ORDERING INFORMATION

To receive documents or other information about occupational safety and

health topics, contact the National Institute for Occupational Safety and
Health (NIOSH) at

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4676 Columbia Parkway
Cincinnati, OH 45226–1998

Telephone: 1–800–35–NIOSH (1–800–356–4674)

Fax: 513–533–8573
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This document is in the public domain and may be freely copied or reprinted.

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NOTICE TO THE READER

The first edition of this Alert applied only to forklifts operated in a sitting position. How-
ever, this new edition includes a recommendation for employers and operators of
stand-up forklifts with rear-entry access (see tear-out sheet and pages 6 and 7). In ad-
dition, the revised Alert contains several minor changes in wording to improve clarity.

DHHS (NIOSH) Publication Number 2001–109

June 2001
 IOSH
ALERT
Preventing Injuries and Deaths of Workers
Who Operate or Work Near Forklifts

WARNING!
Workers who operate or work near forklifts may be struck or
crushed by the machine or the load being handled.

Workers: If you operate or work near forklifts, take these steps to protect yourself.
• Do not operate a forklift unless you have • Do not drive up to anyone standing in front
been trained and licensed. of a bench or other fixed object.
• Use seatbelts if they are available. • Do not use a forklift to elevate workers who
• Report to your supervisor any damage or are standing on the forks.
problems that occur to a forklift during your
shift. • Elevate a worker on a platform only when
the vehicle is directly below the work area.
• Do not jump from an overturning, sit-down
type forklift. Stay with the truck, holding on • Whenever a truck is used to elevate
firmly and leaning in the opposite direction personnel, secure the elevating platform to
of the overturn. the lifting carriage or forks of the forklift.
• Exit from a stand-up type forklift with • Use a restraining means such as rails,
rear-entry access by stepping backward if chains, or a body belt with a lanyard or
a lateral tipover occurs. deceleration device for the worker(s) on the
• Use extreme caution on grades or ramps. platform.
• On grades, tilt the load back and raise it • Do not drive to another location with the
only as far as needed to clear the road work platform elevated.
surface.
• Do not raise or lower the forks while the
forklift is moving.
• Do not handle loads that are heavier than
the weight capacity of the forklift.
• Operate the forklift at a speed that will
permit it to be stopped safely.
• Slow down and sound the horn at cross
aisles and other locations where vision is
obstructed.
• Look toward the travel path and keep a
clear view of it.
• Do not allow passengers to ride on forklift
trucks unless a seat is provided.
• When dismounting from a forklift, set the
parking brake, lower the forks or lifting
carriage, and neutralize the controls. Typical sit-down type forklift.

Please tear out and post. Distribute copies to workers. See back of sheet to order complete Alert.
For additional information, see NIOSH Alert: Preventing Injuries and Deaths
of Workers Who Operate or Work Near Forklifts [DHHS (NIOSH) Publication
No. 2001–109]. Single copies of the Alert are available free from the following:

NIOSH—Publications Dissemination
4676 Columbia Parkway
Cincinnati, OH 45226–1998

Telephone: 1–800–35–NIOSH (1–800–356–4674)

Fax: 513–533–8573
E-mail: [email protected]

or visit the NIOSH Web site at www.cdc.gov/niosh

Department of Health and Human Services

Centers for Disease Control and Prevention
National Institute for Occupational Safety and Health
 IOSH
ALERT
Preventing Injuries and Deaths of Workers
Who Operate or Work Near Forklifts

WARNING!
Workers who operate or work near forklifts may be struck
or crushed by the machine or the load being handled.

The National Institute for Occupational

Safety and Health (NIOSH) requests as- BACKGROUND
sistance in preventing injuries and
deaths of workers who operate or work Forklifts, also known as powered industrial
near forklifts. Most fatalities occur when trucks, are used in numerous work set-
a worker is crushed by a forklift that tings, primarily to move materials. Each
has overturned or fallen from a loading year in the United States, nearly 100
dock. workers are killed and another 20,000 are
seriously injured in forklift-related inci-
NIOSH investigations of forklift-related
dents [BLS 1997, 1998].
deaths indicate that many workers and
employers (1) may not be aware of the
risks of operating or working near fork-
lifts and (2) are not following the proce-
dures set forth in the Occupational
Safety and Health Administration (OSHA)
standards, consensus standards, or equip-
ment manufacturer’s guidelines.
This Alert describes seven incidents
resulting in the deaths of seven work-
ers who were either operating or work-
ing near forklifts. In each incident, the
deaths could have been prevented by
using proper safety procedures and
equipment and by following the provi-
sions of the OSHA standards.
NIOSH requests that editors of trade
journals, safety and health officials,
industry associations, unions, and em-
ployers in all industries bring the rec-
ommendations in this Alert to the
attention of all workers who are at risk. Typical sit-down type forklift.

1
Forklift overturns are the leading cause of high-lift trucks and forklift trucks) [29 CFR*
fatalities involving forklifts; they represent 1910.178] and for forklifts used in the con-
about 25% of all forklift-related deaths. struction industry [29 CFR 1926.600;
1926.602].

FATALITY DATA Training

The following paragraphs summarize in- OSHA has promulgated the Final Rule for
formation about fatalities involving forklifts. Powered Industrial Truck Operator Training
The information is from databases that [29 CFR 1910.178(l)], which became ef-
identify work-related fatalities in the United fective March 1, 1999. The standard re-
States. quires operator training and licensing as
well as periodic evaluations of operator
National Traumatic Occupational performance. The standard also addresses
Fatalities (NTOF) Surveillance specific training requirements for truck
System operation, loading, seat belts, overhead pro-
tective structures, alarms, and maintenance
In the United States, 1,021 workers died of industrial trucks. Refresher training is re-
from traumatic injuries suffered in forklift- quired if the operator is observed operating
related incidents from 1980 to 1994. The the truck in an unsafe manner, is involved in
NTOF Surveillance System uses death an accident or near miss, or is assigned a
certificates to identify work-related deaths. different type of truck.
These fatalities resulted from the following
types of incidents: Forklift Maintenance
Type of % total OSHA requires that industrial trucks be
incident victims
examined before being placed in service.
Forklift overturns . . . . . . . . . . 22 They shall not be placed in service if the
Worker on foot struck by forklift . . 20 examination shows any condition ad-
Victim crushed by forklift . . . . . . 16 versely affecting the safety of the vehicle.
Such examination shall be made at least
Fall from forklift . . . . . . . . . . . 9
daily. When industrial trucks are used
around the clock, they shall be examined
Census of Fatal Occupational after each shift. When defects are found,
Injuries (CFOI) they shall be immediately reported and
corrected [29 CFR 1910.178(q)(7)].
The Bureau of Labor Statistics CFOI iden-
tified 94 fatal injuries associated with fork- Forklift Operation
lifts in 1995 [BLS 1997].
OSHA requirements for forklift operation
are as follows:
CURRENT STANDARDS • On all grades, the load and load-
engaging means shall be tilted back,
Occupational Safety and Health if applicable, and raised only as far as
Administration (OSHA)
OSHA has developed standards for pow-
ered industrial trucks (such as low- and *Code of Federal Regulations. See CFR in references.

2 Forklifts
 needed to clear the road surface. The under age 16 are prohibited from using
forks shall not be raised or lowered forklifts [29 CFR 570.71 (a)(3)(ii)].
while the forklift is moving [29 CFR
1910.178 (n)(7)(iii)]. Not all working minors are covered by the
FLSA. The regulations in agriculture do not
• Under all travel conditions, the truck apply to minors working on their parents’
shall be operated at a speed that will farms. Also exempted are youths aged 14
permit it to be brought safely to a stop and 15 who are working under carefully
[29 CFR 1910.178 (n)(8)]. regulated conditions in a bona fide voca-
tional agriculture program.
• The operator shall slow down and sound
American Society of Mechanical
the horn at cross aisles and other loca-
tions where vision is obstructed [29 CFR
Engineers (ASME)/American
1910.178 (n)(4)]. National Standards Institute
(ANSI)
• The operator is required to look toward ASME/ANSI B56.1–1993 requires the fol-
and keep a clear view of the travel path lowing [ASME 1993].
[29 CFR 1910.178(n)(6)].
Maintenance and Safety Equipment
• Unauthorized personnel shall not be
• Brakes, steering mechanisms, control
permitted to ride on powered industrial
mechanisms, warning devices, lights,
trucks. A safe place to ride shall be
governors, lift overload devices, guard
provided where the riding of trucks is
and safety devices, lift and tilt mecha-
authorized [29 CFR 1910.178 (m)(3)].
nisms, articulating axle stops, and frame
members shall be carefully and regu-
• Forklift trucks shall not be driven up to larly inspected and maintained in a safe
anyone standing in front of a bench or condition (ASME/ANSI B56.1–1993m
other fixed object [29 1910.178 (m)(1)]. 6.2.7) [ASME 1993].

• When work is being performed from an

Fair Labor Standards Act (FLSA)
elevated platform, a restraining means
and Youth Employment such as rails, chains, etc., shall be in
place, or a body belt with lanyard or
The FLSA [29 USC† 201 et seq.] (the pri-
deceleration device shall be worn by
mary law governing the employment of
the person(s) on the platform (ASME/ANSI
youth under age 18) includes work
B56.1, §4.17.1[b]) [ASME 1993].
declared hazardous for youth by the Sec-
retary of Labor. Hazardous Order No. 7,
Operation
Power-Driven Hoisting Apparatus Occu-
pations, prohibits workers under age 18 • An operator should avoid turning, if
from using forklifts and similar equipment possible, and should use extreme
in nonagricultural industries [29 CFR caution on grades, ramps, or inclines.
570.58]. In agricultural industries, minors Normally the operator should travel
straight up and down (ASME/ANSI
†
United States Code. B56.1, §5.3.8[d]) [ASME 1993].

Forklifts 3
 • The operator of a sit-down type forklift slack in the steering mechanism required
should stay with the truck if lateral or the operator to turn the steering wheel
longitudinal tipover occurs. The opera- slightly more than half a revolution before
tor should hold on firmly and lean away the wheels started to turn. The forklift was
from the point of impact (ASME/ANSI not equipped with a seat belt [NIOSH 1996b].
B56.1, §5.3.18[d]) [ASME 1993].

In addition to the above regulations, em- Case 2—Forklift Overturn

ployers and workers should follow opera- On April 25, 1995, a 37-year-old shop
tor’s manuals, which are supplied by all foreman was fatally injured after the
equipment manufacturers and describe sit-down type forklift he was operating over-
the safe operation and maintenance of turned. The victim was turning while back-
forklifts. ing down an incline with a 4% grade. The
forklift was transporting a 3-foot-high,
150-pound stack of cardboard with the
CASE REPORTS forks raised approximately 60 inches off
the ground. No one witnessed the incident.
The cases presented here were investi- The victim was found with his head pinned
gated by the NIOSH Fatality Assessment under the overhead guard. The forklift was
and Control Evaluation (FACE) Program. not equipped with a seat belt [California
The case reports were selected to repre- Department of Health Services 1996].
sent the most common types of fatal forklift
incidents: (1) forklift overturns, (2) workers
struck, crushed, or pinned by a forklift, and
Case 3—Forklift Overturn
(3) falls from a forklift. On November 25, 1996, a 41-year-old
male laborer was fatally injured when the
Case 1—Forklift Overturn sit-down type forklift he was operating fell
off a loading dock and pinned him under
On September 18, 1996, the 43-year-old
the overhead guard. The forklift was not
president of an advertising sign company
equipped with a seat belt. The loading dock
was killed while using a sit-down type fork-
had large cracks in the surface and was in
lift to unload steel tubing from a flatbed
need of extensive repair. It was raining
trailer. He was driving the forklift about
when the victim left the storage building
5 miles per hour beside the trailer on a
to lift a load from the back of a pickup
concrete driveway with a 3% grade. The
truck. Evidence indicates that either the
victim turned the forklift behind the trailer,
victim’s forklift was too close to the outer
and the forklift began to tip over on its side.
edge of the loading dock (which crum-
The victim jumped from the operator’s seat
bled) or the right front tire was caught in a
to the driveway. When the forklift over-
large crack in the loading dock, causing
turned, the victim’s head and neck be-
the forklift to overturn [Indiana State De-
came pinned to the concrete driveway
partment of Health 1996].
under the falling-object protective struc-
ture (overhead guard). An inspection of
the forklift revealed that the right-side rear Case 4—Worker Struck by Forklift
axle stop was damaged before the inci- On October 19, 1995, a 39-year-old female
dent and was not restricting the lateral punch press operator at a computer com-
sway of the forklift when it turned. Also, ponents manufacturer was fatally injured

4 Forklifts
while performing normal work tasks at her struck by the steel safety platform [NIOSH
station. A forklift was traveling in reverse 1997b].
at high speed toward the victim’s work
station. A witness observed the forklift
strike a metal scrap bin (about 3 by 5 by Case 7—Fall from Forklift
3½ feet), propelling it toward the punch
press station. The bin hit the press and On September 6, 1995, a 47-year-old
rebounded toward the forklift. There it male assistant warehouse manager was
was hit once again and shoved back fatally injured while working with a forklift
against the corner of the press, striking operator to pull tires from a storage rack.
and crushing the victim against the press The two workers had placed a wooden
[NIOSH 1996c]. pallet on the forks of the forklift, and the
victim then stood on the pallet. The opera-
tor raised the forks and victim 16 feet
Case 5—Fall from Forklift above a concrete floor to the top of the
storage rack. The victim had placed a few
On July 21, 1997, a 36-year-old male
tires on the pallet when the operator no-
electric-line technician was fatally injured
ticed that the pallet was becoming unsta-
after falling from and being run over by a
ble. The victim lost his balance and fell,
forklift. While the operator was driving
striking his head on the floor [NIOSH 1996a].
the forklift, the victim was riding on the
forks. As the operator approached an
intersection, he slowed down and turned
his head to check for oncoming traffic. CONCLUSIONS
When he turned his head back, he could
not see the victim. He stopped the forklift, National fatality data indicate that the three
dismounted, and found the victim under- most common forklift-related fatalities in-
neath the right side of the forklift [NIOSH volve forklift overturns, workers on foot be-
1997a]. ing struck by forklifts, and workers falling
from forklifts. The case studies indicate
that the forklift, the factory environment,
Case 6—Fall from Forklift and actions of the operator can all contrib-
On September 24, 1997, a 61-year-old ute to fatal incidents involving forklifts. In
male maintenance manager of a shelter addition, these fatalities indicate that many
for the homeless died after falling 7 feet workers and employers are not using or
from a safety platform that had been ele- may be unaware of safety procedures and
vated by a forklift. The victim had been the proper use of forklifts to reduce the risk
raised in a steel-framed, cage-type safety of injury and death.
platform that had not been secured to the
forklift. The victim removed a fluorescent
light bulb from its fixture and stepped to RECOMMENDATIONS
one side of the safety platform. When the
victim shifted his weight from the center Reducing the risk of forklift incidents re-
of the platform to the outer edge, the quires a safe work environment, a safe
safety platform toppled off the forks. The forklift, comprehensive worker training,
victim fell about 7 feet, struck his head on safe work practices, and systematic traffic
a concrete floor, and was subsequently management.

Forklifts 5
NIOSH recommends that employers and sit-down type forklifts with operator re-
workers comply with OSHA regulations straint systems. Many manufacturers
and consensus standards, maintain equip- of these forklifts offer restraint systems
ment, and take the following measures to that can be retrofitted on older forklifts.
prevent injury when operating or working Many of the fatalities resulting from
near forklifts. overturns of sit-down type forklifts
might have been prevented if the oper-
Employers ator had been restrained. The over-
head guard of the forklift is generally
Worker Training
the part that crushes the operator’s
• Make sure that workers do not operate head or torso after he or she falls or
a forklift unless they have been trained jumps outside of the operator’s com-
and licensed. partment. The risk of being crushed by
the overhead guard or another rigid
• Develop, implement, and enforce a part of the forklift is greatly reduced if
comprehensive written safety program the operator of a sit-down type forklift
that includes worker training, operator remains inside the operator’s compart-
licensure, and a timetable for reviewing ment. Because many forklifts are not
and revising the program. A compre- equipped with a restraint system and
hensive training program is important for operator compliance is less than 100%
preventing injury and death. Operator on forklifts equipped with a restraint
training should address factors that af- system, operators of sit-down type
fect the stability of a forklift—such as the forklifts should be instructed not to
weight and symmetry of the load, the jump from the operator’s compartment
speed at which the forklift is traveling, but to stay inside by leaning in the op-
operating surface, tire pressure, and posite direction of the overturn.
driving behavior.
• Train operators to handle asymmetri-
• Inform operators of sit-down type fork- cal loads when their work includes this
lifts that they can be crushed by the activity.
overhead guard or another part of the
truck after jumping from the overturn- Forklift Inspection and Maintenance
ing forklift. The operator of a sit-down • Establish a vehicle inspection and
type forklift should stay with the truck if maintenance program.
lateral or longitudinal tipover occurs.
The operator should hold on firmly and • Retrofit old sit-down type forklifts with
lean away from the point of impact. an operator restraint system if
possible.
• Train operators of stand-up type fork-
lifts with rear-entry access to exit from Lifting
the truck by stepping backward if a lat-
eral tipover occurs. • Ensure that operators use only an
approved lifting cage and adhere to
• Ensure that operator restraint systems general safety practices for elevating
are being used on sit-down type fork- personnel with a forklift. Also, secure
lifts. Since 1992, forklift manufacturers the platform to the lifting carriage or
have been required to equip new forks.

6 Forklifts
 • Provide means for personnel on the and forklifts that come too close to
platform to shut off power to the truck workers on foot. The person who con-
whenever the truck is equipped with ducts the inspections should have the
vertical only or vertical and horizontal authority to implement prompt correc-
controls for lifting personnel. tive measures.
• Install the workstations, control panel,
Workers on Foot and equipment away from the aisle
• Separate forklift traffic and other work- when possible. Do not store bins,
ers where possible. racks, or other materials at corners,
intersections, or other locations that
• Limit some aisles to workers on foot obstruct the view of operators or work-
only or forklifts only. ers at workstations.

• Restrict the use of forklifts near time • Enforce safe driving practices such as
clocks, break rooms, cafeterias, and obeying speed limits, stopping at stop
main exits, particularly when the flow signs, and slowing down and blowing
of workers on foot is at a peak (such as the horn at intersections.
at the end of a shift or during breaks).
• Repair and maintain cracks, crumbling
• Install physical barriers where practi- edges, and other defects on loading
cal to ensure that workstations are iso- docks, aisles, and other operating
lated from aisles traveled by forklifts. surfaces.

• Evaluate intersections and other blind Workers

corners to determine whether overhead
dome mirrors could improve the visibil- • Do not operate a forklift unless you
ity of forklift operators or workers on have been trained and licensed.
foot.
• Use seatbelts if they are available.
• Make every effort to alert workers when • Report to your supervisor any damage
a forklift is nearby. Use horns, audible or problems that occur with a forklift
backup alarms, and flashing lights to during your shift.
warn workers and other forklift opera-
tors in the area. Flashing lights are es- • Do not jump from an overturning,
pecially important in areas where the sit-down type forklift. Stay with the truck
ambient noise level is high. if lateral or longitudinal tipover occurs.
Hold on firmly and lean in the opposite
Work Environment direction of the overturn.
• Ensure that workplace safety inspections • Exit from a stand-up type forklift with
are routinely conducted by a person rear-entry access by stepping back-
who can identify hazards and condi- ward if a lateral tipover occurs.
tions that are dangerous to workers.
Hazards include obstructions in the • Use extreme caution on grades,
aisle, blind corners and intersections, ramps, or inclines. Normally you

Forklifts 7
 should travel only straight up and • Do not drive to another location with
down. the work platform elevated.

• On all grades, tilt the load back if appli-

cable, and raise it only as far as needed ACKNOWLEDGMENTS
to clear the road surface.
• Do not raise or lower the forks while The principal contributors to this Alert were
the forklift is moving. Richard Braddee and James Collins,
Ph.D., of the Division of Safety Research.
• Do not handle loads that are heavier Please direct any comments, questions, or
than the rated weight capacity of the requests for additional information to the
forklift. following:
• Operate the forklift at a speed that will
permit it to be stopped safely. Dr. Nancy Stout
Director
• Slow down and sound the horn at inter- Division of Safety Research
sections and other locations where vi- National Institute for Occupational Safety
sion is obstructed. and Health
1095 Willowdale Road
• Look toward the path of travel and keep Morgantown, WV 26505–2888
a clear view of it.
• Do not allow passengers to ride on Telephone: 304–285–5894; or call
forklift trucks unless a seat is provided. 1–800–35–NIOSH (1–800–356–4674).
• When dismounting from a forklift, al-
ways set the parking brake, lower the We greatly appreciate your assistance in
forks, and neutralize the controls. protecting the health of U.S. workers.

• Do not drive up to anyone standing in

front of a bench or other fixed object.
• Do not use a forklift to elevate workers
who are standing on the forks.
• Do not elevate a worker on a platform Lawrence J. Fine, M.D., Dr.P.H.
unless the vehicle is directly below the Acting Director, National Institute for
work area. Occupational Safety and Health
Centers for Disease Control and
• Whenever a truck is used to elevate Prevention
personnel, secure the elevating plat-
form to the lifting carriage or forks of
the forklift.
REFERENCES
• Use a restraining means such as rails,
chains, or a body belt with a lanyard or ASME [1993]. Safety standard for low lift
deceleration device for the person(s) and high lift trucks. New York: American
on the platform. Society of Mechanical Engineers and

8 Forklifts
American National Standards Institute, NIOSH [1996b]. Company president killed
ASME B56.1–1993. when forklift overturns—North Carolina.
Morgantown, WV: U.S. Department of Health
BLS [1997]. Fatal workplace injuries in 1995:
and Human Services, Public Health Serv-
a collection of data and analysis. Washing-
ice, Centers for Disease Control and Pre-
ton, DC: U.S. Department of Labor, Bu-
vention, National Institute for Occupational
reau of Labor Statistics, Report 913.
Safety and Health, Fatality Assessment
and Control Evaluation (FACE) Report
BLS [1998]. Occupational injuries and ill- No. 97–01.
nesses: counts, rates, and characteristics,
1995. Washington, DC: U.S. Department NIOSH [1996c]. Press operator dies after
of Labor, Bureau of Labor Statistics, Bulle- forklift rams scrap bin—North Carolina.
tin 2493. Morgantown, WV: U.S. Department of Health

and Human Services, Public Health Serv-

California Department of Health Services ice, Centers for Disease Control and Pre-
[1996]. Shop foreman dies after being vention, National Institute for Occupational
crushed by a forklift in California. Berkeley, Safety and Health, Fatality Assessment
CA: California Department of Health Ser- and Control Evaluation (FACE) Report
vices, California Fatality and Control Evalu- No. 96–04.
ation Program (CA FACE) Report
No. 95CA00801. NIOSH [1997a]. Electric line technician
dies after falling from forklift—North
CFR. Code of Federal regulations. Wash- Carolina. Morgantown, WV: U.S. Depart-
ington, DC: U.S. Government Printing Of- ment of Health and Human Services, Pub-
fice, Office of the Federal Register. lic Health Service, Centers for Disease
Control and Prevention, National Institute
Indiana State Department of Health for Occupational Safety and Health, Fatal-
[1996]. Laborer killed when forklift falls off ity Assessment and Control Evaluation
loading dock. Indianapolis, IN: Indiana (FACE) Report No. 97–19.
State Department of Health, Indiana Fatal-
ity Assessment and Control Evaluation NIOSH [1997b]. Maintenance manager
Program, (IN FACE) Report No. 96IN14901. dies after falling 7 feet from an elevated
forklift safety platform—North Carolina.
Morgantown, WV: U.S. Department of
NIOSH [1996a]. Assistant manager dies Health and Human Services, Public Health
after 15-foot fall from forklift-suspended Service, Centers for Disease Control and
pallet—South Carolina. Morgantown, WV: Prevention, National Institute for Occupa-
U.S. Department of Health and Human tional Safety and Health, Fatality Assess-
Services, Public Health Service, Centers ment and Control Evaluation (FACE)
for Disease Control and Prevention, Na- Report No. 98–01.
tional Institute for Occupational Safety and
Health, Fatality Assessment and Control USC. United States code. Washington,
Evaluation (FACE) Report No. 95–20. DC: US Government Printing Office.

Forklifts 9