J. J. Keller® Compliance Network

e-Manifest compliance check

Use this checklist to help you ensure that your business is set to comply with the rest of the Third Rule’s requirements that take effect in December.

Use e-Manifest resources for additional help

EPA has multiple resources to help regulated hazardous waste handlers comply with e-Manifest regulations, including the upcoming Third Rule’s requirements that take effect on December 1, 2025. Consider using the resources the agency provides on “The Hazardous Waste Electronic Manifest (e-Manifest) System” website, such as:

• Webinars,
• Demonstration videos,
• General and user-specific FAQs about the e-Manifest program, and
• The e-Manifest Helpdesk for industry users.

The compliance checklist and e-Manifest resources can help you ensure that your facility will be ready to comply with the rest of the Third Rule’s requirements by December.

Key to remember: The remaining e-Manifest Third Rule requirements take effect on December 1, 2025. Facilities should confirm that they’re prepared to comply.

Key requirements for end users

1. Leak detection and repair

• Automatic leak detection systems (ALDs) are mandatory for systems with 1,500 pounds or more of refrigerant.
• Leaks must be repaired within 30 days or a retirement/retrofit plan must be submitted
• Leak rate thresholds:
  • Industrial process refrigeration: 30%
  • Commercial refrigeration: 20%
  • Transport & comfort cooling: 10%

2. Refrigerant reclamation

• Repairs must use reclaimed refrigerants in supermarket systems, refrigerated transport, and commercial ice makers
• Reclaimed HFCs must contain no more than 15% virgin HFCs and be properly labeled

3. Recordkeeping and reporting

• Businesses must maintain detailed logs of:
  • Refrigerant purchases and usage
  • Leak events and repairs
  • Equipment servicing and disposal
• Records must be available for EPA audits at any time.

4. Disposal and recycling

• HFCs must be recovered from disposable cylinders before disposal
• Fire suppression systems must be recycled prior to disposal, and technician training is required

Sector-specific impacts

Grocery retailers

• Must retrofit or replace systems using restricted HFCs like R-404A or R-22
• Natural refrigerants (CO₂, ammonia) are encouraged but require new equipment and trained technicians
• Legacy systems may become costly to maintain due to refrigerant scarcity

Refrigerated transport

• Subject to leak repair thresholds and reclamation rules
• Must track refrigerant use across fleets and ensure timely repairs

Repair shops

• Must use reclaimed refrigerants for servicing regulated systems
• Required to follow EPA labeling and documentation standards

All end users: what you must do now

• Inventory your equipment: Identify all systems with refrigerants over 15 lbs and GWP greater than 53
• Install ALDs: For large systems, ensure real-time leak monitoring is in place
• Train staff: Ensure technicians understand new servicing, reporting, and disposal rules
• Upgrade Recordkeeping: Use digital tools to automate tracking and reporting

Looking ahead: state-level rules may be stricter

States like California, Washington, and New York are implementing stricter refrigerant rules that may exceed federal AIM Act standards. Businesses operating across state lines must monitor local regulations and prepare for additional reporting and inspections.

Key to remember: If your business uses refrigerants, the AIM Act likely applies to you. Start preparing now to avoid penalties and ensure compliance by 2026.

The requirement

Under 49 CFR 396.17, every CMV — including trucks, tractors, and trailers of any size — must undergo a comprehensive inspection at least once every 12 months. This is tied to the “commercial motor vehicle” definition in 49 CFR 390.5T, which includes vehicles or vehicle combinations over 10,000 pounds and operating in interstate commerce, even if a commercial driver’s license is not required.

The inspection must cover all components listed in Appendix A to Part 396, and proof of passing the inspection must be carried on or with the vehicle at all times.

Acceptable documentation

How does a driver prove the vehicle(s) passed the inspection? There are two ways:

1. Carry a copy of the full inspection report described in 396.21; or
2. Point to a sticker or decal on the vehicle, showing:
   1. The date of inspection (not the due date);
   2. The name and address where the full inspection report is located (so an inspector knows where to find it);
   3. A unique vehicle ID (VIN, plate number, fleet number, etc.), unless the vehicle is clearly marked with a unique ID (cross-referenced on the long inspection form); and
   4. A certification that the vehicle passed inspection under 396.17.

The sticker may be located anywhere, as long as the driver knows where it is and it’s not overly difficult for the inspector to find it.

Violations typically occur due to:

• Missing, obscured, or expired inspection documentation on the vehicle;
• Failure to inspect trailers, converter dollies, or other vehicles that form part of a CMV;
• Misunderstanding the required inspection interval (or simply forgetting to do the inspection on time); or
• Assuming that some other type of inspection qualifies.

During an audit, if the investigator finds that 10 percent or more of your fleet’s annual inspections were not done as required, it’s considered a “critical” violation that could harm your safety rating. In addition, a J. J. Keller analysis found that the average fine that motor carriers paid for this violation was $5,713 (over the period from 2021-2024).

Liability is another key concern. A crash involving a CMV that wasn’t inspected in the past year could call your safety practices into question and result in a sizable verdict in the plaintiff’s favor.

How to stay compliant

Motor carriers must take proactive steps to avoid these costly violations: • Ensure annual inspections are performed on time. Schedule inspections before the 365-day mark from the last inspection.

• Inspect all vehicles. From lightweight one-axle pieces of equipment to flatbeds, shuttle buses, dry vans, and Class 8 tractors, be sure to include all vehicles in the inspection program, not just power units.
• Use qualified inspectors. Inspectors must meet the qualifications outlined in 396.19 — even if they work for a third party — and you must be prepared to provide proof of those qualifications to an auditor. An individual may be qualified by having at least one year of experience, but you need to be sure it’s documented.
• Maintain proper documentation. Ensure drivers know where the sticker or report for each vehicle is located and that it’s legible and current. Also be sure to keep inspection reports for 14 months.
• Ensure your state inspection program is “equivalent.” If your vehicles are inspected annually under a state-mandated program, make sure the program is on the federal list of inspection programs that are considered “equivalent” to the inspection required under 396.17. If not, you’ll need to do another inspection before operating across state lines.
• Audit your fleet regularly. Conduct internal audits to verify inspection dates and documentation. Identify and correct gaps in your compliance program.
• Train drivers and maintenance staff. Educate drivers on the importance of carrying proof of inspection, and on the importance of checking for that proof during their pre-trip inspections. Train maintenance personnel on inspection standards and documentation requirements.

With violations climbing, motor carriers must treat 396.17 compliance as a top priority. The cost of noncompliance isn’t just financial — it can lead to out-of-service orders, fines, failed audits, liability, and reputational damage.

Key to remember: Stay ahead of the curve when it comes to annual inspections. Review your inspection protocols and ensure every vehicle in your fleet is documented, inspected, and compliant.

Top violations

One of the most common violations involves insufficient tie-downs. Drivers often misjudge the number or strength of tie-downs required for a particular load. Regulations require that cargo be secured to prevent movement in every direction — forward, backward, sideways, and vertically. Failure to meet these standards can result in citations and immediate out-of-service orders.

Another frequent issue is the use of damaged or worn securement equipment. Inspectors regularly flag:

• Frayed straps,
• Damaged chains, and
• Broken load binders.

These defects not only violate FMCSA regulations but also pose serious safety risks. A single failed strap on a flatbed hauling heavy machinery can lead to disastrous consequences.

Improper blocking and bracing is also a recurring problem, especially in enclosed trailers. Freight that is not adequately stabilized can shift during transit.

This can lead to:

• Trailer damage,
• Compromised vehicle control, or
• Injury during unloading.

Preventive measures

To avoid these violations, fleets must prioritize driver training and thorough inspection protocols. Pretrip inspections should include a detailed check of all securement devices to ensure they meet regulatory standards and are free of defects. Drivers should be trained not only on how to secure loads but also on  assessing risk based on cargo type, weight, and distribution.

Preventive measures go beyond routine checks. They require a proactive mindset and a system that catches issues before they become violations. Fleets should:

• Implement layered inspection processes, including post-load audits and mid-route securement checks, especially for long hauls or high-risk cargo.
• Standardize securement procedures across the fleet to ensure consistency.
• Invest in modern securement technology such as tension indicators, smart straps, and automated alerts to reduce human error.

These tools help drivers verify that loads remain secure throughout the journey, especially during long hauls or in adverse weather conditions.

Key to remember: By staying informed, maintaining equipment, and fostering a safety-first culture, carriers can reduce violations, protect their Compliance, Safety, Accountability (CSA) scores, and ensure every load arrives safely and securely.

Long-term actions

The DOT is working on other rule changes that have an uncertain future. This includes:

• Removal of the rules governing drivers’ employment applications.
• Updates to the “tank vehicle” definition to clarify the need for a tank endorsement.
• Rules requiring vehicles to be equipped with an electronic ID for enforcement purposes.
• A proposal to add new fees for companies that are self-insured.
• Changes to the rules for enforcement proceedings.

Key to remember: The DOT is planning numerous rule changes for late 2025 and beyond. Stay tuned for rulemaking actions from the FMCSA and other DOT agencies, and weigh in when public comments are sought.

Three key questions

Below are three questions and the answers to which can help avoid citations and out-of-service orders relating to vision requirements.

1. What must a driver do after vision surgery if they no longer require corrective lenses?

Answer: The driver must:

• Take a vision test at the motor vehicle department to have the corrective lenses restriction removed from their license, and
• Contact a certified medical examiner (CME) from the National Registry for an exam to remove the corrective lenses requirement from their medical certification.

The driver may also need to undergo an eye exam from an optometrist or ophthalmologist if requested by the CME.

2. If a medical certification says corrective lenses are required, but the license does not, or vice versa, is this a violation in a roadside inspection?

Answer: Yes. If the driver is not wearing corrective lenses, it is a medical qualification violation per Federal Motor Carrier Safety Administration Regulations (FMCSRs) §391.11(b)(4), and the driver must be placed out of service.

Alternatively, if the license says corrective lenses are required, and the driver is not wearing them, then the citation is written as a licensing violation (§391.11(b)(5) or §383.21(a)(2)), and the driver must also be placed out of service.

3. Is the discrepancy a violation if the driver wears corrective lenses as specified by their medical certification but not on their license?

Answer: No. The violation only exists if the license or the medical certification requires corrective lenses and the driver is not wearing them.

Some states do not use the same criteria for requiring corrective lenses as are specified in the FMCSRs vision standard in §391.41(b)(10), so there's a difference it's not a violation. In many states, it is possible to have a license without the corrective lens restriction and not be able to pass the federal vision standard.

Drivers are usually licensed for more than five years. Vision can change during periods far longer than the maximum two-year medical certification.

Keep in mind, a medical qualification violation cannot be challenged in the FMCSA's DataQs system because "the driver didn't need corrective lenses anymore." Post-surgery, the medical certification, and license must reflect that no corrective lenses are needed, or the driver will face consequences.

Key to remember: Educate drivers on the requirement to update their license and medical certification after corrective vision surgery to keep them compliant.

How equipment failure turns into a hazard:

Neglected maintenance can create serious risks, including:

• Mechanical failures – unmaintained machinery can suddenly seize, break apart, or eject parts.
• Electrical hazards – frayed cords, worn insulation, or faulty breakers can cause shocks or fires.
• Chemical releases – worn seals, cracked tanks, or failed valves can ultimately lead to hazardous spills.
• Ergonomic strain – poorly calibrated or damaged equipment can force employees into awkward or unsafe positions.

These risks aren’t just hypothetical; OSHA frequently cites employers after incidents where the root cause was poor or non-existent preventative maintenance.

Key elements of a safety driven PM program:

1. Risk based scheduling – prioritize maintenance on equipment with the greatest safety risks (ex. forklifts, overhead cranes, pressure vessels, and electrical systems). Maintain a critical equipment registry that highlights assets where failure could lead to injury or regulatory violations.
2. Standardized procedures – document step-by-step PM tasks with a strong emphasis on safety. For example, include lockout/tagout steps, PPE requirements, and confined space entry procedures. Train employees to follow SOPs consistently to reduce human error.
3. Qualified personnel – preventative maintenance is only as good as the people performing it. Ensure technicians are trained not only on the task, but on the safety hazards of the equipment.
4. Integrated safety checks – incorporate safety specific items in PM inspections such as checking emergency stops, guarding, grounding, or ventilation performance.
5. Document everything – use digital tracking to log inspections, repairs, and part replacement. This protects employers during audits and helps spot recurring issues.
6. Operator involvement and pre-use checks – empower front-line employees to perform daily pre-use inspections such as forklift inspections and machine guarding verification. Create simple reporting tools to flag issues before they escalate.
7. Corrective action and follow-up – establish a system for tracking identified hazards until resolution through work orders or corrective action logs. Communicate completion of corrective actions to affected employees.

A well-run preventative maintenance program is, at its heart, a safety program. While cost savings and productivity gains are valuable, the greatest benefit is protecting workers from harm’s way. By preventing equipment failures, ensuring safety systems function correctly, and reinforcing a culture of care, PM programs create a safer workplace where employees can perform their jobs with confidence. Simply put, machines can be replaced – people cannot. That’s why preventative maintenance isn’t just smart business, it’s a commitment to worker safety.

Keys to remember: A safety driven PM program isn’t just about keeping machines running. It’s about making sure every inspection, service, and repair is performed with worker safety in mind.

Step 1: Breathe

It starts with pausing and realizing that you can’t do it all, Dickens said.

“The first thing I want you to do is breathe!” she said. “You cannot handle all this alone.”

Step 2: Identify what you’re good at

HR professionals should focus on their strengths and the changes they are best able to address. For other issues, they should leverage the expertise of those in their network.

“Don’t give yourself whiplash” by looking at all the changes taking place every day, she said.

Instead, focus on two or three things that fall into your wheelhouse.

“Anything outside that box, find someone else who is an expert,” she said.

Step 3: Look for partners

Those experts might be inside or outside an organization. Within their own company, HR professionals can work with their company’s legal counsel, for example, to understand the impact of legislative and regulatory changes and steps that need to be taken.

“You can lead in saying what the strategy is and let people do the things that they are good at,” Dickens noted. “You don’t necessarily have to lead everything by doing the work and executing on the work.”

If a company does not have an outside counsel, she advises HR professionals to champion for one to be added to the budget. She also suggests that HR professionals get to know the people in their company who specialize in government affairs.

“Take them out to lunch, go walk, have some or coffee,” she said. “Start talking to them about what your concerns are so that gets on their radar.”

When hiring for HR roles, she suggests looking for individuals who have expertise in areas that are not current strengths for team members. “Every HR generalist has an area they are really, really good at,” she noted.

While these strategies can’t stem the tide of change, they can make it a little easier to manage. As Dickens said, “These are practical things that can help you make your way through this.”

Key to remember: HR professionals and others with HR duties shouldn’t work in isolation when dealing with change. They should pause, consider what they are best at, and tap into their network for support.

FMLA certification basics

Employers aren’t required to use certifications, but if they do, the U.S. Department of Labor (DOL) has five different certification forms to use for various FMLA leave situations.

The forms are as follows:

1. Certification of Health Care Provider for Employee's Serious Health Condition,
2. Certification of Health Care Provider for Family Member's Serious Health Condition,
3. Certification of Qualifying Exigency for Military Family Leave,
4. Certification for Serious Injury or Illness of a Current Servicemember for Military Family Leave, and
5. Certification for Serious Injury or Illness of a Veteran for Military Family Leave.

Let’s focus on the first two, as these are the most common ones HR administrators use.

Who can fill out an FMLA certification?

The FMLA regulations describe the person who has the authority to fill out a certification as a “health care provider.” The good news is, the regulations include a lengthy list of medical professionals who fit this role.

Under the FMLA, a health care provider includes:

• A doctor of medicine or osteopathy,
• A podiatrist,
• A dentist,
• A clinical psychologist,
• An optometrist,
• A chiropractor (limited to manual manipulation of the spine as demonstrated by X-ray),
• A nurse practitioner,
• A nurse midwife,
• A clinical social worker,
• A physician assistant,
• A Christian Science practitioner, and
• Any health care provider from whom the employer or the employer's group health plan's benefits manager will accept a medical certification to substantiate a claim for benefits.

To be qualified to fill out FMLA forms, medical professionals must be authorized to practice in the state and perform within the scope of their practice. This means that the provider must be authorized to diagnose and treat physical or mental health conditions.

What about doctors in a foreign country?

If an employee or an employee's family member is visiting another country, or a family member resides in another country, and a serious health condition develops, the employer must accept a medical certification from a health care provider who practices in that country. This includes second and third opinions.

If a medical certification from a foreign health care provider is not in English, the employee may be required to provide a written translation of the certification.

Key to remember: The FMLA regulations spell out which medical professionals can fill out certification forms.

Eligibility remains intact

Once an employee meets these three criteria for a particular reason, their eligibility lasts for the duration of the entire 12-month leave year period. Employers don’t need to reassess an employee’s eligibility during that timeframe for that leave reason.

If, however, that same employee needed leave for a different qualifying reason, then employers would reassess whether the employee met the eligibility criteria.

This can result in employees being eligible to take FMLA leave for one qualifying reason, but not another.

FMLA denials don’t remain intact

On the flip side, once employers deny an employee’s leave because the employee didn’t meet the eligibility criteria, employers must reassess that denial once the employee meets the eligibility criteria. The denial doesn’t remain intact for the duration of the 12-month leave year.

If, after not meeting the eligibility criteria, an employee does meet it, regardless of when that happens in the 12-month leave year period, the employee will be eligible to take FMLA leave for a qualifying reason. Employers would need to designate any leave taken after an employee meets the eligibility criteria as FMLA leave.

An employee might, for example, be on non-FMLA leave when they meet the 12-month eligibility criterion. In that situation, any leave taken after the employee meets the 12-months worked threshold would be FMLA leave. The same would be true for the 1,250-hours worked threshold.

Rolling backward challenges

For employers that use the rolling backward method to calculate the 12-month leave year period, an employee’s eligibility for leave for a particular reason would continue for 12 months from the date of the first FMLA absence for the condition.

When a new leave year begins

Regardless of which method employers use to calculate the 12-month leave year, they would recalculate an employee’s eligibility when the employee asked for leave for the first time in a new 12-month leave year.

Key to remember: If employers deny FMLA leave because employees didn’t meet the eligibility criteria, they have to reassess eligibility once employees meet the criteria; the denial doesn’t automatically remain intact. Eligibility, once met, however, doesn’t change for a particular leave reason.

Complimentary for the cause

The Machine Guarding under 29 CFR 1910 Subpart O and the Control of Hazardous Energy Sources (LOTO) standard at 29 CFR 1910.147 serve a very similar purpose of protecting workers. Fundamentally, they complement one another:

• Machine Guarding is a first line of defense, designed to prevent access to dangerous parts during normal operation (e.g., rollers, blades, gears, pinch points). Guards, barriers, and safety devices physically separate workers from moving parts and machine components.
• LOTO is a secondary control, used during servicing or maintenance (not normal operations) when guards may be removed or bypassed. It ensures that machines energy is isolated to prevent startup until work is complete.

Together, these standards form a layered safety approach with guards protecting workers during operations, and LOTO protecting them during maintenance. Since guards may be removed during servicing, the risk of injury is increased, which is where LOTO takes over to control energy and unexpected startup. Without proper LOTO, even a well-guarded machine can become deadly during maintenance or servicing tasks.

While both standards are intended to prevent injuries, they approach worker safety from different angles which can sometimes create confusion or conflict in implementation. The life of the young sanitation worker could have been saved if guards had been in place to prevent the fall into the grinder and proper LOTO had been performed to prevent unexpected start-up of the machine.

Combating the confusion

Both machine guarding and LOTO are essential safeguards designed to protect workers from machinery and energy source hazards, yet they operate under different OSHA standards with distinct expectations and applications. Additionally, confusion is created when dealing with routine vs. non-routine tasks. OSHA allows some minor servicing tasks to be performed without full LOTO if they are routine, repetitive, and integral to production, and if effective machine guarding is in place. As with the incident shared above, how would the employee have determined if cleaning the meat grinder was routine or non-routine — what qualifies as “routine?”

Routine operations are regular, recurring daily tasks with specific procedures. These may include inspections or daily adjustments to machines or equipment (e.g., frequent die changes or clearing regular jams. Non-routine operations are infrequent, unexpected, or new activities with unique risks. These often include emergency maintenance or process start-ups. Cleaning the meat grinder would likely be a routine activity; however, with the unique layout or size of the machinery, guarding alone was not sufficient.

Some maintenance does require removing guards, which exposes workers to hazards. If LOTO procedures aren’t strictly followed, there is a gap in protection. This can often result in the underuse LOTO while relying too heavily on guards when both should be used for full protection.

The confusion between machine guarding and LOTO requirements can be cleared up by:

• Clearly defining tasks that require machine guarding versus those covered by LOTO, and when both may be needed;
• Performing risk assessments to evaluate whether guarding alone is sufficient for specific machines or tasks;
• Documenting and communicating any exceptions to LOTO, including justification and alternative protective measures;
• Auditing programs and procedures regularly to identify and remediate gaps; and
• Training all supervisors and workers of the requirements in both standards.

Blurred by technology

Modern machines often include advanced guarding systems like light curtains or presence-sensing devices. While these tech marvels enhance safety, they can blur the lines between guarding and energy control. From an OSHA lens, these systems do not replace LOTO during servicing, which can add to the confusion for many trying to interpret compliance requirements. It’s imperative to understand that technology often helps protect workers from getting injured by machines, but they aren’t intended to necessarily control energy sources.

Clarity through training

Once employers have sifted through the collision confusion, workers must also be brought up to speed. Often, they have been trained in one standard but not the other, leading to inconsistent application. For example, operators may understand guarding but not LOTO procedures, especially in situations where operations and maintenance are handled by separate personnel.

Keys to remember: LOTO and machine guarding are not just essential, they are complimentary. When used together and correctly, they provide multi-layered approach to protection against serious injuries and fatalities.

Aerial lifts

OSHA regulates aerial lifts at 29 CFR 1910.67 for general industry facilities and at 1926.453 for construction. Aerial lifts operate differently (the basket moves diagonally rather than just vertically like a scissor lift), so OSHA feels there’s a greater chance of a worker falling out. Hence, the requirement for the use of personal fall protection when in the basket.

General industry’s regulation (1910.67(c)(1)(v) is very clear and states, “A personal fall arrest or travel restraint system that meets the requirements in subpart I of this part shall be worn and attached to the boom or basket when working from an aerial lift.”

Construction’s regulation (1926.453(b)(1)(v) isn’t as clear, stating, “A body belt shall be worn, and a lanyard attached to the boom or basket when working from an aerial lift.” But there’s a note to read: “As of January 1, 1998, subpart M of this part … provides that body belts are not acceptable as part of a personal fall arrest system. The use of a body belt in a tethering system or a restraint system is acceptable.”

As a best practice, most companies provide only a fall protection harness to employees and not a body belt. This takes away the chance a worker could wear the body belt when they shouldn’t.

Scissor lifts

Scissor lifts are considered mobile scaffolds and are only regulated in the construction standard at 1926.452(w). However, the requirement for fall protection in a scissor lift is addressed at 1926.451(g)(1)(vii) and it calls for either standard guardrails or the use of a personal fall arrest system (PFAS).

Considering every scissor lift I’ve seen came equipped with standard manufacturer’s guardrails, OSHA doesn’t require a PFAS (harness, lanyard, and tie off) to be used. However, many employers still require workers to wear one and tie off. That way, there’s no chance they’ll forget to put one on when using an aerial lift. Employees will know anytime they use a scissor or aerial lift, they need to wear their fall protection harness and tie off to an approved anchor point.

Action items

Look at your company’s policy for the use of PFAS systems when operating an aerial or scissor lift. Do you require a harness, lanyard, and tie off routine to be used in both lifts? If not, maybe you should. It’ll be less confusing to employees, since they know to don their harness and tie off anytime they use a lift.

Keys to remember

Falls from aerial and scissor lifts are a concern. That’s why many employers require workers using these lifts to where a fall protection harness and use a lanyard to tie off to an approved anchor point.

#1 Start here

First, OSHA requires that all operators must be trained prior to being allowed to operate forklifts. And the same thing goes for pallet trucks, order pickers, and stand-up units…. Any powered type of material handling equipment requires training.

But what does training entail? Well, the OSHA regulations are very specific. All operators must receive a combination of training. Training must consist of formal training, which is a lecture, discussion, interactive computer learning, video tape, written material, and so on.

They must also receive practical training, which means demonstrations performed by the trainer and practical exercises performed by the trainee.

And the third component is that operators must receive a performance evaluation. So, they must operate the equipment and be observed and evaluated before being considered trained per the OSHA standard.

Usually, you’ll introduce the concepts during the classroom portion of training, the more informational aspects, such as the OSHA requirements. Then you’ll use the practical part of training to familiarize trainees with controls, talk about load handling, and so on. With the practical part, it’s usually best to ramp up the training, meaning start with simple skills and then build on those.

#2 Train on these topics

Aside from requirements for how to do the training, OSHA gives us a detailed list of topics to cover during the training.

The main categories are truck-related and workplace-related topics. And remember that OSHA does require you to include information on OSHA’s forklift standard as part of the training program. This requirement can be easy to overlook, but a good way to approach it is in the classroom portion of the program.

Keep in mind that if a topic doesn’t apply to your trucks or workplace, you don’t have to train on it. For example, if you don’t have any ramps or hazardous (classified) locations in your facility, your forklift operators don’t need training on these topics.

Truck-related topics include the following:

• Operation instruction, warnings
• Differences between forklift and automobile
• Controls, instrumentation
• Engine, motor operation
• Steering
• Visibility, restrictions
• Fork, attachment operation
• Capacity
• Stability
• Inspection, maintenance
• Refueling, recharging
• Operating limitations
• Operator’s manual instructions, precautions

Workplace-related topics are examples like these:

• Surfaces
• Load composition
• Load handling
• Pedestrians
• Narrow, restricted areas
• Hazardous (classified) locations
• Ramps
• Poor ventilation
• Other hazards

#3 Determine success

The trainees must successfully complete the formal and practical instruction, but how you determine success is up to you. For the classroom portion, you could give a written or oral test or otherwise evaluate the trainees’ knowledge. For the practical training, the trainee must be able to safely perform all the operations used on the job.

#4 End here

An evaluation of the operator’s performance in the workplace must be conducted at the time of initial training. And an evaluation is required to determine the effectiveness of any refresher training.

Also, you must conduct an evaluation at least every three years. This means that at least once every three years every operator must be observed while they operate in the workplace under actual workplace conditions. During the evaluation, the operator must also be able to answer pertinent questions to demonstrate they have the knowledge to operate the forklift safely.

A key point to note here, this evaluation must be more than just a written or verbal test. The employer must observe the operator in action performing all typical tasks related to running the forklift. And, going back to where we started, the evaluation must be conducted by someone who has the knowledge, training, and experience to evaluate the truck operator’s competence.

Document the evaluation — this means placing a record in your training file that includes the name of the operator, the date of the training, the date of the evaluation, and the identity of the person(s) performing the training or evaluation.

Action item

This may be a good time for you to review your options for training forklift operators to ensure they’re meeting these guidelines. And, it’s always a great idea to have all your training procedures in written format for consistency.

Key to remember

Training forklift operators is an OSHA requirement. Follow this step-by-step guide and you can do it in-house.

Choosing the correct year

The NAICS codes get updated every five years, with 2022 as the most current. Adding confusion, different OSHA regulations use different versions of the codes. For example:

• Employers trying to determine if they’re exempt from keeping a 300 Log under 1904.2 must use the 2002 codes.
• Employers trying to determine if they must submit injury data to OSHA by March 2nd must use the 2017 codes (OSHA updated from the 2012 codes as of January 1, 2024).

Searching codes online may default to the 2022 version, and some codes changed. For example, the 1904.41 appendix lists 4529 for “Other general merchandise stores” which covers retail outlets like dollar stores and variety stores. However, searching that code in the 2022 list shows “no result” since that number changed. The 2022 NAICS code for general merchandise stores is 4552, but that code does not appear in OSHA’s appendix. Employers using the 2022 NAICS codes may incorrectly believe their establishment is not on OSHA’s list.

Employers can search older versions of the NAICS codes at https://www.census.gov/naics/ which also indicates whether a particular code has changed in more recent versions.

Choosing the correct code

In addition to using the NAICS list for the correct year, employers must choose the correct code for each establishment. If a location engages in more than one type of business activity, employers must choose only one NAICS code for OSHA recordkeeping. OSHA says to choose the code for the activity that generates the most revenue or has the most employees.

In some cases, employers can divide a single physical location into more than one “establishment” as defined in 1904.46. To split a single location into multiple establishments, all of the following must apply:

• Each establishment represents a distinctly separate business;
• Each business engages in a different economic activity;
• No single NAICS code applies to the joint activities at the establishments; and
• Separate reports are routinely prepared for each establishment on the number of employees, their wages and salaries, sales or receipts, and other business information.

For example, OSHA noted that if an employer operates a construction company at the same physical location as a lumber yard, the employer may consider each business as a separate establishment.

For employers with multiple establishments, the NAICS code for each location should reflect the primary business activity at each establishment. For example, a manufacturing company might have a separate administration office. Using a manufacturing code for the office might not be appropriate, even though it supports the other manufacturing locations. However, NAICS codes starting 5511 for “Management of Companies and Enterprises” might apply.

For example, code 551114 gives examples as follows:

• Centralized administrative offices
• Head offices
• Corporate offices
• District and regional offices
• Subsidiary management offices

That might better describe a corporate administrative office, if the location does not have any warehousing or manufacturing operations. In fact, codes starting 5511 appear on OSHA’s list of establishments under 1904.2 that are exempt from keeping a 300 Log, so applying the correct code could mean that office doesn’t need a 300 Log at all.

Counting employees

Finally, counting employees gets confusing because some OSHA regulations require counting all employees in the company (combining all locations) and others require counting only the employees at each establishment.

• Section 1904.1 allows an exemption from keeping a 300 Log if the entire company has 10 or fewer employees, combining all establishments.
• Section 1904.2 allows an exemption from keeping a 300 Log based on the NAICS code for each location, regardless of the number of employees at the location.
• Section 1904.41 requires establishments in listed NAICS codes to submit injury data to OSHA annually, but only if the establishment (not the entire company) falls within an employee count range. Establishments with fewer than 20 employees need not submit even if the NAICS code appears in OSHA’s list.

Key to remember: NAICS codes update every five years, and employers must use the correct list, which may differ in various regulations.

Safety procedures

For outdoor areas where trailers are backed into loading docks, some general rules for truck traffic include the following:

• Implement a rule for truck traffic to flow in a counter-clockwise direction around the facility. Turning left is usually easier than turning right (due to better visibility).
• Trucks should have a staging area where they can wait before backing up to a dock.
• Maintain sufficient loading area for each dock. This can range from 60-70 feet in front of the dock and from 2-3 feet on either side of the truck.

Forklift operators should be especially careful when unloading trailers by using the following precautions:

• Chock the trailer wheels to prevent the trailer from walking or creeping, or engage the dock lock if available.
• Verify that dockboards are in good repair and properly positioned.
• Check the trailer condition before driving the forklift into it. Floors can deteriorate and fail.
• Don’t allow pedestrians in trailers with a forklift. The likelihood of being crushed is greater in tight spaces.
• If unloading small delivery trucks, use hand pallet jacks instead of forklifts. These types of vehicles are not usually designed to support forklifts.

Whether operating a forklift, breaking down or stacking pallet loads, receiving and checking in freight, driving the delivery truck, or just walking through the loading dock area, employees must remember to keep alert for all of these hazards.