INITIAL STATEMENT OF REASONS

CALIFORNIA CODE OF REGULATIONS
TITLE 8: ELEVATOR SAFETY ORDERS
Chapter 4, Subchapter 6, Article 9, Sections 3065, 3067 and 3106.1
TITLE 24: CALIFORNIA ELEVATOR SAFETY CONSTRUCTION CODE
Part 7, Sections 7-3065, 7-3067 and 7-3106.1

Plunger Engaging Safety Devices and Monitoring Oil Levels


PROBLEM ADDRESSED BY PROPOSED ACTION

This proposed rulemaking action is the result of Petition File Nos. 371, 374, and 375, for which the Occupational Safety and Health Standards Board (Board) instructed the Division of Occupational Safety and Health (Division) to convene an advisory committee to consider the development of regulations concerning: use of the plunger engaging safety device (PESD) (Petition File Nos. 371 and 374); and, monitoring oil levels in hydraulic elevators (Petition File No. 375). This proposal contains standards to regulate use of the PESD, which was recently developed by the elevator industry and is used in some hydraulic elevators in the State. This proposal also contains regulations to require monitoring of hydraulic oil levels in hydraulic elevators to detect oil loss that may result in an uncontrolled elevator descent due to sudden loss of oil pressure.

This proposed rulemaking action is the result of a general consensus opinion reached at advisory committee meetings held on March 17, 1998 and May 28, 1998 to review Petition File Nos. 371, 374, and 375 and proposed revisions to Sections 3065, 3067, and 3106.1 of the Elevator Safety Orders; and Title 24, Part 7, Sections 7-3065, 7-3067, and 7-3106.1. The committee agreed to permit, but not require, use of the PESD. The committee also agreed to propose regulations requiring hydraulic oil level monitoring in hydraulic elevators.

The Initial Statement of Reasons contains occupational safety and health regulations which are building standards for codification in Title 24, Part 7, California Elevator Safety Construction Code. The building standards, herein, will be identified by their Title 24 section number in italic type following the corresponding Title 8 statement of reasons.

SPECIFIC PURPOSE AND FACTUAL BASIS OF PROPOSED ACTION

Article 9. Hydraulic Elevators
Section 3065. Car and Counterweight Safeties.
New Section 3065(a)

Proposed new Section 3065(a) will specify that if a car safety is provided, it shall be of the type that engages the guide rails to produce a retarding force, and it shall conform to the requirements of Section 3035 and Section 3065(a)(1) .
Title 24, Part 7, Section 7-3065(a)

Proposed new Section 3065(a) is necessary to give hydraulic elevator owners the option to equip the elevator car with a car safety provided it conforms to Section 3035. Proposed new Section 3065(a) is also necessary to distinguish between a safety device that engages the guide rail and the PESD that engages the plunger in direct plunger hydraulic elevators.

Section 3065(a)(1)

Proposed new Section 3065(a)(1) is a redesignation of existing Sections 3065(a) and (b). All of the requirements in existing Sections 3065(a) and (b) are retained in proposed new Section 3065(a)(1). Existing Section 3065(a) specifies the safety shall be of the type which can be released only by moving the car in the up direction. Existing Section 3065(b) specifies the switches required by Section 3036(d) shall, when opened, remove power from the driving machine motor and control valves before or at the time of application of the safety.
Title 24, Part 7, Section 7-3065(a)1.

The redesignation of the Sections 3065(a) and 3065(b) is necessary to provide format consistency with the proposed new requirements applicable to the new plunger engaging safety device.

New Section 3065(b)

Proposed new Section 3065(b) will specify that if a plunger engaging safety device (PESD) is provided on direct plunger hydraulic elevators, the device shall be of the type that engages the plunger to produce a retarding force, and it shall be designed and approved for that purpose. Proposed Section 3065(b) will also reference Section 3106.1 for the required PESD approval data.
Title 24, Part 7, Section 7-3065(b)

Proposed new Section 3065(b) is necessary to give hydraulic elevator owners the option to equip the elevator car with a PESD provided it applies a retarding force and is designed and approved for that purpose. Proposed Section 3065(b) is also necessary to provide information on the acceptable minimum features and functions of the PESD.

 New Section 3065(b)(1)(A)

Proposed new Section 3065(b)(1)(A) will specify the PESD shall only release by establishing at least no load pressure on the hydraulic system.
Title 24, Part 7, Section 7-3065(b)1.A.

Proposed new Section 3065(b)(1)(A) is necessary to ensure the device does not release prematurely.

New Section 3065(b)(1)(B)

Proposed new Section 3065(b)(1)(B) will specify the PESD shall be responsive to a decrease in pressure.
Title 24, Part 7, Section 7-3065(b)1.B.

Proposed new Section 3065(b)(1)(B) is necessary to ensure the PESD actuates when there is a decrease in hydraulic pressure .

New Section 3065(b)(1)(C)

Proposed new Section 3065(b)(1)(C) will specify the PESD shall be field testable.
Title 24, Part 7, Section 7-3065(b)1.C.

Proposed new Section 3065(b)(1)(C) is necessary to provide a means of evaluating the performance of the PESD.

New Section 3065(b)(1)(D)

Proposed new Section 3065(b)(1)(D) will specify the PESD shall be tested during the acceptance test at no less than the operating speed in the down direction with a capacity load on the car to demonstrate that the PESD shall stop the elevator with its capacity load. The test shall be witnessed by the Division before a permit will be issued.
Title 24, Part 7, Section 7-3065(b)1.D.

Proposed new Section 3065(b)(1)(D) is necessary to ensure the PESD complies with certain performance standards, to be verified by the Division.

New Section 3065(b)(2)(A)

Proposed new Section 3065(b)(2)(A) will require the PESD to be tested annually for proper operation with no load.
Title 24, Part 7, Section 7-3065(B)2.A.

Proposed new Section 3065(b)(2)(A) is necessary to maintain operational continuity.

 New Section 3065(b)(2)(B)

Proposed new Section 3065(b)(2)(B) will require that the PESD, when actuated, operate a switch that shall cut off the power from the operating valves and pump motor. The switch shall reset only upon release of the PESD.
Title 24, Part 7, Section 7-3065(b)2.B.

Proposed new Section 3065(b)(2)(B) is necessary to ensure the power source is completely shut off when the PESD is actuated.

New Section 3065(b)(3)

Proposed new Section 3065(b)(3) will require that the PESD, when provided, shall have a metal plate or plates, permanently attached and readily visible, marked with legible and permanent letters and figures not less than inch high with the following;

  1. the name of the manufacturer and the identifying numbers of the device,
  2. the date the device was initially tested and the test witnessed,
  3. the diameter and wall thickness of the plunger for which the particular device is designed,
  4. the maximum weight, in pounds, for which the device is designed,
  5. the maximum speed for which the device is designed, and

(F) the shim adjustment range.

Title 24, Part 7, Section 7-3065(b)3.

Proposed new Section 3065(b)(3) is necessary to provide verifiable quality control of the device.

New Section 3065(b)(4)

Proposed new Section 3065(b)(4) will specify the PESD may be used on new elevators covered by regulations in Group III and existing elevators covered by regulations in Group II.
Title 24, Part 7, Section 7-3065(b)4.

Proposed new Section 3065(b)(4) is necessary to inform the owners of direct plunger hydraulic elevators that the option to use the device is extended to new and existing elevators.

New Section 3065(b)(5)

Proposed new Section 3065(b)(5) will specify the runby clearance on existing hydraulic elevators may be reduced to no less than one inch when a PESD is provided.
Title 24, Part 7, Section 7-3065(B)5.

Proposed new Section 3065(b)(5) is necessary because the existing Elevator Safety Orders require a runby clearance of more than one inch. Use of the PESD usually requires a reduction of the runby clearance.

New Section 3065(b)(6)

Proposed new Section 3065(b)(6) will specify the subsequent 5-year load tests per Section 3071(j) will not be required when the hydraulic elevator is equipped with a device the complies with the provisions of 3065(b).
Title 24, Part 7, Section 7-3065(b)6.

Proposed new Section 3065(b)(6) is necessary to avoid redundancy since the PESD provides equivalent safety to that afforded by the load test.

Article 9. Hydraulic Elevators
Section 3067. Hydraulic Driving Machines, Plungers, Cylinders, and System Oil Level.
New Section 3067(d)(1)

Proposed new Section 3067(d)(1) will specify the hydraulic system oil level shall be monitored by a qualified person, or an approved monitoring system, to ensure the system oil level is within the manufacturer’s recommended level.
Title 24, Part 7, Section 7-3067(d)1.

Proposed new Section 3067(d)(1) is necessary to prevent hydraulic failure due to deficient oil levels and to ensure the oil level is monitored by competent persons.

New Section 3067(d)(2)

Proposed new Section 3067(d)(2) will specify that when the oil is below the recommended level, and the quantity of oil loss is not accounted for, the elevator shall be taken out of service and the Division notified within 48 hours.
Title 24, Part 7, Section 7-3067(d)2.

Proposed new Section 3067(d)(2) is necessary as a precaution and to alert the Division of a potential problem.

New Section 3067(d)(2)(A)

Proposed new Section 3067(d)(2)(A) will specify that the elevator shall remain out of service until the cause of the unaccounted oil loss is determined and corrected.
Title 24, Part 7, Section 7-3067(d)2.A.

Proposed new Section 3067(d)(2)(A) is necessary to ensure the elevator is not used for passenger service until the oil loss problem is resolved and corrected.

 Article 18. Design Data, Formulas, Texts on Approved Devices, and Electrical Regulations
Section 3106.1 Plunger Engaging PESD for Direct Plunger Hydraulic Elevators.
New Section 3106.1(a) Plunger Engaging PESD Design and Operation.

New Section 3106.1(a) will specify that owners of direct plunger hydraulic elevators that use the plunger engaging safety device (PESD) on direct plunger hydraulic elevators shall comply with the following requirements:

(1) When the PESD is actuated, the forces applied to the plunger shall be compressive and distributed over the circumference of the plunger. This force shall not exceed 28% of the plunger yield stress.

(2) Supports for the PESD shall be capable of withstanding a kinetic force of 115% of the total load stopping with a deceleration of 1 g.

(3) The PESD shall:

(A) actuate when there is a loss of hydraulic pressure that could cause the elevator to go into an out of control descent,

(B) not release the plunger if there is downward motion of the plunger,

(C) be fully operational during a primary electrical system power failure, and

(D) have sufficient running clearance between the gripping surface and the plunger to not adversely affect the plunger or the gripping surface.

(4) The PESD bearings, when used, shall be corrosion resistant.

(5) Parts of the PESD and supports, except springs, shall have a safety factor no less than 3.5. The materials used shall have an elongation of not less than 15% in length of 2 inches. Forged, cast or welded parts shall be stress relieved. Roller chains, if provided, shall comply with ASME B29.1M-1993. Wire rope, if provided, shall comply with Section 3107.
Title 24, Part 7, Section 7-3106.1(a)

Proposed new Section 3106.1(a) is necessary to establish minimum standards for performance and function of the PESD without adversely affecting mechanical functions, plunger surface, or elevator frame supports.

New Section 3106.1(b)(1) Data Required for Approval.

Proposed new Section 3106.1(b)(1) will specify that two complete sets of detail drawings showing the assembly of the PESD shall be submitted to the Division. The drawings shall indicate not less than the following:

(A) The construction of the PESD and the dimensions of major parts.

(B) The shim adjustment range indicated on the marking plates required by Section 3065(b)(3).

(C) Indication of how the clamping surfaces are held in the released position.
Title 24, Part 7, Section 7-3106.1(b)1.

Proposed new Section 3106.1(b)(1) is necessary to familiarize the Division elevator inspection personnel, who will conduct required annual inspections, with the assembly, construction, dimension, adjustment range, and release position of the PESD.

New Section 3106.1(b)(2)

Proposed new Section 3106.1(b)(2) will specify that the results of the PESD performance tests conducted by the manufacturer, or approved testing laboratory, shall be submitted to the Division. The results shall indicate the PESD functioned satisfactorily within the range of loads and speeds for which the PESD is to be approved.
Title 24, Part 7, Section 7-3106.1(b)2.

Proposed new Section 3106.1(b)(2) is necessary to ensure that only tested and approved PESDs are installed in hydraulic elevators.

New Section 3106.1(c)

Proposed new Section 3106.1(c) will specify the following tests, required for Division approval, shall be submitted to the Division.

(1) Tests to indicate that surfaces subjected to friction by the PESD will not reduce the reasonable life expectancy of such surfaces.

(2) Tests to indicate the gripping mechanism of the PESD does not adversely affect the plunger.
Title 24, Part 7, Section 7-3106.1(c)

Proposed new Section 3106.1(c) is necessary to ensure that the effects of friction and the gripping of the PESD does not adversely affect the hydraulic elevator.

DOCUMENTS INCORPORATED BY REFERENCE

IDENTIFIED ALTERNATIVES THAT WOULD LESSEN ADVERSE
IMPACT ON SMALL BUSINESSES

No adverse impact on small businesses is anticipated from the implementation of the proposed amendments. Therefore, no alternatives which would lessen the impact on small businesses have been identified.

SPECIFIC TECHNOLOGY OR EQUIPMENT

This proposal will not mandate the use of specific technologies or equipment.

COST ESTIMATE OF PROPOSED ACTION

Cost or Savings to State Agencies

No costs or savings to state agencies will result as a consequence of the proposed action.

 Impact on Housing Costs

The proposal will not significantly affect housing costs.

Impact on Businesses

This proposal will not result in a significant adverse economic impact on businesses, including the ability of California businesses to compete with businesses in other states.

Cost Impact on Private Persons or Entities

The proposal will not require private persons or entities to incur additional costs in complying with the proposal.

Costs or Savings in Federal Funding to the State

The proposal will not result in a costs or savings in federal funding to the state.

Costs or Savings to Local Agencies or School Districts Required to be Reimbursed

No costs to local agencies or school districts are required to be reimbursed. See explanation under "Determination of Mandate."

Other Nondiscreationary Costs or Saving Imposed on Local Agencies

This proposal does not impose nondiscretionary costs or savings on local agencies.

DETERMINATION OF MANDATE

The Occupational Safety and Health Standards Board has determined that the proposed regulations do not impose a mandate requiring reimbursement by the state pursuant to Part 7 (commencing with Section 17500) of Division 4 of the Government Code because these regulations do not constitute a "new program or higher level of service of an existing program within the meaning of Section 6 of Article XIII B of the California Constitution."

The California Supreme Court has established that a "program" within the meaning of Section 6 of Article XIII B of the California Constitution is one which carries out the governmental function of providing services to the public, or which, to implement a state policy, imposes unique requirements on local government and does not apply generally to all residents and entities in the state. (County of Los Angeles v. State of California (1987) 43 Cal .3d 46.)

These proposed regulations do not require local agencies to carry out the governmental function of providing services to the public. Rather, the regulations require local agencies to take certain steps to ensure the safety and health of their own employees only. Moreover, these proposed regulations do not in any way require local agencies to administer the California Occupational Safety and Health program. (See City of Anaheim v. State of California (1987) 189 Cal. App.3d 1478.)

These proposed regulations do not impose unique requirements on local governments. All employers - state, local and private - will be required to comply with the prescribed standards.

PLAIN ENGLISH STATEMENT

It has been determined that the proposal may affect small business. The express terms of the proposal written in plain English have been prepared by the Board pursuant to Government Code Section 11342(e) and 11346.2(a)(1) and the informative digest for this proposal constitutes a plain English summary.

ASSESSMENT

The adoption of the proposed amendments to these regulations will neither create nor eliminate jobs in the State of California nor result in the elimination of existing businesses or create or expand businesses in the State of California.

ALTERNATIVES THAT WOULD AFFECT PRIVATE PERSONS

No alternative considered by the Board would be more effective in carrying out the purpose for which the action is proposed or would be effective and less burdensome to affected private persons than the proposed action.