inspections.

49. Chapter 5.3-Crane User’s Responsibilities Partial List of Crane User's Responsibilities: Using supervisors for crane activities that meet the requirements for a qualified person. Ensuring that the crane is in proper operating condition prior to initial use at the worksite. Verify that the crane has the necessary lifting capacity.

50. Chapter 5.3-Crane User’s Responsibilities Using crane operators that are qualified to perform the tasks that will be required with the crane which they are assigned to operate. Using personnel that meet the requirements for a qualified or designated person. Using personnel that meet the requirements for a designated person for the purposes of maintenance, repair, transport, assembly and disassembly.